Public Assistance Program and Policy Guide V3.1

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10 2 15 Page 1- -

(Superseded on June 1, 2020)

(V3.1)

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TABLE OF CONTENTS

Page Numbers

FOREWORD …………………………………………………………………………………VII

HOW TO USE THIS PUBLICATION......................................................................................... IX

CHAPTER 1: OVERVIEW.......................................................................................................... 1

I. Presidential Declarations .................................................................................................... 1

A. Type of Incident .......................................................................................................... 2

B. Incident Period............................................................................................................. 2

C. Designated Areas......................................................................................................... 2

D. Types of Assistance..................................................................................................... 2

E. Federal Cost Share....................................................................................................... 3

F. FEMA-State/Territory/Tribe Agreement..................................................................... 4

G. Federal, State, Territorial, Indian Tribal, and Local Government Coordination......... 4

H. Correspondence ........................................................................................................... 6

II. Public Assistance Program Authorities .............................................................................. 6

A. Statutes ........................................................................................................................ 7

B. Regulations.................................................................................................................. 8

C. Environmental and Historic Preservation Requirements ............................................ 8

D. Public Assistance Policy.............................................................................................. 8

CHAPTER 2: PUBLIC ASSISTANCE POLICY ........................................................................ 9

I. General Public Assistance Eligibility ................................................................................. 9

II. Applicant Eligibility............................................................................................................ 9

A. State and Territorial Governments .............................................................................. 9

B. Indian Tribal Governments........................................................................................ 10

C. Local Governments ................................................................................................... 10

D. Private Nonprofit Organizations................................................................................ 10

III. Facility Eligibility ............................................................................................................. 14

A. Public Facility............................................................................................................ 15

B. Private Nonprofit Facility.......................................................................................... 15

1. Mixed-Use Facility.............................................................................................. 16

2. Small Business Administration Loan Requirement ............................................ 16

C. Facility under the Specific Authority of Other Federal Agencies............................. 17

D. Inactive or Partially Inactive Facility ........................................................................ 18

E. Facility Scheduled for Repair or Replacement.......................................................... 18

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IV. General Work Eligibility................................................................................................... 19

A. Categories of Work.................................................................................................... 19

B. Minimum Work Eligibility Criteria........................................................................... 19

1. Result of Declared Incident................................................................................. 19

2. Within Designated Area ...................................................................................... 20

3. Legal Responsibility............................................................................................ 20

V. Cost Eligibility.................................................................................................................. 21

A. Applicant (Force Account) Labor ............................................................................. 23

1. Labor Policies...................................................................................................... 23

2. Eligibility Criteria Based on Type of Employee and Work Performed .............. 23

B. Applicant (Force Account) Equipment and Purchased Equipment........................... 26

C. Leased Equipment ..................................................................................................... 28

D. Supplies ..................................................................................................................... 28

E. Disposition of Purchased Equipment and Supplies................................................... 29

1. Disposition of Purchased Equipment .................................................................. 29

2. Disposition of Purchased Supplies ...................................................................... 29

F. Disposition of Real Property ..................................................................................... 30

G. Procurement and Contracting Requirements............................................................. 30

1. Procurement Standards........................................................................................ 30

2. Contracts.............................................................................................................. 32

H. Mutual Aid................................................................................................................. 33

I. Prisoners .................................................................................................................... 34

J. National Guard .......................................................................................................... 34

K. Direct Federal Assistance.......................................................................................... 35

L. Donated Resources .................................................................................................... 35

M. Project Management and Design Services ................................................................ 36

N. Grant Management and Administration .................................................................... 37

1. Section 324 Management Costs .......................................................................... 37

2. Direct Administrative Costs ................................................................................ 38

O. Surveys to Assess or Locate Damage or Debris Impacts .......................................... 39

P. Duplication of Benefits.............................................................................................. 39

1. Insurance Proceeds .............................................................................................. 40

2. Non-Federal Grants and Cash Donations............................................................ 40

Third-Party Liability............................................................................................ 41

4. Other Federal Awards.......................................................................................... 41

Q. Duplication of Funding Between FEMA Programs .................................................. 41

R. Ineligible Costs.......................................................................................................... 41

1. Loss of Revenue .................................................................................................. 42

2. Loss of Useful Service Life................................................................................. 42

3. Tax Assessments ................................................................................................. 42

4. Increased Operating Costs................................................................................... 42

VI. Emergency Work Eligibility............................................................................................. 42

A. Debris Removal (Category A)................................................................................... 44

1. Alternative Procedures Pilot Program for Debris Removal ................................ 45

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2. Hazardous Limbs, Trees, and Stumps ................................................................. 49

3. Hazardous Materials............................................................................................ 51

4. Waterways ........................................................................................................... 52

5. Privately Owned Vehicles and Vessels ............................................................... 53

6. Debris Removal from Private Property (Requires Prior FEMA Approval)........ 54

7. Disposal ............................................................................................................... 56

8. Monitoring Debris Removal Operations ............................................................. 57

B. Emergency Protective Measures (Category B) ......................................................... 57

1. Pre-positioning Resources................................................................................... 60

2. Expenses Related to Operating a Facility or Providing a Service ....................... 60

3. Emergency Public Transportation and Communication (DFA only).................. 61

4. Flood Fighting ..................................................................................................... 61

5. Emergency Operations Centers ........................................................................... 62

6. Emergency Access............................................................................................... 62

7. Supplies and Commodities.................................................................................. 63

8. Meals ................................................................................................................... 63

9. Medical Care ....................................................................................................... 63

10. Evacuation and Sheltering................................................................................... 65

11. Infectious Disease Event ..................................................................................... 72

12. Mosquito Abatement ........................................................................................... 72

13. Residential Electrical Meters............................................................................... 72

14. Safety Inspections................................................................................................ 73

15. Animal Carcasses ................................................................................................ 73

16. Demolition of Private Structures......................................................................... 74

17. Temporary Relocation of Essential Services....................................................... 76

18. Snow-Related Activities...................................................................................... 80

19. Emergency Berms on Beaches ............................................................................ 81

20. Temporary Emergency Repair or Stabilization................................................... 81

21. Temporary Slope Stabilization............................................................................ 82

22. Mold Remediation............................................................................................... 82

C. Damage Caused During Performance of Emergency Work (Category A or B) ....... 83

VII. Permanent Work Eligibility .............................................................................................. 84

A. Requirement to Obtain and Maintain Insurance ........................................................ 86

Codes and Standards.................................................................................................. 87

1. Eligibility Criteria................................................................................................ 87

2. FEMA Required Minimum Codes and Standards............................................... 91

3. Ineligible Upgrades ............................................................................................. 93

4. Historic Preservation Compliance....................................................................... 93

5. Floodplain Management and Wetland Protection ............................................... 93

6. Americans with Disabilities Act Access Requirements ...................................... 95

7. Permit Requirements ........................................................................................... 97

C. Hazard Mitigation...................................................................................................... 97

D. Repair vs. Replacement........................................................................................... 100

1. Calculation......................................................................................................... 100

2. Written Request................................................................................................. 101

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3. Eligible Funding ................................................................................................ 101

4. Replacement of Components of a Facility or System ....................................... 102

E. Relocation................................................................................................................ 103

1. Eligible Work and Funding ............................................................................... 103

2. Sale or Lease of Property at Original Site......................................................... 104

F. Facility Located in or Impacting a Floodplain ........................................................ 104

1. 8-Step Decision-making Process....................................................................... 104

2. Facility Located in a Special Flood Hazard Area.............................................. 105

G. Capped Projects....................................................................................................... 106

1. Capped Project Approval .................................................................................. 108

2. Capped Project Funding .................................................................................... 109

3. Use of Capped Project Funds ............................................................................ 110

4. Retention of 406 Mitigation Funds.................................................................... 114

5. Funding from a Facility with an Approved Temporary Facility ....................... 114

6. Disposition of Original Facility......................................................................... 115

H. Eligibility Considerations by Facility...................................................................... 115

1. Roads and Bridges (Category C)....................................................................... 115

2. Water Control Facilities (Category D) .............................................................. 117

3. Buildings and Equipment (Category E) ............................................................ 118

4. Utilities (Category F)......................................................................................... 123

5. Parks, Recreational, Other (Category G)........................................................... 125

6. Landslides and Slope Stabilization.................................................................... 128

CHAPTER 3: PUBLIC ASSISTANCE PROGRAM ADMINISTRATION ........................... 129

I. Initial Collaboration........................................................................................................ 129

A. Preliminary Damage Assessment ............................................................................ 129

B. Applicant Briefing................................................................................................... 130

C. Request for Public Assistance ................................................................................. 130

D. Recovery Scoping Meeting ..................................................................................... 131

II. Project Formulation ........................................................................................................ 133

A. Identify and Report Damage ................................................................................... 134

B. Develop Scope of Work .......................................................................................... 135

C. Change in Scope of Work........................................................................................ 136

D. Develop Project Cost............................................................................................... 138

Project Documentation ............................................................................................ 140

F. Exit Briefing ............................................................................................................ 141

III. Project Deadlines ............................................................................................................ 141

IV. Project Funding............................................................................................................... 142

A. Strategic Funds Management .................................................................................. 143

B. Project Thresholds................................................................................................... 143

C. Project Reconciliation and Closeout ....................................................................... 144

1. Large Projects.................................................................................................... 144

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2. Small Projects.................................................................................................... 145

D. Appeals.................................................................................................................... 145

E. Audits ...................................................................................................................... 146

F. Stafford Act Section 705 ......................................................................................... 146

V. Grant Management and Administration.......................................................................... 146

A. Quarterly Progress Reports...................................................................................... 146

B. Section 324 Management Costs .............................................................................. 147

C. PA Award Closeout................................................................................................. 148

ABBREVIATIONS AND ACRONYMS................................................................................... 150

REFERENCES AND RESOURCES.......................................................................................... 153

TERMS AND DEFINITIONS.................................................................................................... 158

APPENDIX A: ENVIRONMENTAL AND HISTORIC PRESERVATION COMPLIANCE. 166

APPENDIX B: PRIVATE NONPROFIT FACILITY ELIGIBILITY EXAMPLES................. 170

APPENDIX C: WELDED STEEL MOMENT FRAME............................................................ 173

APPENDIX D: DEBRIS MANAGEMENT PLAN JOB AID................................................... 175

APPENDIX E: STUMP CONVERSION TABLE ..................................................................... 181

APPENDIX F: HAZARDOUS STUMP WORKSHEET........................................................... 183

APPENDIX G: MOSQUITO ABATEMENT............................................................................ 184

APPENDIX H: SNOW ASSISTANCE...................................................................................... 186

APPENDIX I: MOLD REMEDIATION.................................................................................... 188

APPENDIX J: COST-EFFECTIVE HAZARD MITIGATION MEASURES .......................... 190

APPENDIX K: WORK ELIGIBILITY CONSIDERATIONS BY TYPE OF FACILITY ....... 195

FIGURES

Figure 1. Public Assistance Program and Policy Guide Organization .......................................... ix

Figure 2. PA Program Implementation Process.............................................................................. x

Figure 3. Map of FEMA Regions ................................................................................................... 6

Figure 4. Eligibility Pyramid .......................................................................................................... 9

Figure 5. Applicant Eligibility ........................................................................................................ 9

Figure 6. PNP Eligibility............................................................................................................... 10

Figure 7. Facility Eligibility.......................................................................................................... 14

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Figure 8. SBA Loan Outcomes..................................................................................................... 17

Figure 9. Categories of Work........................................................................................................ 19

Figure 10. Cost Eligibility............................................................................................................. 21

Figure 11. Emergency Work Labor Eligibility............................................................................. 24

Figure 12. Emergency Work Eligibility........................................................................................ 42

Figure 14. FEMA Hazard Mitigation Programs ........................................................................... 97

Figure 15. Typical Beach Profile................................................................................................ 127

Figure 16. PA Program Implementation Process........................................................................ 129

Figure 17. Regulatory Project Deadlines.................................................................................... 141

TABLES

Table 1. PNP Eligible Critical Services........................................................................................ 12

Table 2. PNP Eligible Non-critical, Essential Social-Type Services............................................ 13

Table 3. PNP Ineligible Services .................................................................................................. 14

Table 4. Accelerated Debris Removal Alternative Procedure ...................................................... 46

Table 5. PNP RPA Documentation Requirements ..................................................................... 131

Table 6. Applicant Documentation for the Recovery Scoping Meeting..................................... 132

Table 7. Documentation to Support Damage Claim................................................................... 134

Table 8. Information to Develop Scope of Work ....................................................................... 136

Table 9. Information to Support Change in SOW ...................................................................... 138

Table 10. Documentation to Support Costs Claimed.................................................................. 139

Table 11. Information to Support Time Extension ..................................................................... 142

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FOREWORD

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

revised Third Edition (Version 3.1) of the Public Assistance (PA) Program and Policy Guide.

FEMA has archived the First and Second Editions at www.fema.gov/media-

library/assets/documents/111781. FEMA applies the First Edition to incidents declared from

January 1, 2016 through March 31, 2017. FEMA applies the Second Edition to incidents

declared from April 1, 2017 through August 22, 2017. And FEMA applies this Version 3.1 to

incidents declared on or after August 23, 2017 or, with respect to the changes made in this

version, any application for assistance that was pending before FEMA as of August 23, 2017 and

has not been finally resolved as of January 1, 2018. This version supersedes Version 3.0 issued

on January 2, 2018.

On February 9, 2018, Congress passed and the President signed the Bipartisan Budget Act of

2018 (P.L. 115-123). The Act includes a provision amending the Stafford Act in a manner that

largely codifies the changes related to houses of worship which were made in Version 3.0 of this

Guide.

Version 3.0 incorporated the following revisions:

 Deleting “Community centers operated by a religious institution that provides secular

activities, such as fundraising activities that help the community at large”;

 Replacing “Social activities to pursue items of mutual interest or concern” with

“Activities to pursue items of mutual interest or concern or social engagement” and

adding the example “Activities of community centers or houses of worship open to the

general public, without regard to their secular or religious nature”;

 Deleting “religious” from the sentence “Facilities established or primarily used for

political, athletic, religious, recreational, vocational, or academic training, conferences, or

similar activities are not eligible”;

 Deleting language excluding “religious education,” “religious services,” and “religious

activities, such as worship, proselytizing, religious instruction, or fundraising activities

that benefit a religious institution and not the community at large” as ineligible services;

 Deleting from Appendix B examples of mixed-use facilities that suggest FEMA must

deduct from primary-use analysis activities associated with religious worship and

instruction.

This Version 3.1 makes the following additional revisions to align with the changes made by

the Bipartisan Budget Act:

 Changes the terms “essential governmental services” and “essential governmental-type

services” to “essential social services” and “essential social-type services.”

 Adds houses of worship as eligible private nonprofit facilities, distinct from

community centers.

 Clarifies that houses of worship cannot be deemed ineligible because leadership or

membership in the organization operating the house of worship is limited to persons

who share a religious faith or practice.

 Removes the exclusion of buildings and items used primarily for religious purposes or

instruction from the definition of eligible private nonprofit educational facilities and

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makes clear that such facilities are eligible regardless of their religious character or use

for religious instruction.

These changes do not affect or change other general eligibility requirements for nonprofit

eligibility. These include the requirement pursuant to 44 C.F.R. § 206.221(f) that private

nonprofit facilities must have been granted tax exemption under Sections 501(c), (d), or (e) of

the Internal Revenue Code of 1954 or provide satisfactory evidence the organization is a

nonprofit organized or doing business under state law; and that pursuant to 42 U.S.C. §

5172(a)(3), private nonprofit facilities that do not provide critical services must apply to the

Small Business Administration (SBA) for disaster loans and either (1) be determined

ineligible for such a loan or (2) have obtained such a loan in the maximum amount for which

the SBA determines the facility is eligible.

Version 3.1 also clarifies that new construction is prohibited in Coastal High Hazard Areas

pursuant to 44 C.F.R. § 9.11(d)(1). This addition is included in Chapter 2:VII.B.5(a) Minimum

Requirement for Structures in a Floodplain.

FEMA will make updates to this guide at www.fema.gov/public-assistance-policy-and-guidance

on an annual basis, as necessary, and will conduct a comprehensive review no less than every

three years. We look forward to your feedback to help inform the next version of this guide.

Please send policy recommendations to [email protected].

Keith Turi

Acting Assistant Administrator

Recovery Directorate

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HOW TO USE THIS PUBLICATION

The Public Assistance Program and Policy Guide is organized as shown in Figure 1. A brief

summary of each chapter follows.

Figure 1. Public Assistance Program and Policy Guide Organization

Chapter 1: Overview

Chapter 1 provides an overview of the Presidential declaration process, the purpose of the Public

Assistance (PA) Program, and the authorities authorizing the assistance that the Federal

Emergency Management Agency (FEMA) provides under the PA Program.

Chapter 2: Public Assistance Policy

Chapter 2 provides PA policy language to guide eligibility determinations. Overarching

eligibility requirements are presented first and are not reiterated for each topic. For example, cost

eligibility is discussed prior to work eligibility as it applies to all work. The requirement that

costs be reasonable applies to costs related to all work. The requirement that contracts be

properly procured applies to all contracted work.

Chapter 2 Sections I, General PA Eligibility; II, Applicant Eligibility; IV, General Work

Eligibility; and V, Cost Eligibility apply to all work and must be considered when evaluating

assistance for any work discussed in Chapter 2 Sections VI, Emergency Work Eligibility, and

VII, Permanent Work Eligibility. Chapter 2 Section III, Facility Eligibility applies to all work

except where otherwise specified.

Chapter 3: Public Assistance Program Administration

Chapter 3 provides a synopsis of the PA Program implementation process beginning with pre-

declaration activities and continuing through closeout of the PA Program award, as shown in

Figure 2. In addition to describing these processes, this chapter provides checklists of specific

information that entities need to document throughout the response and recovery phases of the

incident to help substantiate claims for assistance.

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Figure 2. PA Program Implementation Process

Title 2 of the Code of Federal Regulations (CFR) Part 200 provided new terms for Grantee and

Subgrantee as follows:

 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

 Applicant: A non-Federal entity submitting an application for assistance under the

Recipient’s Federal award

 Pass-through entity: A non-Federal entity that provides a subaward to an Applicant

 Subrecipient: An Applicant that receives a subaward from a pass-through entity

For simplicity, FEMA generally uses the term Applicant throughout this document when

referring to the responsible entity for a project rather than making distinctions between an entity

as an Applicant, Recipient, pass-through entity, or Subrecipient.

Appendices

This document includes several appendices, most of which are related to specific types of work

and are referenced throughout Chapter 2. Of specific note are Appendices A, D, and K.

 Appendix A, Environmental and Historic Preservation Compliance, provides summaries

of various Federal environmental and historic preservation laws that entities need to

consider prior to conducting work.

 Appendix D, Debris Management Plan Job Aid, is a tool to assist entities with

establishing written procedures for managing debris in an expeditious, efficient, and

environmentally sound manner.

 Appendix K, Work Eligibility Considerations by Type of Facility, provides a summary of

eligibility considerations by facility type.

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CHAPTER 1: OVERVIEW

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.,

authorizes the President to provide Federal assistance when

the magnitude of an incident or threatened incident exceeds the affected

State,

Territorial,

Indian Tribal,

and local

government capabilities to

respond or recover.

I. Presidential Declarations

When a State, Territorial, or Indian Tribal Government determines that

an incident may exceed State, Territorial, Indian Tribal, and local government capabilities to

respond, it requests a joint Preliminary Damage Assessment (PDA) with the Federal Emergency

Management Agency (FEMA).

Federal, State, Territorial, Indian Tribal, local government, and

certain private nonprofit (PNP) organization officials work together to estimate and document

the impact and magnitude of the incident.

The Governor

or Indian Tribal Chief Executive

must request a declaration from the President

through FEMA within 30 days of the incident.

FEMA may extend the deadline if the Governor

or Indian Tribal Chief Executive submits a written time extension request within 30 days of the

incident stipulating the reason for the delay.

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

exists. The declaration

establishes the:

See http://www.fema.gov/robert-t-stafford-disaster-relief-and-emergency-assistance-act-public-law-93-288-

amended.

Robert T. Stafford Disaster Relief and Emergency Assistance Act, as Amended (Stafford Act) § 102(4), 42 United

States Code (U.S.C.) § 5122 and Title 44 of the Code of Federal Regulations (CFR) § 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.

Territories are included in the definition of a State and are also listed separately throughout this document. FEMA

Public Assistance (PA) requirements are the same for States and Territories.

Stafford Act § 102(6), Title 42 of the U.S.C. § 5122, and 44 CFR § 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.

Stafford Act § 102(8), 42 U.S.C. § 5122; and 44 CFR § 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.

44 CFR § 206.33(a).

44 CFR § 206.33(b).

Stafford Act § 102(5), 42 U.S.C. § 5122, and 44 CFR § 206.2(12).

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

Stafford Act § 401, 42 U.S.C. § 5170; Stafford Act § 501, 42 U.S.C. § 5191; and 44 CFR §§ 206.35 and 206.36.

44 CFR §§ 206.35(a) and 206.36(a).

Each Presidential declaration is available at http://www.fema.gov/disaster.

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 Federal cost share

 Type of incident

 Incident period

 Designated areas

 Types of assistance

 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 Indian 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 Indian Tribal declarations, the Indian

Tribal Chief Executive or Indian 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, Indian 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 State, Territorial, Indian Tribal, and local

governments, and certain types of PNP organizations. FEMA provides assistance to individuals

Stafford Act § 102(1), 42 U.S.C. § 5122, and 44 CFR § 206.2(a)(9).

Stafford Act § 102(2), 42 U.S.C. § 5122, and 44 CFR § 206.2(a)(17).

44 CFR § 206.32(f).

44 CFR §§ 206.2(6) and 206.40(b).

44 CFR §§ 206.2(a)(13) and 206.41(d).

44 CFR § 206.40(c).

44 CFR § 206.40(d).

44 CFR § 206.40(a).

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and households via its Individual Assistance (IA)

programs. FEMA provides assistance to State,

Territorial, Indian Tribal, and local governments

and certain types of PNP organizations via its

Public Assistance (PA) Program. The type of

assistance available may vary among

designated

areas.

FEMA may add additional types of

assistance after the declaration. How ever, for

FEMA to consider adding additional types of

assistance, the Governor or GAR or, for Indian

Tribal declarations, the Indian Tribal Chief

Executive or TAR must request the a ssistance

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,

Indian 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.

Required Forms

The declared State, Territorial, and/or

Indian Tribal Government must submit an

Application for Federal

Assistance (SF-424)

and

Assurances (SF 424-D) before FEMA

provides assistance. FEMA provides PA

funds via the

U.S. Department of Health and

Human Services (

HHS)

Payment

Management

System

(SmartLink).

Therefore, if the President issues a

declaration for

an Indian Tribal Government

for the first time, the Tribal Government

must also submit a Payment Management

System

Access

Form

and a Direct Deposit

Form (SF-1199A) to obtain

a FEMA-specific

SmartLink account before FEMA can provide

funding.

These 2 forms

are available at

https://pms.psc.gov/.

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 Title 44 of the Code of Feder al Regulations (CFR)

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

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

incident(s). FEMA will evaluate 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 generally funds all of the 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 Federal

share is not less than 75 percent of the eligible costs.

Although the Federal share is usually 75

44 CFR § 206.40(c).

44 CFR § 206.40(d).

44 CFR §

206.2(a)(21).

Stafford Act

§ 420, 42 U.S.C. § 5187, and 44 CFR Part 204.

See

http://www.ecfr.gov.

http://www.fema.gov/media-library/assets/documents/92379.

44 CFR §

206.203(b).

Stafford Act

§§ 403(b),

406(b), 407(d), and 503(a), 42 U.S.C. §§ 5170b, 5172, 5173, 5193; and 44 CFR §§

206.47(a) and 206.65.

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

threshold, FEMA may recommend an increase up to 90 percent.

The Federal cost share for

Emergency Work may be increased in limited circumstances if warranted.

F. FEMA-State/Territory/Tribe Agreement

After every declaration, the applicable State, Territorial, or Indian Tribal Government enters into

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

which FEMA will provide assistance (FEMA-State/Territory/Tribe Agreement). FEMA and the

Governor or Indian Tribal Chief Executive must sign this agreement before FEMA provides

assistance. If necessary, because of exigent circumstances, FEMA may authorize essential

emergency services or housing assistance under the Individuals and Households Program (IHP)

while the agreement is in process for signature.

G. Federal, State, Territorial, Indian Tribal, and Local Government Coordination

The National Response Framework

and National

Disaster Recovery Framework

detail Federal, State,

Territorial, Indian Tribal, and local government roles and

responsibilities during response and recovery operations.

The declaration identifies the FCO.

The FCO works in

partnership with the State Coordinating Officer

and

GAR (or for Indian Tribal declarations, the Indian Tribal

Coordinating Officer and TAR) to coordinate Federal

resources and disaster assistance programs.

FEMA and

the State, Territorial, or Indian Tribal Government may initially operate at Emergency

Operations Centers (EOCs) and, when warranted, subsequently establish a Joint Field Office

(JFO) for Federal, State, Territorial, and Indian Tribal government coordination and

administrative activities.

44 CFR § 206.47(b).

44 CFR § 206.47(d).

44 CFR § 206.44(a).

http://www.fema.gov/national-response-framework.

http://www.fema.gov/national-disaster-recovery-framework.

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

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

Stafford Act § 302(b), 42 U.S.C. § 5143, and 44 CFR § 206.42.

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FEMA uses the following terms provided in 2 CFR when discussing PA funding:

 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

 Applicant: A non-Federal entity submitting an

application to the Recipient for assistance

under the Recipient’s Federal award

 Pass-through entity: A non-Federal entity that

provides a subaward

to an Applicant to carry

out part of a Federal program

 Subrecipient: An Applicant that receives a

subaward from a pass-through entity to carry

out part of a Federal program

Use of the Term Applicant in this

Document

When a non-Federal entity applies for PA

funding, it is an Applicant. Once an Applicant

receives funding, it is either a 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 an Applicant,

Recipient, pass-through entity, or Subrecipient.

FEMA uses the terms Recipient and

Subrecipient

in this document when necessary to

differentiate between the two entities.

FEMA provides PA funding to the applicable State,

Territorial, or Indian Tribal Government (Recipient).

An Indian Tribal Government may elect to be a

Subrecipient under a State declaration or request its own declaration and be a Recipient.

The

Recipient distributes the funds to the appropriate Subrecipient.

When a Recipient distributes

funds, it is a pass-through entity.

FEMA may approve a State or Tribal Recipient to manage small disasters. Participation in the

State Management of Small Disasters program is voluntary. Small disasters are those with

sufficient severity and magnitude to warrant a major disaster declaration by the President, but are

limited in scope and size as defined by the following:

 Statewide infrastructure damage is less than $2 per capita;

 Total estimated infrastructure damage is less than $15 million;

 Categories of work are limited to debris removal and emergency protective measures; or

 The PA operation is within a Recipient’s capability to manage (varies by State).

If a Recipient is interested in managing a disaster, it must specify this in the request for a disaster

declaration. FEMA will determine whether the Recipient is capable of managing a disaster.

Interested Recipients should have:

 Recent disaster experience;

Per 2 CFR § 200.38, a Federal award is the Federal financial assistance that a non-Federal entity receives 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.

2 CFR § 200.86.

Per 2 CFR § 200.92, a subaward is 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.

2 CFR

200.74.

2 CFR

200.93.

44 CFR §

206.201(e).

44 CFR § 206.202(a).

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 Adequate staff;

 A State or Tribal Management Addendum to the Administrative Plan;

 A fiscal accounting system that can track specific projects, prepare for and undergo audit,

and be used to evaluate appeals; and

 An established record of having met deadlines for grant management activities.

H. Correspondence

Throughout this document, FEMA notes specific instances in which the Applicant

needs to submit written correspondence to obtain FEMA approval. The Applicant

needs to submit all written correspondence through the Recipient.

The Recipient

will forward the correspondence to FEMA with its recommendation. The RA has the authority to

respond to all written correspondence unless otherwise noted. The RA delegates this authority to

the FCO upon a Presidential declaration. The RA or FCO may further delegate authorities as

appropriate. FEMA provides its response to the Recipient, which subsequently forwards

FEMA’s determination to the Applicant. In general, the Recipient addresses all correspondence

to the FCO while the JFO is active and to the RA upon closure of the JFO when the FEMA

Regional Office assumes responsibility for that incident. See Figure 3 for the geographical

responsibilities of each FEMA Region.

Figure 3. Map of FEMA Regions

II. Public Assistance Program Authorities

The mission of FEMA’s PA Program is to provide assistance to State, Territorial, Indian Tribal,

and local governments, and certain types of PNP organizations so that communities can quickly

A Recipient is a non-Federal entity that receives a Federal award directly from a Federal awarding agency to carry

out an activity under a Federal program.

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

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

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

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

protection of these damaged facilities from future events by providing assistance for hazard

mitigation measures.

FEMA provides this assistance based on authority in statutes, executive orders (EOs),

regulations, and policies. 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. Statutes

Statutes are Federal laws passed by 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 Stafford Act. 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 311, Insurance

o 312, Duplication of Benefits

o 324, Management Costs

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

o 403, Essential Assistance

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

o 407, Debris Removal

o 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 implementing

these Alternative Procedures via pilot programs. These pilot programs 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 502, Federal Emergency Assistance

 Title VII – Miscellaneous

o 705, Disaster Grant Closeout Procedures

2 CFR § 200.338.

44 CFR § 206.200(b).

Stafford Act § 428, 42 U.S.C. § 5189f.

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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 44

CFR:

 Part 206 Subpart G, Public Assistance Project

Administration;

 Part 206 Subpart H, Public Assistance Eligibility;

 Part 206 Subpart I, Public Assistance Insurance

Requirements; and

 Part 207, Management Costs.

The Office of Management and Budget establishes regulations regarding administrative

requirements, cost principles, and audit requirements in 2 CFR Part 200, Uniform Administrative

Requirements, Cost Principles, and Audit Requirements for Federal Awards.

C. Environmental and Historic Preservation Requirements

Several statutes, EOs, and regulations establish requirements to protect the environment and

preserve the Nation’s historic and prehistoric resources. FEMA must review each PA project to

ensure the work complies with applicable Federal environmental and historic preservation (EHP)

laws and their implementing regulations, and applicable EOs.

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. See Appendix A: Environmental and Historic

Preservation Compliance for a description of applicable EHP statutes, EOs, and regulations.

D. Public Assistance Policy

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

regulatory authority to guide decision-making, achieve desired outcomes, and ensure consistent

implementation of programs across the Nation. FEMA generally publishes proposed PA policy

language in the Federal Register for public comment prior to publishing in this document.

policy is included in Chapter 2 of this document. This document also references other FEMA

policies that apply to both the PA Program and other FEMA programs. FEMA will conduct a

comprehensive review of this publication no less than every 3 years.

Stafford Act § 321, 42 U.S.C. § 5164.

44 CFR § 206.200(b).

Stafford Act § 325, 42 U.S.C. § 5165c, and 44 CFR § 1.4.

2 CFR § 200.101.

2 CFR § 200.300.

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

and Budget, pursuant to the Final Bulletin on Agency Good Guidance Practices, 72 Fed. Reg. 3432 (Jan. 25, 2007)

and when the policy reduces assistance, pursuant to Stafford Act § 325, 42 U.S.C. § 5165, Public Notice, Comment,

and Consultation Requirements.

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CHAPTER 2: PUBLIC ASSISTANCE POLICY

This chapter discusses the eligibility criteria for Public Assistance (PA) funding and provides

comprehensive PA policy to use when evaluating eligibility.

I. General Public Assistance Eligibility

The four basic components of eligibility are:

 Applicant

 Facility

 Work

 Cost

FEMA refers to these components as the building blocks

of an eligibility pyramid. Generally, FEMA must

determine each building block eligible, starting at the foundation (Applicant) and working up to

cost at the top of the pyramid (Figure 4). There are two exceptions to the standard eligibility

pyramid. For private nonprofits (PNPs), FEMA must determine whether the PNP owns or

operates an eligible facility in order to determine whether the Applicant is eligible (see Chapter

2:II.D. for additional information and a pyramid specific to PNP eligibility). Secondly, for State,

Territorial, Tribal, and local government Applicants, evaluating facility eligibility is not a

necessary step for most Emergency Work, as described in Chapter 2:VI.

The Applicant is responsible for providing documentation to support that each component is

eligible. FEMA accepts a variety of documentation to substantiate eligibility. Chapter 3 provides

lists of recommended documentation. In some cases, FEMA requires specific documentation to

support eligibility. FEMA specifies these requirements in this chapter, where applicable.

II. Applicant Eligibility

FEMA provides assistance to eligible

Applicants, which are defined below.

shown in Figure 5, FEMA must first

determine whether an Applicant is eligible

before evaluating the Applicant’s claim.

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.

44 CFR § 206.222.

Stafford Act § 102(4), 42 U.S.C. § 5122; 44 CFR §§ 206.2(a)(22) and 206.222(a); and 2 CFR § 200.90.

Figure 4. Eligibility Pyramid

Figure 5. Applicant Eligibility

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B. Indian Tribal Governments

Federally recognized Indian Tribal Governments, including Alaska Native villages and

organizations (hereinafter referred to as “Tribal Governments”), are eligible Applicants. Alaska

Native Corporations are not eligible 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

 Special districts established under State law

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 be legally responsible for ownership, maintenance, and

operation of an eligible facility that is accessible to 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 current ruling letter from the

U.S. Internal Revenue Service

granting tax exemption under

Figure 6. PNP Eligibility

sections 501(c), (d), or (e) of

the Internal Revenue Code of

1954; or

Stafford Act § 102(6), 42 U.S.C. § 5122; 44 CFR §§ 206.201(i) and 206.222(c); and 2 CFR § 200.54.

Stafford Act § 102(8), 42 U.S.C. § 5122; 44 CFR §§ 206.2(a)(16) and 206.222(a); and 2 CFR § 200.64.

Stafford Act § 102(8)(c), 42 U.S.C. § 5122, and 44 CFR § 206.2(a)(16)(iii).

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 Documentation from the State substantiating it is a non-revenue producing, nonprofit

entity organized or doing business under State law.

Additionally, as shown in Figure 6, 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 an eligible service as listed below:

 A facility that provides a critical service, which is defined as education, utility,

emergency, or medical (see Table 1);

 A facility that provides a non-critical, but essential social service AND provides those

services to the general public (see Table 2).

PNP facilities generally meet the

requirement of serving the general public if ALL of the following conditions are met:

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 prohibited with gates or other security systems; 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, such as:

 U.S. Internal Revenue Service documentation

 Pre-disaster charter, bylaws, and amendments

 Evidence of longstanding, routine (day-to-day) use (e.g., a calendar of activities)

Facilities established or primarily used for political, athletic, recreational, vocational, or

academic training, conferences, or similar activities are not eligible (see Table 3).

44 CFR § 206.221(f).

44 CFR § 206.222(b).

Stafford Act § 406(a)(3)(B), 42 U.S.C. § 5172, and 44 CFR § 206.221(e).

44 CFR § 206.221(e)(7).

As amended by the Bipartisan Budget Act of 2018, Stafford Act sections 102(11)(B) and 406(a)(3)(C) make clear

that an organization operating houses of worship that limits leadership or membership to persons who share a

religious faith or practice still provides essential social services to the general public.

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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 a 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 their religious character or use for religious

instruction

MEDICAL



Emergency medical care (diagnosis or treatment of

mental or physical injury or disease) provided in:

o Clinics

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

o Rehabilitation centers that provide medical

care

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

Administrative and support buildings essential to the operation of PNP critical services are eligible facilities.

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- -

Table 2. PNP Eligible Non-critical, Essential Social-Type Services

PNP ELIGIBLE NON CRITICAL, ESSENTIAL SOCIAL TYPE SERVICES

Community centers established and primarily used for

the purpose of offering the following services (or similar)

to the community at large:



Art services authorized by a State, Territorial, Tribal,

or local government, including, but not limited to:

 Arts administration

 Art classes

 Management of public arts festivals

 Performing arts classes



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



Youth and senior citizen group meetings



Activities of community centers that serve the general

public



Child care



Day care for individuals with disabilities or access and functional

needs (for example, those with Alzheimer’s disease, autism,

muscular dystrophy)



Food assistance programs



Health and safety services



Homeless shelters



Houses of worship



Libraries



Low-income housing (as defined by Federal, State, Territorial,

Tribal, or local 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 not eligible.

o Open natural areas/features or entities that promote the

preservation/conservation of such areas are not eligible.



Residential and other services for battered spouses



Residential services for individuals with disabilities



Senior citizen centers



Shelter workshops that create products using the skills of

individuals with disabilities



Zoos



Performing arts centers with a primary purpose of producing,

facilitating, or presenting live performances, including:

o Construction of production materials

o Creation of artistic works or productions

o Design

o Professional training

o Public education

o Rehearsals



Public broadcasting that monitors, receives, and distributes

communication from the Emergency Alert System

Facilities that do not provide medical care, but do

provide:



Alcohol and drug treatment



Assisted living



Custodial care, even if the facility is not open to the

general public (including essential administration and

support facilities)



Rehabilitation

With the exception of custodial care facilities and museums, administrative and support buildings essential to the operation of

PNP non-critical services are NOT eligible facilities.

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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 COMMUNITY SERVICES



Advocacy or lobbying groups not directly providing

health services



Cemeteries



Conferences



Day care services not included in previous table of

eligible services



Irrigation solely for agricultural purposes



Job counseling



Property owner associations with facilities such as roads

and recreational facilities (except those facilities that

could be classified as utilities or emergency facilities)



Public housing, other than low-income housing



Recreation



Parking not in direct support of eligible facility

EDUCATION



Athletic, vocational, academic training, or similar

activities



Political education

III. Facility Eligibility

In general a facility must be

determined eligible in order for work

to be eligible. There are exceptions

for some emergency work activities

as shown in Figure 7 and discussed

in Chapter 2:VI.

A facility is a building, works,

Figure 7. Facility Eligibility

system, or equipment, built or

manufactured, or an improved and

maintained natural feature.

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

44 CFR § 206.221(e)(3).

44 CFR § 206.201(c).

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 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 not eligible facilities:

 Unimproved property (e.g., a hillside or slope, forest, natural channel bank)

 Land used for agricultural purposes

A. Public Facility

An eligible public facility is one that a State, Territorial, Tribal, or local 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

 Park

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 not eligible.

B. Private Nonprofit Facility

An eligible PNP facility is one that provides educational, utility, emergency, medical, or

custodial care, including for the aged or disabled, and other essential social-type services to the

general public (further described in Tables 1 and 2).

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 various examples of PNP

facilities and corresponding eligibility determinations.

Ibid.

Stafford Act § 102(10), 42 U.S.C. § 5122, and 44 CFR § 206.221(h).

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.

Stafford Act § 102(11), 42 U.S.C. § 5122, and 44 CFR § 206.221(e).

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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 funding based on the

percentage of physical space dedicated to eligible services. 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.

(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, in order to be eligible, the facility must

be primarily owned by the PNP Applicant and meet 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 that provide non-

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critical, essential social services, FEMA only provides PA funding for eligible Permanent Work

costs that an SBA loan will not cover. Therefore, non-critical PNPs must also apply for a disaster

loan from the SBA.

Possible outcomes are shown in Figure 8.

Figure 8. SBA Loan Outcomes

PNPs that provide critical services can apply to FEMA without having to apply to SBA. If the

eligible portion of a mixed-use facility provides critical services (or is partially used to provide

critical services), the Applicant may apply for PA funding without also applying to SBA for a

loan. If the eligible portion of a mixed-use facility is used to provide services that are entirely

non-critical, the Applicant must also apply to SBA for a loan.

C. Facility under the Specific Authority of Other Federal Agencies

Other Federal agencies also have authority to provide assistance after disasters. If a facility is

under the specific authority of another Federal agency, FEMA does not provide assistance to

restore that facility even if that Federal agency does not provide funding to restore the facility.

Public Housing Authority facilities are eligible unless Congress appropriates funds to the U.S.

Department of Housing and Urban Development (HUD) for emergency capital needs for that

facility.

Additionally, other Federal agencies have authority to conduct specific work that may overlap

with FEMA’s authority. FEMA does not provide assistance for that work except in certain,

limited circumstances as described in Chapter 2:VI.A.4(b).

Stafford Act § 406(a)(3)(A)(ii), 42 U.S.C. § 5172, and 44 CFR § 206.226(c).

44 CFR § 206.226(a).

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The Applicant should apply to the respective agency for assistance with a facility or work under

that agency’s authority.

D. 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 not eligible, 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

 The Applicant can clearly demonstrate its intent to begin use within a reasonable amount

of time.

The above criteria also apply to facilities that are partially inactive at the start of the incident

period. Inactive portions are not eligible 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 facilities, more than 50 percent of the facility had to be in active use for an eligible

purpose at the time of the incident in order for the facility to be eligible.

E. 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 the bid 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 not eligible. In such a case, the Applicant should coordinate with the agency

funding the project to expedite replacement, if possible.

44 CFR § 206.226(k)(2).

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IV. General Work Eligibility

Through the PA Program, FEMA provides:

 Grant funding for emergency protective

measures and debris removal (Emergency

Work)

 Grant funding for permanent restoration of

damaged facilities, including cost-effective

hazard mitigation to protect the facilities

from future damage (Permanent Work)

Administrative Plan Requirement

for PA funding

In accordance with 44 CFR § 206.207(b),

State Administrative Plan, before FEMA

provides PA funding

for any project, a

Recipient must have a FEMA-approved

Administrative Plan that describes how it

intends to administer the PA Program. A

Recipient must submit its Administrative Plan

to FEMA on an annual basis. For any new

incident that occurs within the year, the

Recipient must also submit amendments to

its Administrative Plan to address specifics of

the new incident.

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 9.

Figure 9. 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,

with the exception of sheltering and

evacuation activities; and

 Be the legal responsibility of an eligible Applicant.

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 (for Emergency

Work);



To address damage caused by the declared incident.

For debris removal, the Applicant must demonstrate that

the debris causing an immediate threat

was generated

during the declared incident period and directly by

declared incident.

For temporary repairs, mold remediation,

and Permanent

Work, the Applicant must demonstrate

that

damage was caused dir

ectly by the declared incident. FEMA does not provide PA funding

for repair of damage

caused by:



Deterioration



Deferred maintenance



The Applic

ant’s failure to take measures to protect a facility from

further

damage

44 CFR § 206.223(a).

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 Negligence

2. Within Designated Area

To be eligible, work must be located in the designated area defined in the declaration (with the

exception of sheltering and evacuation activities).

Emergency Work or Permanent Work

performed on a facility located outside of the designated area is not eligible. 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, Tribal Government declarations do not usually define specific

designated geographical areas. If a specific designated area is not defined in the declaration,

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.

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 facility restoration, 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).

(a) Facility Ownership

When an 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 generally 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.

(b) Facilities under Construction

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.

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;

44 CFR § 206.223(e).

44 CFR § 206.223(a)(2).

44 CFR § 206.223(a)(3).

Stafford Act § 406(e)(2), 42 U.S.C. § 5172.

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 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.

An Applicant may own a facility and lease it to a tenant, or an 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.

(d) Federal Facilities

Facilities owned and maintained by Federal agencies are not eligible. However, if a Federal

agency constructed a facility and formally designated the Applicant as the legally responsible

entity for facility operation, maintenance, and repairs, then the facility is eligible. FEMA reviews

the agreement between the Federal agency and the Applicant to confirm the legally responsible

entity.

(e) Jurisdiction over an Area

In general, an Applicant only has legal responsibility to conduct Emergency Work activities

within its jurisdiction. If an Applicant conducts Emergency Work activities outside its

jurisdiction, it must demonstrate its legal basis and responsibility to conduct those activities.

(f) Conducting Activities on Private Property

To determine whether a State, Territorial, Tribal, or local government has legal responsibility to

conduct activities on private property, FEMA reviews the Applicant’s legal basis and authority to

conduct the activities.

V. Cost Eligibility

The final component evaluated for eligibility, as

shown in Figure 10, are the costs claimed by the

Applicant. 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;

2 CFR § 200.403(g).

Figure 10. Cost Eligibility

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 Reduced by all applicable credits, such as insurance proceeds and salvage values;

 Authorized and not prohibited under Federal, State, Territorial, Tribal, or local

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.

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.

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.

 The cost is comparable to the current market price

for similar goods or services based

on:

o Historical documentation;

o Average costs in the area; or

o Published unit costs from national cost estimating databases.

 Any of the following factors caused escalation of 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, such as environmental or historic issues, remote access

or location, provision of a unique service with few providers, or elements requiring an

extraordinary level of effort; or

o The Applicant deviated from its established practices.

 Exigent circumstances existed. If so, FEMA evaluates the length of time the

circumstances existed compared to the length of time costs were incurred.

 The 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.

 The Applicant complied with procurement requirements (see Chapter 2:V.G.).

The Applicant is responsible for providing documentation to demonstrate its claimed costs are

reasonable. If FEMA determines any of the costs to be unreasonable based on its evaluation,

Stafford Act § 312, 42 U.S.C. § 5155, and 2 CFR § 200.406.

2 CFR § 200.403.

2 CFR § 200.404.

2 CFR § 200.404(a).

2 CFR § 200.404(c).

2 CFR § 200.404(e).

2 CFR § 200.404(b).

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FEMA may disallow all or part of the costs by adjusting eligible funding to an amount it

determines to be reasonable.

A. 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

 Administrative leave

1. 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 will determine 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.

2. 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.

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For Permanent Work, both straight-time and overtime

labor costs are eligible for both budgeted and

unbudgeted employees.

For Emergency Work, only

overtime labor is eligible for budgeted employees.

For

unbudgeted employees performing Emergency Work,

both straight-time and overtime labor are eligible. Figure

11 indicates different types of budgeted and unbudgeted

employees.

Under the alternative procedures authorized by Section 428 of the Stafford Act, if the Applicant

opts to participate in the straight-time procedure for debris removal, straight-time labor costs are

eligible for budgeted employees conducting eligible debris removal (Category A) activities. See

Chapter 2:VI.A.1(b) for further information.

Regular Time for Debris

Removal Projects

 Alternative Procedures: Eligible

 Standard Program: Ineligible

Emergency Work Labor Eligibility

Budgeted Employees

Overtime

Straight-Time

Permanent employee



Seasonal employee working during normal season

of employment



Unbudgeted Employees

Overtime

Straight-Time

Essential employee called back from administrative

leave



Permanent employee funded from external source



Temporary employee hired to perform eligible work



Seasonal employee working outside normal season

of employment



Figure 11. Emergency Work Labor Eligibility

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.

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.

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.

Stafford Act § 406(a)(2)(C), 42 U.S.C. § 5172, and 44 CFR § 206.228(a)(2)(i).

Stafford Act § 403(d)(1)(B), 42 U.S.C. § 5170b, and 44 CFR § 206.228(a)(2)(iii).

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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.

Supervisors

Second-level supervisors and above (e.g., commissioners, mayors, department directors, police

and fire chiefs) are usually exempt employees

and are not directly involved in the performance

of a specific project. Therefore, they are not eligible for overtime, 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 2:V.A.1.

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 not eligible.

Stand-by Time

Subject to the provisions of labor cost eligibility criteria, FEMA also provides PA funding for

costs related to stand-by time incurred in preparation for and directly related to actions necessary

to save lives and protect public health and safety. To be eligible, stand-by time must be

reasonable, necessary, and consistent with the Applicant’s practice in non-federally declared

incidents. Examples of when FEMA may reimburse costs for stand-by time include, but are not

limited to:

 When bus drivers are prudently deployed to transport evacuees, even if the bus is not

ultimately used for evacuations

 When first responders are prudently deployed for the purpose of evacuating or providing

emergency medical care to survivors in order to save lives or protect health and safety,

even if the employee does not ultimately perform eligible Emergency Work

 When a contract or union agreement requires payment for stand-by time

FEMA will determine whether any stand-by time claimed is reasonable and necessary based on

whether:

 There is a contractual obligation to pay for stand-by time based on a labor agreement

These employees are exempt from the overtime pay requirements set forth in the Fair Labor Standards Act.

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 The stand-by time occurred when it was necessary to have resources available to save

lives and protect health and safety

For instance, 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. However, FEMA limits its reimbursement to that which is reasonable and

necessary, not to exceed 14 calendar days from the start of the incident period.

B. Applicant (Force Account) Equipment and Purchased Equipment

FEMA provides PA funding for the use of Applicant-owned equipment (force account

equipment), including permanently mounted generators, based on hourly rates.

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 an 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 mobilizing equipment to a project site are eligible, costs for

standby time (time spent on hold or in reserve) are not eligible 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.

Executive Order (EO) 13688, Federal Support for Local Law Enforcement Equipment

Acquisition, requires Federal agencies to ensure careful coordination and oversight of providing

military and military-styled equipment, firearms, and tactical vehicles, including property

covered under 22 CFR Part 121, The United States Munitions List, and 15 CFR Part 774, The

Commerce Control List, (collectively “controlled equipment”), to State, Territorial, Tribal, and

local law enforcement agencies. FEMA must comply with this EO when providing PA funding

for purchase of this type of equipment.

The PA Division at FEMA Headquarters provides

specific guidance when an Applicant seeks PA funding for law enforcement equipment.

FEMA provides PA funding for force account equipment usage based on FEMA, State,

Territorial, Tribal, or local equipment rates in accordance with the specific criteria noted below.

FEMA Rates

FEMA publishes equipment rates applicable on a national basis.

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, with

44 CFR § 206.228(a)(1).

Executive Order (EO) 13688, 80 Fed. Reg. 3451 (January 22, 2015).

As of the date of this publication, FEMA policy to meet the requirements of EO 13688 is under development.

Absent publication of a specific policy, Recipients and Applicants must obtain specific guidance from FEMA.

www.fema.gov/schedule-equipment-rates.

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the exception of 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 not eligible.

State and Territorial Rates

State and Territorial rates are those established under State or Territorial guidelines for use in

normal day-to-day operations. FEMA provides PA funding based on State or Territorial rates up

to $75 per hour.

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.

Tribal Rates

Tribal rates are those developed under Tribal 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 Tribal rate or the FEMA rate. However, if the Tribal 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 Tribal rate is higher, the Applicant must

document the basis for that rate and obtain approval from FEMA for the higher rate.

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 will

determine which schedule of rates is lower.

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.

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 will

determine which schedule of rates is lower.

44 CFR § 206.228(a)(1)(i).

Per 44 CFR § 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.

44 CFR § 206.228(a)(1)(ii).

Ibid.

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Equipment with No Established Rate

If the Applicant uses equipment that has no established State, Territorial, Tribal, or local rate,

FEMA reimburses that equipment based on the FEMA rate.

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 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.

C. 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;

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 2:V.B.

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.

D. 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 needs to 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.

If the Applicant does not have an established method,

FEMA provides PA funding based on historical data or prices from area vendors.

44 CFR § 206.228(a)(1)(iii).

2 CFR § 200.318(d).

2 CFR § 200.453(b).

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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.

E. 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

Terminology

technology systems) having a useful life of more

than 1 year and a per-unit acquisition cost that

Personal property means property other than

equals or exceeds the lesser of the capitalization

real property.

level established by the Applicant for financial

Real property means land, including land

statement purposes, or $5,000.

100

Tangible personal

improvements, structures, and appurtenances

equipment is a supply.

property that does not fall under this definition of

thereto, but excludes moveable machinery and

101

equipment.

When equipment or supplies (including materials)

purchased with PA funding are no longer needed for response to or recovery from the incident,

the Applicant may use the items for other federally funded programs or projects, provided the

Applicant informs FEMA.

102

1. Disposition of Purchased Equipment

In accordance with Federal regulations, State and Territorial government Applicants dispose of

equipment in accordance with State or Territorial laws and procedures.

103

Tribal and local governments and PNPs must

calculate the current fair market value of each

individual item of equipment. The Applicant must

provide the current fair market for any items that

have a current fair market value of $5,000 or more.

FEMA reduces eligible funding by this amount.

104

If an individual item of equipment has a current fair

market value less than $5,000, FEMA does not

reduce the eligible funding.

105

2. Disposition of Purchased Supplies

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.

100

2 CFR § 200.33.

101

2 CFR § 200.94.

102

2 CFR § 200.313(c).

103

2 CFR § 200.313(b).

104

2 CFR § 200.313(e)(2).

105

2 CFR § 200.313(e)(1).

Terminology

Fair market value is either the selling price or

the advertised price for a similar item in a

competitive market.

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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.

106

If the aggregate total of unused residual supplies is less than $5,000, FEMA does not reduce the

eligible funding.

F. Disposition of Real Property

If the Applicant acquires or improves real property with PA funds, disposition and reporting

requirements apply.

107

The PA Division at FEMA Headquarters provides disposition instructions

when acquired or improved real property is no longer needed for the originally authorized

108

purpose.

G. 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. This section provides information on

Federal procurement and contracting requirements. 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.

109

1. Procurement Standards

Applicants must comply with Federal procurement standards as a condition of receiving PA

funding for contract costs for eligible work. Federal procurement standards for State and

Territorial governments are different than those for Tribal and local governments and PNPs.

State and Territorial government Applicants must follow the same policies and procedures they

would use for procurements with non-Federal funds; comply with 2 CFR § 200.322,

Procurement of recovered materials; and ensure that every purchase order or other contract

includes any clauses required by 2 CFR § 200.326, Contract provisions.

110

Non-State Applicants (Tribal and local governments and PNPs) must use their own documented

procurement procedures that reflect applicable State, Territorial, Tribal, and local government

laws and regulations, provided that the procurements conform to applicable Federal law and

standards.

111

This requirement applies to Tribal Governments even when the Tribe is a Recipient.

Tribal and local governments and PNPs must conduct procurement transactions in a manner that

complies with the following Federal standards:

 Provide full and open competition;

112

106

2 CFR § 200.314(a).

107

2 CFR §§ 200.311 and 200.329.

108

2 CFR § 200.311(c). As of the date of this publication, FEMA policy to meet these requirements is under

development. Absent publication of a specific policy, Recipients and Applicants must obtain specific disposition

instructions from FEMA.

109

www.fema.gov/media-library/assets/documents/96773.

110

2 CFR § 200.317.

111

2 CFR § 200.318(a).

112

2 CFR § 200.319(a).

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 Conduct all necessary affirmative steps to ensure the use of minority businesses,

women’s business enterprises, and labor surplus area firms when possible;

113

 Exclude 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;

114

 Maintain written standards of conduct

covering conflicts of interest and

governing the performance of employees

who engage in the selection, award, and

administration of contracts; and

115

 Maintain records sufficient to detail the

history of the procurement. These records

will include, but are not limited to:

o Rationale for the method of

procurement

o Selection of contract type

o Contractor selection or rejection

o The basis for the contract price

116

Terminology

Micro-purchase: purchase of supplies or

services, the aggregate dollar amount of

which does not exceed the micro-purchase

threshold.

Small purchase procedure: rel

atively 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 CFR Subpart 2.1.

Sealed bid: publicly solicited bid awarded via

a firm fixed price contract to the lowest

res

ponsible bidder.

Competitive p

roposal: normally co

nducted

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.

Tribal and local governments and PNPs must use

one of the following procurement methods:

117

 Micro-purchase

 Small purchase procedure

 Sealed bid (formal advertising)

 Competitive proposal

FEMA may reimburse costs incurred under a contract procured through a noncompetitive

proposal only when one or more of the following apply:

 The item is only available from a single source;

 The public exigency or emergency for the requirement will not permit a delay resulting

from competitive solicitation;

 FEMA or the Recipient expressly authorizes a noncompetitive proposal in response to a

written request from the Applicant; or

 After solicitation of a number of sources, competition is determined inadequate.

118

113

2 CFR § 200.321.

114

2 CFR § 200.319(a).

115

2 CFR § 200.318(c)(1).

116

2 CFR § 200.318(i).

117

2 CFR § 200.320.

118

2 CFR § 200.320(f).

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Tribal or local governments and PNPs must perform a cost or price analysis in connection with

every procurement action in excess of the simplified acquisition threshold,

119

including contract

modifications. The method and degree of analysis depends on the facts surrounding the particular

procurement situation. As a starting point, the Applicant must make independent estimates

before receiving bids or proposals.

120

Additionally, the Applicant must negotiate profit as a

separate element of the price for each contract in which there is no price competition and in all

cases where a cost analysis is performed.

121

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 non-compliance with

Federal procurement requirements, FEMA determines a reasonable cost for the eligible work

completed based on all available information and documentation.

122

2. Contracts

FEMA reimburses costs incurred using three types of contract payment obligations: fixed-price,

cost-reimbursement, and, to a limited extent, time and materials (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).

123

The Applicant must include required provisions in all contracts awarded

124

and maintain

oversight to ensure contractors perform according to the conditions and specifications of the

contract and any purchase orders.

125

FEMA does not reimburse costs incurred under a cost plus a percentage of cost contract or a

contract with a percentage of construction cost method.

126

FEMA advises against the use of T&M contracts and generally limits the use of these contracts

to a reasonable time based on the circumstances during which the Applicant could not define a

clear scope of work (SOW). T&M contracts do not provide incentives to the contractor for cost

control or labor efficiency. Therefore, FEMA may reimburse costs incurred under a T&M

contract only if all of the following apply:

 No other contract was suitable;

 The contract has a ceiling price that the contractor exceeds at its own risk; and

 The Applicant provides a high degree of oversight to obtain reasonable assurance that the

contractor is using efficient methods and effective cost controls.

127

The Applicant should define the SOW as soon as possible to enable procurement of a more

acceptable type of contract.

119

The simplified acquisition threshold is set by the Federal Acquisition Regulation at 48 CFR § 2.101. The

threshold is adjusted periodically for inflation.

120

2 CFR § 200.323(a).

121

2 CFR § 200.323(b).

122

2 CFR § 200.338.

123

www.fema.gov/media-library/assets/documents/96773.

124

2 CFR § 200.326.

125

2 CFR § 200.318(b).

126

2 CFR § 200.323(d).

127

2 CFR § 200.318(j).

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Some entities, such as Rural Electrical Cooperatives, provide the materials necessary to restore

their 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.

The Davis Bacon Act, which requires “prevailing wage” payment to contracted workers based on

the local union wage scale defined by the U.S. Department of Labor, does not apply to State,

Territorial, Tribal, local government, or PNP contracts for PA-funded projects. However, 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.

H. Mutual Aid

When an Applicant does not have sufficient 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

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.

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).

128

The Recipient conducts Applicant Briefings to provide PA Program information to potential applicants. This

briefing is described in Chapter 3 Section I.B.

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Eligibility

Three types of mutual aid are eligible: Emergency Work, emergency utility restoration

(regardless of whether it is deemed Category B or F), and grant management. 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 or “standing-by”

 Dispatch operations outside the receiving State, Territory, or Tribe

 Training and exercises

 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 not eligible 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 State, Territorial, Tribal, or local government and the Providing

Entity is another division within the same State, Territorial, Tribal, or local government, straight-

time for budgeted employees of the Providing Entity is not eligible.

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

not eligible.

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 2:V.B). 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 2:VI.C).

I. 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.

129

J. 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

129

Stafford Act § 406(a)(2)(B), 42 U.S.C. § 5172.

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personnel costs, and any other costs funded by the U.S. Department of Defense, such as training,

are not eligible.

K. Direct Federal Assistance

When the impact of an incident is so severe that the State, Territorial, Tribal, and local

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 2:VI.A or B.

130

FEMA issues a “Mission Assignment” to task the work and refers to it

as Direct Federal Assistance (DFA).

131

FEMA cannot task work that another Federal agency has

its own authority to perform.

132

DFA has the same cost-share provisions applicable to the

declaration (as described in Chapter 1:I.E).

L. Donated Resources

Individuals and organizations often donate resources (equipment, supplies, materials, or labor) to

assist with response activities. FEMA does not provide PA funding for donated resources;

however, the Applicant may use the value of donated resources to offset the non-Federal share of

its eligible Emergency Work projects and DFA.

The Applicant may apply the offset if all of the following conditions are met:

 The donated resource is from a third party (a private entity or individual that is not a paid

employee of the Applicant or Federal, State, Territorial, or Tribal government);

 The Applicant uses the resource in the performance of eligible Emergency Work; and

 The Applicant or volunteer organization tracks the resources and work performed,

including description, specific locations, and hours.

133

FEMA considers unpaid individuals who volunteer their labor to an 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).

Resources donated to the Applicant by an

organization that would normally provide the same

resources under its mission 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 the non-Federal cost share of its Emergency

Work.

Donated Resource Project

Preparation

FEMA prepares the donated resource project

separate from the Emergency Work projects

for the Applicant’s incurred costs. FEMA does

not obligate the donated resource project

until after it obligates all of that Applicant’s

Emergency Work projects.

Resources donated by a Federal agency, funded

through a Federal award, or from another federally

funded source are not eligible as an offset to the

130

44 CFR § 206.208(a).

131

44 CFR § 206.208(c)(1).

132

44 CFR § 206.208(c)(2).

133

2 CFR § 200.434(d).

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non-Federal share.

134

Additionally, when an Applicant uses donated resources for ineligible

Emergency Work, or for any Permanent Work (eligible or ineligible), the value of those

resources are not eligible as an offset to the non-Federal share.

All projects approved under PA are subject to cost sharing

135

; therefore, FEMA applies the

Federal cost share to the total value of donated resources. FEMA does not apply the offset

toward other State, Territorial, or Tribal government obligations, toward Permanent Work, or

toward another Applicant’s projects.

Offset Amounts

 Volunteer Labor: The offset for volunteer labor 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.

136

 Donated Equipment: The offset for donated equipment is based on equipment rates. See

Chapter 2:V.B for information on equipment rates.

 Donated Supplies or Materials: The offset for donated supplies or materials is based on

current commercial rates, which FEMA validates based on invoices from previous

purchases or information available from vendors in the area.

137

 Logistical Support: Reasonable logistical support for volunteers doing eligible work, such

as donations warehousing and management related to eligible Emergency Work, may be

eligible either for funding (if the Applicant provides the logistical support) or as a

donations credit (if a third party provides the logistical support), subject to approval by

FEMA.

M. Project Management and Design Services

Project management activities, such as procurement, document review, and construction

oversight, are eligible provided the activities are tracked and directly related to a specific,

eligible project.

Engineering and design services and construction inspection are also eligible provided the

services are necessary to complete eligible work. Some projects require only very basic services

or none at all, while others require specialized engineering and design.

When evaluating the eligibility of project management and design services and the

reasonableness of associated costs, FEMA considers all of the following:

 Project complexities;

 Whether redesign was necessary as a result of unexpected site conditions;

 Whether the project includes improvements that are not eligible for funding (management

and design costs associated with ineligible work are not eligible); and

134

2 CFR § 200.306(b)(5).

135

44 CFR § 206.203(b).

136

2 CFR § 200.306(e).

137

2 CFR § 200.306(g).

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 Applicable cost factors noted in the beginning of Chapter 2:V.

N. Grant Management and Administration

FEMA provides PA funding for administrative costs related to managing the PA Program and

PA projects. FEMA provides PA funding differently depending on whether the costs are indirect,

administrative, or other expenses the Recipient or Subrecipient incurs in administering and

managing PA awards that are not directly chargeable to a specific project or if the costs are

directly chargeable to a specific project.

138

1. Section 324 Management Costs

Section 324 of the Stafford Act authorizes PA funding for management costs. Management costs

are indirect costs, administrative expenses, and other expenses a Recipient or Subrecipient incurs

in administering and managing PA awards that are not directly chargeable to a specific

project.

139

Examples include, but are not limited to:

 Preliminary Damage Assessments (PDAs)

 Meetings regarding the PA Program or overall damage claim

 Organizing damage sites into logical groups

 Travel expenses

 Correspondence

FEMA provides 100 percent Federal funding for management costs based on actual costs

incurred up to a percentage of the Federal share of projected eligible program costs, not

including DFA. For PA, the maximum percentage is 3.34 percent for Major Disaster

Declarations

140

and 3.90 percent for Emergency Declarations.

141

Management costs are capped at

a combined total of $20 million dollars per declaration across both PA and the Hazard Mitigation

Grant Program (HMGP), unless FEMA approves an exception.

142

If a State and Tribal Government are both Recipients for the same incident within the same State,

then both are eligible to receive management cost funding. The Recipient determines the amount

of funds, if any, that it will pass through to Subrecipients for management costs.

143

The Recipient can expend management cost funds for a maximum time of:

 Eight years from the date of a Major Disaster Declaration, or 180 days after the latest

performance period of a non-management cost PA project or HMGP project narrative,

whichever is sooner

144

 Two years from the date of an Emergency Declaration, or 180 days after the latest

performance period of a non-management cost PA project, whichever is sooner

145

138

Stafford Act § 324(a), 42 U.S.C. § 5165b; 44 CFR § 207.2; and 2 CFR §§ 200.56 and 200.412.

139

Stafford Act § 324(a), 42 U.S.C. § 5165b; 44 CFR § 207.2; and 2 CFR §§ 200.56 and 200.412.

140

44 CFR § 207.5(b)(4)(i).

141

44 CFR § 207.5(b)(4)(iii).

142

44 CFR § 207.5(c).

143

44 CFR § 207.4(c).

144

44 CFR § 207.8(b)(1).

145

44 CFR § 207.8(b)(2).

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The Recipient can submit a written justification for an extension on the period of availability to

FEMA.

146

If approved, FEMA limits any additional time to a maximum of 180 days after the

expiration of any performance period extensions granted under PA for project completion of a

non-management cost project.

147

2. Direct Administrative Costs

If the Recipient or Subrecipient incurs administrative costs that it tracks, charges, and accounts

for directly to a specific eligible project, the costs are eligible as Direct Administrative Costs

(DAC). The Recipient or Subrecipient cannot charge costs to a project if it previously allocated

similar costs incurred for the same purpose in like circumstances to indirect costs.

Costs associated with the following activities are

eligible as DAC if they are related to only one

project and meet the above requirements (this list

is not all-inclusive):

 Site inspections

Recipient DAC Claim

Recipients may claim all DAC for each

declaration on one PW provided DAC related to

different Subr

ecipients are documented on

 Developing the detailed site-specific

separate site sheets within that PW. The

damage description

Recipient must link the costs and activities to

 Evaluating Section 406 hazard mitigation

specific subawards within each site sheet.

measures

Some Recipients submit DAC quarterly. To

 Reviewing the Project Worksheet (PW)

148

minimize Federal, State, and Tribal

 Preparing Small Projects

149

 Preparing correspondence

administrative costs, once a Recipient submits

its initial DAC claim, FEMA does not process

another DAC claim related to the same

 Travel Expenses

subaward until the Recipient submits its final

 Collecting, copying, filing, or submitting

DAC claim for that subaward.

documents to support the claim

See Chapter 3:II for information on PWs and

 Requesting disbursement of PA funds

sites sheets.

FEMA normally considers the salaries of

administrative and clerical staff as indirect costs.

Direct charging of these costs may be appropriate only if all of the following conditions are met:

 Administrative or clerical services are integral to a project or activity;

 Individuals involved are specifically identified with the project or activity;

 Such costs are explicitly included in the budget for that project or have FEMA’s prior

written approval; and

 The costs are not also recovered as indirect costs.

FEMA considers the following factors when determining the reasonableness of DAC:

 Whether the type of employee and skill level is appropriate for the activities performed;

and

146

The FEMA Chief Financial Officer must approve the request.

147

44 CFR § 207.8(b)(3).

148

A Project Worksheet (PW) is the form FEMA uses to document the details of the Applicant’s project and costs

claimed.

149

The Applicant may prepare its own Small Projects. Chapter 3 Section IV.B defines Small Projects.

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 The level of effort required to perform an 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.

FEMA will use the level of effort required by FEMA staff to perform similar functions as a

reference point to determine whether the level of effort claimed by the Recipient or Subrecipient

is reasonable.

FEMA does not reimburse DAC based on blended rates (e.g., a labor rate plus a percentage of

overall travel expenses or one rate for all levels of employees involved in a project). Labor and

travel expenses must be tracked separately and shown as directly related to a specific project.

FEMA provides PA funding for DAC at the same cost-share provisions applicable to the

declaration (as described in Chapter 1:I.E).

O. 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 indirect costs and eligible as management costs, described in

Chapter 2:V.N.1. They are not eligible as project costs or DAC.

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 DAC provided the

Applicant tracks the costs to a specific project.

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 that

system that was actually damaged. For example, if after inspecting 500 linear feet of sewer line,

the Applicant identified 100 linear feet of damaged line, only one-fifth of the total 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).

150

The criteria are summarized in Appendix C: Welded Steel Moment Frame.

Safety inspections are eligible as discussed in Chapter 2:VI.B.14.

P. 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.

151

150

www.fema.gov/media-library/assets/documents/747.

151

Stafford Act § 312, 42 U.S.C. § 5155, and 2 CFR § 200.406.

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1. Insurance Proceeds

FEMA cannot provide PA funding that duplicates insurance proceeds.

152

Consequently, FEMA

reduces eligible costs by the amount of:

 Actual insurance proceeds, if known;

153

 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). 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 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.

154

2. 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.

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 not eligible, FEMA does not

allow the Applicant to apply the funds toward its non-Federal cost share.

152

Ibid.

153

44 CFR §§ 206.252(c) and 253(a).

154

www.fema.gov/media-library/assets/documents/107564.

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3. Third-Party Liability

When a third party

155

causes damage (e.g., an oil spill) or increases the cost of repair or cleanup

and an 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.

4. 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.

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

the other Federal award has specific statutory authority allowing it to be utilized to meet cost-

share requirements.

156

For example, the Community Development Block Grant program

administered by HUD may be used for the non-Federal share on PA projects if certain

requirements are met. The Applicant cannot apply PA funds toward the non-Federal cost share of

other Federal agency funding.

Q. Duplication of Funding Between FEMA Programs

FEMA provides assistance under its Individual Assistance (IA) programs and 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 State, Territorial, Tribal, or local government has legal authority to

perform the work. For example, a homeowner may receive Individuals and Households Program

(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.

R. 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 not eligible because the Stafford Act does

not authorize FEMA to provide PA funding for these items.

155

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.

156

Stafford Act § 312, 42 U.S.C. § 5155.

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1. Loss of Revenue

FEMA cannot provide PA funding for revenue lost as a result of the incident. The following are

examples of when loss of revenue may occur as a result of an incident:

 Hospitals release non-critical patients to make room for survivors

 Hospitals sustain damage that reduces pre-existing capacity

 States open a toll road for evacuation and do not charge a toll

 States waive the normal fee for ferry service to encourage alternate transportation after an

incident

 A utility system is shut down as a result of the incident

 Events are cancelled as a result of an entity using a venue for incident-related activities,

such as sheltering

2. 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 period of time, 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.

3. Tax Assessments

State, Territorial, Tribal, and local governments may conduct tax assessments to re-assess real

property values after an incident. Costs related to conducting these assessments are not eligible

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.

4. Increased Operating Costs

Increased costs of operating a facility or providing a service are generally not eligible, 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 2:VI.B.2.

VI. Emergency Work Eligibility

FEMA is authorized to provide

PA funding for Emergency

Work,

157

including emergency

protective measures and debris

removal. Emergency Work is that

which must be done immediately

to:

 Save lives;

 Protect public health and

safety;

 Protect improved property; or

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44 CFR § 206.201(b).

Figure 12. Emergency Work Eligibility

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 Eliminate

158

or lessen an immediate threat of additional damage.

159

“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.

160

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 12). 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

 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 2:III.B for details).

For State, Territorial, Tribal, and local 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.

Environmental and Historic Preservation

The Applicant is responsible for obtaining all required environmental and historic preservation

(EHP) permits from the appropriate agencies before proceeding with Emergency Work. 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 prior to the start of work.

Emergency Work is excluded from National Environmental Policy Act (NEPA) review through a

statutory exclusion (STATEX).

162

However, FEMA must ensure compliance with other Federal

158

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.”

159

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.

160

44 CFR § 206.221(c).

161

44 CFR §§ 206.204(c) and (d).

162

Stafford Act § 316, 41 U.S.C. 5159.

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EHP laws, regulations, and EOs, including those related to floodplains, wetlands, federally listed

threatened and endangered species and their critical habitats, and historic properties. Most EHP

laws contain emergency provisions to expedite response activities that must be taken to prevent

imminent loss of human life or damage to improved property.

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.

A. 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

164

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.

165

Debris includes, but is not limited to, vegetative debris, construction and demolition debris, sand,

mud, silt, gravel, rocks, boulders, 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,

166

is eligible. If State, Territorial, Tribal, or local governments authorize

residents to place incident-related debris on public ROWs, FEMA provides PA funding to

remove the debris from the ROWs for a limited period of time.

Removal of debris placed on the public ROWs from commercial properties is not eligible unless

it is pre-approved by FEMA (see Chapter 2.VI.A.6(d)). Additionally, removal of materials

related to the construction, repair, or renovation of either residential or commercial structures is

not eligible.

163

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.

164

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.

165

Stafford Act § 407, 42 U.S.C. § 5173, and 44 CFR § 206.224(a).

166

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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Debris removal from the following is not eligible:

 Federally maintained navigable channels and waterways

 Flood control works under the authority

of the Natural Resources Conservation

Service (NRCS)

 Agricul

tural land

 Natural, unimproved land, such as

heavily wooded areas and unused areas

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.

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 2:VII.H.2(a).

Environmental and Historic Preservation Compliance Considerations

Although debris removal is generally 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 debris removal operations avoid impacts to

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, wetlands, structures, wells, and septic tanks with leach fields.

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.

1. Alternative Procedures Pilot Program for Debris Removal

The Applicant may elect to participate in one or more of the following Alternative Procedures

for debris removal:

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 Increased Federal cost share based on a sliding scale linked to the accelerated completion

of debris removal

 Reimbursement of straight-time for force account labor

 Retention of income generated from recycling debris

 A one-time 2 percent increased cost-share incentive for a FEMA-accepted debris

management plan

168

with pre-qualified debris removal contractors before the start of the

incident period

The Applicant must notify FEMA of its intent to participate in the pilot program by signing and

submitting the Public Assistance Alternative Procedures Pilot Program for Debris Removal

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The Debris Removal Alternative Procedures Pilot Program is currently authorized for declarations through June

27, 2017. On or before that date, FEMA will provide information as to whether the program is extended beyond that

date at www.fema.gov/alternative-procedures.

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FEMA reviews debris management plans as described in Appendix D: Debris Management Plan Job Aid.

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Acknowledgement

169

before obligation of its first debris removal project or within 60 days of its

Recovery Scoping Meeting, whichever is sooner. If the Applicant submits the acknowledgement

and subsequently wishes to rescind its participation in one or more of the Alternative Procedures,

it may do so provided it submits written notification prior to obligation of its first debris removal

project. The process for participating in and preparing projects under the Alternative Procedures

is further detailed at www.fema.gov/alternative-procedures.

(a) Accelerated Debris Removal – Increased Federal Cost Share

With the Accelerated Debris Removal Procedure, FEMA increases its Federal cost share above

the minimum 75 percent based on the timeframes shown in Table 4. Each percentage applies to

the costs related to the work conducted during each timeframe. The timeframe is based on the

start date of the incident period.

FEMA will not provide PA funding for costs associated with debris removal activities conducted

after 180 days from the start of the incident period, unless FEMA grants an extension. Recipients

may not grant time extensions under the Accelerated Debris Removal Procedure. FEMA is

unlikely to authorize extensions for weather-related delays or the inability to obtain permits in a

timely manner. Additional debris removal beyond the 180 days cannot be completed via DFA.

Table 4. Accelerated Debris Removal Alternative Procedure

Timeframe (days from start of incident period)

Federal Cost Share

1–30

85%

31–90

80%

91–180

75%

181+

0% (unless FEMA approves a time extension)

To participate in the Accelerated Debris Removal Procedure, the Applicant must apply the

procedure to all of its debris removal projects. The projects must reflect actual costs for all debris

removal activities conducted from the incident’s start date until the end of the applicable

timeframe. FEMA will not process Accelerated Debris Removal projects based on estimates,

even for Small Projects.

The Accelerated Debris Removal Procedure is only available for grant assistance. FEMA will

not apply this procedure to debris removal conducted via DFA.

(b) Reimbursement of Straight-Time for Force Account Labor

Reimbursement of straight-time for the Applicant’s employees conducting debris removal

activities is eligible.

Debris Management Plan

FEMA encourages State, Territorial, Tribal, and local governments to establish written

procedures and guidance for managing debris in an expeditious, efficient, and environmentally

sound manner. FEMA refers to this as a Debris Management Plan (DMP). When the Applicant

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www.fema.gov/media-library/assets/documents/89675.

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has both a FEMA-accepted DMP and pre-qualified

170

debris removal contractors before the start

of the incident period, the Applicant may request the DMP incentive under the Alternative

Procedures. The incentive consists of an additional 2 percent Federal cost share for debris

removal activities conducted within 90 days from the start of the incident period. The Applicant

must implement the DMP for that incident. FEMA will only provide this incentive toward one

incident for each Applicant during the Alternative Procedures Pilot Program for Debris Removal.

The content of a DMP will vary depending on State, Territorial, Tribal, and local vulnerabilities,

ordinances, zoning, critical infrastructure locations, disposal locations, and other localized

factors. The following 10 elements are the basic components of a comprehensive DMP:

 Debris management overview

 Incidents and assumptions

 Debris collection and removal plan

 Debris removal from private property

 Public information

 Health and safety requirements

 Environmental considerations and other regulatory requirements

 Temporary debris management sites and disposal locations

 Force account or contract resources and procurement

 Monitoring of debris operations

FEMA’s Debris Management Plan Job Aid (Appendix D) discusses each of these components in

detail.

Pre-qualified Contractor

The Applicant must have pre-qualified contractors in order to be eligible for the additional

2 percent Federal cost share. A pre-qualified 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. To pre-qualify a

contractor, the Applicant:

 Should identify the qualifications during the development of its DMP, which should

include specific contract requirements, and explain how it established the qualifications;

 Should ensure pre-qualification procedures do not restrict full and open competition and

should document its justification for the use of pre-qualified contractors in procurements

using Federal funds; and

 Must ensure that the list is current and includes enough qualified sources to ensure

maximum full and open competition.

A pre-qualified contractor is not entitled to a “stand-by” contract. The Applicant must still

conduct full and open competition that meets the requirements of Chapter 2:V.G. The Applicant

must allow additional contractors to qualify during the solicitation period.

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2 CFR § 200.319(d).

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Review and Acceptance

The Applicant should submit its DMP to the State or Territory for review and coordination. The

State or Territory should review the DMP to ensure that it meets the overall intent of establishing

processes and procedures to remove debris expeditiously, efficiently, and in an environmentally

sound manner and subsequently forward it to FEMA. FEMA reviews the DMP to confirm that it

sufficiently addresses each of the components. FEMA generally provides its determination of

whether the DMP is acceptable within 30 days of receipt of the DMP.

FEMA’s review and acceptance of the DMP does not constitute FEMA approval of any

operational component of the plan and does not commit FEMA to funding any aspect of the plan.

FEMA determines the eligibility of costs for debris removal and management based on

established PA Program authorities, regulations, policies and guidance.

(d) Recycling Revenue

Standard PA Program

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.

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.

Recycling Revenue

 Standard Program: Applicant cannot

retain; FEMA reduces PA funding by the

amount of revenue received.

 Alternati

ve Procedures: Applicant may

retain if used for an approved purpose.

Alternative Procedures Pilot Program

One of the alternative procedures authorizes the

Applicant to retain revenue received through

recycling if used prior to the period of

performance de

adline for any of the following

purposes:

 To offset the non-Federal cost share of the

Applicant’s debris projects

 To develop disaster preparedness and

assistance plans, programs, and

capabilities

 To reduce the risk of future damage, hardship, or suffering from an incident

 To improve future debris removal operations or planning, including, but not limited to,

the following:

o Developing, updating, or revising DMPs

o Enhancing Applicant-owned landfills and debris management sites

o Installing mechanisms to control the flow of debris in future incidents (e.g., debris

trash racks, K-Rail debris guards, silt fences)

o Purchasing equipment to facilitate sorting, reducing, recycling, or removing debris

(e.g., street sweepers, shredders, backhoes, balers, sorting conveyors)

o Purchasing software and hardware products to facilitate quantifying debris

o Purchasing onboard weight measurement systems for debris-collection trucks

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Purchasing software systems for debris load management to assist in tracking trucks,

drivers, and routes

FEMA does not provide PA funding for the cost of establishing or managing the recycling

program or process, or additional sorting or processing of debris for recycling purposes.

The Applicant must provide written notification of the revenue received. It should submit this

information within 30 days of completion of its debris removal operations. This should include

the completion date of the debris removal operations, the quantity and types of debris recycled,

and the cost for processing the debris for recycling. The Applicant must provide an accounting of

how it used the revenue. It should submit this information within 90 days of the period of

performance deadline.

If the Applicant does not use the revenue for an authorized purpose, FEMA reduces PA funding

by the amount of the recycling revenue.

2. 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 not eligible 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 will jeopardize 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 not eligible for

removal later if it dies.

Pruning, maintenance, trimming, and landscaping are not eligible.

(a) 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).

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Only the minimum cut necessary to remove the hazard is eligible. For example, cutting a branch

at the trunk is not eligible if the threat can be eliminated by cutting it at the closest main branch

junction.

(b) 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 not eligible.

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 the State Historic Preservation Officer

(SHPO) or Tribal Historic Preservation Officer (THPO). If the Applicant discovers any potential

archeological resources during stump removal, the Applicant must immediately cease work and

notify FEMA.

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.

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 not eligible.

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 the Stump Conversion Table (Appendix E).

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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 the Hazardous Stump Worksheet (Appendix F) and

present documentation to substantiate the costs as reasonable based on the equipment required to

perform the work.

(d) Documentation Requirements

The Applicant must provide all of the following documentation to support the eligibility of

removing tree limbs, branches, stumps, or trees that are still in place:

 Specifics of the immediate threat with the U.S. National Grid (USNG) location and

photograph or video documentation that establishes the item is on public property;

 Diameter of each item removed (measurement must be 2 feet up the trunk from the

ground for stumps and 4.5 feet up for trees);

 Quantity of material to fill root-ball holes; and

 Equipment used to perform the work.

3. 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 and treating water contaminated with the hazardous material

 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, but testing for the purpose of long-term cleanup actions is not eligible.

The Applicant must comply with Federal, State, Territorial, Tribal, and local government

environmental requirements for handling hazardous materials. Before handling or disposing of

hazardous materials, the Applicant should contact the appropriate Federal, State, Territorial, or

Tribal agency and obtain required permits. 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), the U.S. Environmental Protection Agency (EPA)

171

and the U.S. Coast Guard (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

171

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/media-library/assets/documents/136089.

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zone

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and the USCG has responsibility for responses in the coastal zone.

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Response actions

may include containment, stabilization, decontamination, collection (e.g., orphan tanks, drums),

and disposal.

4. 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 not eligible, even if the debris is deposited by the incident.

EPA and 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.

(a) 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 not eligible unless it is necessary in order 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 U.S.

Army Corps of Engineers (USACE) have specific authorities for removal of hazardous

substances, vessels, and other obstructions from federally maintained navigable waterways.

(b) 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.

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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.

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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.

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Removal of the obstruction is eligible even in streams

where debris removal would also be eligible under the

NRCS Emergency Watershed Protection Program

(EWP)

174

unless NRCS provides assistance for the debris

removal. However, debris removal from flood control

works that are under the specific authority of NRCS is

not eligible for PA funding, even if NRCS does not have

sufficient funding or does not provide assistance.

For flood control works that are eligible for the USACE

Rehabilitation and Inspection Program (RIP),

175

debris

removal is eligible for PA funding. USACE does not

reimburse Applicants for debris removal, but conducts

this activity directly when necessary.

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.

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 not eligible.

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) Documentation

For FEMA to determine that debris removal from waterways is eligible, the Applicant must

provide documentation that:

 Establishes legal responsibility;

 Includes the basis of the immediate threat determination;

 Identifies locations, types, and quantities of debris; and

 Demonstrates the debris claimed was deposited by the incident and was not pre-existing.

5. Privately Owned Vehicles and Vessels

Removal of privately owned vehicles and vessels 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 and the Applicant is unable to identify the owner;

 The Applicant follows applicable State, Territorial, Tribal, and local government

ordinances or laws for private vehicle or vessel removal; and

 The Applicant verifies the chain of custody of the vehicle or vessel.

174

See www.nrcs.usda.gov/wps/portal/nrcs/main/national/programs/landscape/ewpp.

175

See www.usace.army.mil/Missions/CivilWorks/LeveeSafetyProgram/LeveeInspections.aspx.

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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 subsequently identified, the Applicant

must return to FEMA the Federal share of any funds it recovers for storage costs.

6. Debris Removal from Private Property (Requires Prior FEMA Approval)

In limited circumstances, based on the severity of

the impact of an incident, FEMA may determine

that debris removal from private property is eligible

under the PA Program. In making its determination,

FEMA evaluates whether the impacts of debris on

private property affect the general public in that

community and whether the Applicant has legal

authority to perform the work.

If debris on private property is so widespread that it threatens public health and safety or the

economic recovery of the community, FEMA may provide PA funding for debris removal from

private property. This debris removal must be in

the public interest, not merely benefiting an

Clarification of Demolition versus

individual or a limited group of individuals within

Debris

the community.

176

If more than one wall of a structure is

In such cases, FEMA works with the State,

standing, FEMA considers the removal of that

Territorial, Tribal, and local governments to

structure to be demolition and not debris

designate specific areas where debris removal from

removal. Demolition is subject to additional

private property, including private waterways, is

eligible.

documentation to determine eligibility and

must comply with Chapter 2:VI.B.16.

(a) Written Request

Prior to commencing work on private property, the Applicant must submit a written request and

receive approval from FEMA. The written request must include:

 A public interest determination;

 Documentation supporting the Applicant’s legal authority to remove the debris; and

 Indemnification.

The Applicant needs to identify the specific properties or areas of properties for which it is

requesting approval.

Public

Interest Determination

The Applicant must provide the basis for the determination that removing the debris from the

private property requested is 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 in the designated area constitutes an immediate threat to life, public health, or safety, or

to the economic recovery of the community at large.

176

Stafford Act § 407, 42 U.S.C. § 5173, and 44 CFR § 206.224(b).

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Additionally, the Applicant must submit its established, speciﬁc legal requirements for declaring

the existence of a threat to public health and safety.

Legal

Authority and Responsibility

The Applicant must provide documentation to confirm its legal authority and responsibility to

enter private property and remove disaster-related debris. This includes:

 Citation of the law, ordinance, code, or emergency powers for which it is exercising its

legal authority to remove debris from private property. The authority cited must be

applicable to the condition representing the immediate threat and not merely the

Applicant’s uniform level of services. Typically, solid waste disposal ordinances are part

of an Applicant’s uniform level of services and not a justification for entering private

property to remove disaster-related debris.

 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 to remove debris to address immediate threats to life, public health,

and safety.

Indemnification

The Applicant must indemnify the Federal Government and its employees, agents, and

contractors from any claims arising from the removal of debris from private property.

(b) FEMA Approval

FEMA will provide a written response to the request specifying any properties or area of

properties for which debris removal is approved.

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 before FEMA will provide PA funding for debris

removal from private property.

Debris removal from private residential property within a gated community is not eligible.

However, if the debris is placed on a private road within the gated community, debris removal

from the road may be eligible in accordance with the eligibility and request criteria listed in

Chapter 2.VI.A.6(a).

(d) Debris Removal from Commercial Property

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 2.VI.A.6(a) and (b).

(e) Duplication of Benefits

The Applicant should work with private property owners to pursue and recover insurance

proceeds and credit FEMA the Federal share of any insurance proceeds received. In some

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circumstances, FEMA may provide IA assistance to individuals for debris removal;

consequently, FEMA PA staff will coordinate closely with IA staff to ensure FEMA does not

fund the same work under both programs.

7. 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.

Certain types of construction and demolition debris are reusable or recyclable. The Applicant

should conserve landfill space by separating materials for reuse or recycling.

(a) Temporary Staging Sites

Establishing and operating a temporary staging site necessary for the purpose of 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.

(b) 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 will only

fund a maximum of 85 percent of the debris in trucks

without solid tailgates.

The Applicant must document the types and total

quantity of debris that was hand-loaded 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.

Eligible Tipping Fee

Components

Eligible fixed costs include:

 Equipment

 Construction

 Perm

its

 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

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

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public infrastructure, are not eligible 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.

8. Monitoring Debris Removal Operations

For FEMA to determine the eligibility of debris removal operations, the Applicant must provide

debris types, quantities, reduction methods, and pickup and disposal locations. FEMA requires

the Applicant to monitor all contracted debris operations to document this information and

ensure that its contractor removes eligible debris. If the Applicant does not monitor contracted

debris removal operations, it will jeopardize 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 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

 Training debris monitors on debris removal operations, monitoring responsibilities and

documentation processes, and FEMA debris eligibility criteria

B. 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.

177

FEMA may require certification by Federal, State, Territorial, Tribal, or local government

officials that a threat exists, including:

 Identification and evaluation of the threat

 Recommendations of the work necessary to cope with the threat

178

177

44 CFR § 206.225(a)(3).

178

44 CFR § 206.225(a)(2).

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Saving Lives and Protecting Public Health and Safety

The following is a list of emergency protective measures and costs that are eligible. These

actions save lives or protect public health or safety. This list is not all-inclusive. Some of these

actions are discussed in detail below.

 Transporting and pre-positioning equipment and other resources for response

 Flood fighting

 Emergency Operation Center (EOC)-related costs

 Emergency access

 Supplies and commodities

 Medical care and transport

 Evacuation and sheltering, including that provided by another State or Tribal government

 Child care

 Safety inspections

 Animal carcass removal

179

 Demolition of structures

180

 Search and rescue to locate survivors, household pets, and service animals requiring

assistance

 Fire fighting

 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

 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

2:VI.B.2)

 Mosquito abatement (see Chapter 2:VI.B.12)

 Repair of residential electrical meters (see Chapter 2:VI.B.13)

 Temporary relocation of essential services, including safe rooms for schools (see Chapter

2:VI.B.17)

 Snow-related activities when specifically authorized in the declaration (see Chapter

2:VI.B.18)

179

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.

180

FEMA usually reimburses demolition of a public structure as part of the Permanent Work project to replace the

facility.

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Protecting Improved Property

The following is a list of eligible emergency protective measures to protect improved property,

181

some of which are discussed in further detail below. This list is not all-inclusive.

 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

 Temporary 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)

 Taking actions to save the lives of animals that are eligible for replacement (see Chapter

2:VII.H.3(e))

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 in a

community such that it is a threat to the health and safety of the general public in that

community;

 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.

Examples of situations where this may occur include:

 Demolition of unsafe private structures that endanger the public

 Pumping of ﬂooded basements

 Pumping of septic tanks or decontamination of wells causing a pollution threat

 Stabilizing a slope

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 in that

community; and

181

44 CFR § 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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 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 staff will coordinate closely with IA staff to ensure FEMA

does not fund the same work under both programs.

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 State, Territorial, Tribal, or local

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 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

 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

State, Territorial, Tribal, or local 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 State, Territorial, Tribal, or local government, FEMA may

reimburse the volunteer fire department directly as an eligible Applicant.

1. 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.

Pre-positioning resources for the purpose of evacuating, or providing emergency medical care

during the evacuation period (such as ambulances and busses), is eligible even if those resources

are not ultimately used, provided the staging of those resources was necessary and prudent based

on the data at the time of staging.

2. Expenses Related to Operating a Facility or Providing a Service

The Applicant may incur additional costs related to operating a facility as a result of the incident

because of an increased demand for the services the facility provides.

These additional costs are only eligible if:

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 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 period of time based on the exigency of the circumstances; and

 The Applicant tracks and documents the additional costs.

Potentially eligible increased operating costs include, but are not limited to, costs for:

 Generators at a hospital or police station

 Water testing and treatment supplies in the immediate aftermath of the incident to counter

a speciﬁc threat

 Fuel for increased use of a pumping station

 EOC facility costs (e.g., utilities)

Examples of ineligible operating costs include, but are not limited to, costs for:

 Patient care, except as noted in Chapter 2:VI.B.9

 Administrative activities

 Provision of food, except as noted in Chapter 2:VI.B.5, 7, and 8

 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 fuel for school bus service

For PNPs, operating costs are generally not eligible 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.

3. Emergency Public Transportation and Communication (DFA only)

A State, Territorial, Tribal, or local 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 not eligible for

reimbursement.

182

However, FEMA may provide short-term DFA for these services.

183

4. 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 Applicants for flood fighting. However, they are not

eligible 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.

182

Transportation costs for the purpose of evacuation are eligible for reimbursement as described in Chapter

2:VI.B.10.

183

Stafford Act §§ 418 and 419, 42 U.S.C. §§ 5185 and 5186, and 44 CFR § 206.225(c) and (d).

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Dewatering agricultural and natural areas behind levees and other water control structures is not

eligible.

5. 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

 Meal costs, as described in Chapter 2:VI.B.8

6. Emergency Access

There are times when the incident damages or impairs all access routes to an essential

community service, or to a community with survivors. If the extent of damage makes these areas

inaccessible, work related to providing access may be eligible. This includes debris removal

from or 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.

Removal of debris from a privately owned facility, including those within gated communities, is

eligible only when all of the following conditions are met:

 There is no other access point;

 Debris impedes emergency access;

 The Applicant completes all legal processes and obtains rights-of-entry and agreements

to indemnify and hold harmless the Federal Government; and

 Work is performed by an eligible Applicant with legal authority to perform the work.

Emergency repairs to a privately owned facility, 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;

 The Applicant completes all legal processes and obtains rights-of-entry and agreements

to indemnify and hold harmless the Federal Government; and

 Work is performed by an eligible Applicant with legal authority to perform the work.

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.

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7. 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

2:V.D. Examples 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.

8. 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 2:V.A.1;

 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.

184

9. 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

184

FEMA reimburses meal costs as part of a contract in accordance with the contract terms provided it meets the

requirements in Chapter 2:V.G.

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medical services provided. Costs are eligible for up to 30 days from the declaration date unless

extended by FEMA.

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, suc h 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

 Use of ambulances for distributing

immunizations and setting up mobile

medical units

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:

Long-term

medical treatment

not eligible.

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).

 Medical supplies

 Medications

 Diapers

 Adult incontinence briefs

 Bandages

FEMA does not provide PA funding for these

costs if underwritten by private insurance,

Medicare,

Medicaid, or a pre-existing private

payment agreement.

185

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



Administrative

costs associated with the treatment of survivors

185

Stafford Act § 312, 42 U.S.C. § 5155.

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10. Evacuation and Sheltering

(a) Evacuation Including Accessible

Transportation and Emergency Medical

Transportation

Evacuation and sheltering of survivors are eligible

activities. This includes household pets and service

and assistance animals, but not exhibition or

livestock animals.

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

Transportation of evacuees, household pets, service

animals, luggage, and du rable 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:

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.

 Transferring patients from inoperable,

compromised, or ove rwhelmed 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 gro

und ambulance services if necessary.



Use of equipment such as buses, trucks, or ot

her 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 sta

nd-by time for drivers and contracted equipment while waiting

to transport survivors.



Paratransit transportation services, s

uch as vans, minibuses, and buse

s, (i

ncluding

accessible vehicles) to transport

senior citizens, individuals with disabilities

(including

mobility disabilities)

access and functional needs, individuals in nursing homes and

assisted-living facilities,

and homebound individuals impacted by the incident.



Tracking of evacuees, ho

usehold 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.

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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.

186

(b) Sheltering

FEMA provides PA funding to State, Territorial, Tribal, and local 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.

Transitional Sheltering Assistance

Program

FEMA’s Transitional Sheltering Assistance

program provides short-term lodging to eligible

survivors who, after an evacuation, cannot

return to their homes for an extended period of

time because their community is either

uninhabitable or inaccessible as a result of the

incident.

FEMA implements and manages Transitional

Sheltering Assistance directly through a contract

agent.

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 a

nd 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 or Tribal Government has requested Transitional Sheltering

Assistance;

186

Stafford Act § 312, 42 U.S.C. § 5155.

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 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 time frame requested (i.e., date of activation and length of time).

187

FEMA will limit any approval to that which is reasonable and necessary to address the needs of

the event (generally 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 will need to maintain tracking mechanisms to

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 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

 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.

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 2:V.L. Sheltering and caring for

household pets is only eligible while the pet owner is in an emergency shelter.

Shelter Facility Costs

 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 child care facility, or

functional as an animal shelter

 Restoration to return the facility to its condition prior to use

 Generator costs

 Secure storage space for medical supplies

187

44 CFR §§ 206.225(a)(2) and 206.202(c) and (d).

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If an eligible State, Territorial, Tribal, or local 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 costs for the volunteer agency’s workers are not eligible (except as a

donated resource in accordance with the criteria in Chapter 2:V.L).

Shelter Staff Costs

 Medical staff

 Personal assistance service staff

 Veterinary staff

 Public Information Officer

 Social workers

 Food service workers

 Custodial and facilities staff

 National Guard personnel (See Chapter 2:V.J)

Shelter Supplies and Commodities

 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

 Washers and dryers – one of each per 50 shelterees

 Toys and books

Shelter Services

Shelter services are eligible for the time the facility is actively used to shelter survivors.

 Shelter management

 Supervision of paid and volunteer staff

 Cleaning the shelter, linens, and animal crates

 Shelter safety and security

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

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 Movement between a cot and wheelchair (transferring)

o Maintaining health and safety

o Taking medications

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)

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 a

congregate 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 not eligible)

 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 authorities (i.e., independent of any Federal, State, Tribal, or local

request) are not eligible for reimbursement]

FEMA reimburses State, Territorial, Tribal, and local governments for the cost of providing

licensed child care 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

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child care services that the eligible Applicant provides to other survivors, and beyond the period

of emergency sheltering, with certification that temporary child care is necessary to meet

immediate threats to life, public health and safety, or property.

Child care includes services such as:

 Day care for children

 Before- and after-school care

The Applicant may provide these services within a shelter facility or in a separate facility, as

appropriate. FEMA PA staff will coordinate with IA staff to ensure there is no duplication with

IHP assistance.

(d) Host-State or Host-Tribe Evacuation and Sheltering

If the impacted State or Tribe (Impact-State or Impact-Tribe)

188

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)

189

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 2:V.H. FEMA

may also provide PA funding to a Host-

State/Tribe directly, even if the Impact-

State/Tribe already requested assistance directly

from that Host-State/Tribe, provided that:

 The Host-State/Tribe agrees to accept

evacuees based on need—without

restriction;

 The Host-State/Tribe makes at least 10 percent of its normal day-to-day sheltering

capacity available;

 An authorized official from the Host-State/Tribe transmits a written agreement of these

two terms to FEMA; and

 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 CFR

§ 206.44, FEMA-State Agreements, to establish the Host-State/Tribe as the Recipient.

190

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 potential Host-State/Tribe has sufficient

188

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.

189

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.

190

44 CFR § 206.202(f)(1)(i).

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capability and the Host-State/Tribe meets the three conditions described above, FEMA provides

PA funding to the Host-State/Tribe directly.

191

When FEMA provides PA funding directly to a 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

192

so that they have no 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 evacuation and sheltering costs noted in Chapter 2:VI.B.10, FEMA also

reimburses Host-States/Tribes 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 a 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 not eligible 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 U.S.

Department of Health and Human Services (HHS), and the patients are treated and

discharged but require follow-on care while they await transport and shelters are not

available, the costs that a 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 will coordinate with

the Host-State/Tribe and FEMA to return evacuees, household pets, and service and

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 an 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

will reimburse up to five (5) nights of hotel lodging while awaiting return transport.

191

44 CFR § 206.208(c)(3).

192

44 CFR § 206.202(f)(1)(ii).

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 FEMA will reimburse a State agency from the Impact-State/Tribe for the transportation

costs and related expenses to transport deceased evacuees and accompanying family

members to the Impact-State/Tribe. The costs of 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 will deduct this amount from the Host-State/Tribe’s eligible cost.

Fees that a Host-State/Tribe waives for the use of State parks by self-evacuees with recreational

vehicles (RVs) are not eligible. Additionally, purchase and distribution of gas cards, bus passes,

cash vouchers, debit cards, food vouchers, or direct payments to evacuees are not eligible.

11. Infectious Disease Event

The HHS Centers for Disease Control and Prevention (CDC) has primary authority to enable

support and assistance to States, Territorial, or Tribal Governments in response to an infectious

disease event. 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 event 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.

193

12. Mosquito Abatement

Mosquito abatement measures may be eligible when a State, Territorial, Tribal, or local

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.

13. Residential Electrical Meters

To reduce the number of survivors needing shelter, FEMA may provide limited PA funding to a

State, Territorial, Tribal, or local government to repair residential electrical meters. To receive

PA funding, the State, Territorial, Tribal, or local government must:

 Issue a finding of an immediate threat to safety due to loss of power caused by damaged

meters or weather heads;

 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 not eligible.

If approved, the applicable State, Territorial, Tribal, or local government will:

 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;

193

www.fema.gov/media-library/assets/documents/99710.

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 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 if necessary to access the damaged

meter or weather head. Removal and disposal of the debris is not eligible. 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 staff will coordinate closely with IA staff to ensure FEMA does not fund the same

work under both programs.

14. 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 not eligible 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.

15. Animal Carcasses

Removal and disposal of animal carcasses, including interim processing,

194

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 State, Territorial, Tribal, or local government health

department, HHS, or the U.S. Department of Agriculture (USDA) that a threat to public health

and safety exists.

194

Interim processing may include burning, incinerating, rendering, mounding, composting, or other pre-processing

activities.

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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

not eligible.

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.

195

16. 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 not eligible.

If a structure is condemned prior to the incident, emergency protective measures related to that

structure are not eligible.

FEMA must review the Applicant’s demolition process for compliance with all applicable EHP

laws, regulations, and EOs.

(a) 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.

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.

 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-

195

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/media-library/assets/documents/136089.

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entry)

and agreements to indemnify and hold harmless the Federal Government. Additionally

the Applicant must provide evidence that it obtained all necessary permits and complied with

EHP requirements.

(b) 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 can and will cover the cost of

demolition.

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

 Performing title searches

Fees for permits, licenses, and titles issued directly by the Applicant are not eligible 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

 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 staff will coordinate closely with

IA staff to ensure FEMA does not fund the same work under both programs.

(d) 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

 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; see Chapter 2:VI.A)

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17. 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.

196

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.

197

FEMA evaluates the criticality of the service and safety of the facility to

determine the need for temporary relocation.

(a) Eligible for Temporary Relocation: State, Territorial, Tribal, and Local Government

Applicants

Essential community services provided by a State, Territorial, Tribal, or local government

Applicant are eligible to be relocated. Services provided by these Applicants that are eligible for

temporary relocation are:

 Police

 Fire protection

 Emergency services

 Medical care

 Education

 Election and polling

 Library

 Utility

 Other essential community services

Services provided in administrative and support facilities essential to the provision of the

essential community service are also eligible for relocation.

If the Applicant provides the service at a leased, private facility prior to the incident, the service

is still eligible to be relocated.

(b) Eligible for Temporary Relocation: PNPs

Certain essential community services provided by PNPs are eligible to be relocated, provided the

PNP owns and operates the facility in which the services are provided. These services differ from

the list of eligible PNP essential social services.

198

PNP services eligible for temporary relocation

include:

 Alcohol and drug rehabilitation

 Child care

 Custodial care

 Fire protection and emergency services

 Education

 Homeless shelters

 Libraries

196

Stafford Act § 403(a)(3)(D), 42 U.S.C 5170b.

197

Stafford Act § 102(11)(B), 42 U.S.C. 5122, and 44 CFR § 206.221(e)(7).

198

Ibid.

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 Medical care

 Utilities

 Other facilities that provide public health and safety services of a governmental nature

Services provided in support facilities, such as administration buildings and hospital laundry

facilities, essential to the operation of such facilities may also be eligible for relocation.

Facilities that do not provide essential community services are ineligible for temporary

relocation. These include facilities such as museums, zoos, community centers, shelter

workshops, performing arts centers, recreation and parking facilities, athletic stadiums, research

and warehouse facilities, and student union buildings.

199

(d) Determining Eligibility for 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.

199

Ibid.

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(e) Lease, Purchase, or Construct

The Applicant may lease, purchase, or construct a temporary facility. The Applicant needs to

make the decision to rent or purchase space and equipment based on the most cost-effective and

practical option. The Applicant must provide FEMA with a cost analysis,

200

which should

include at least three proposals 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 does not mandate that the Applicant pursue a specific option for a temporary facility, but

FEMA only provides PA funding for the most cost-effective option.

If the Applicant relocates a service from a facility it owns, the lease costs of a temporary facility

are eligible provided that leasing is the most cost-effective 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 most

cost-effective option. With the exception of modular or manufactured units, the Applicant must

obtain FEMA approval prior to purchasing or constructing the facility.

(f) 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

needs to submit a written request and 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).

201

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.

200

2 CFR § 318(d).

201

www.fema.gov/media-library/assets/documents/3140.

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(g) 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

 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

 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.

(h) Time Limitations

The regulatory time limitation for temporary facilities (Emergency Work) is 6 months from the

declaration date.

202

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.

203

However,

for temporary facilities, FEMA must approve any 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 grants 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.

(i) 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

202

44 CFR § 206.204(c)(1).

203

44 CFR § 206.204(c)(2)(ii).

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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, the net proceeds of the sale may be used to offset the cost of the

replacement property.

18. 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.

204

See Appendix H: Snow Assistance, for detailed

information.

(a) Limited Time Period

Snow-related activities are eligible for a continuous 48-hour period to address the most critical

emergency needs. Each Applicant designates the beginning of its 48-hour period. However, a

State agency that conducts snow-related activities in multiple locations throughout a State, 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.

(b) 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

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.

204

44 CFR § 206.227.

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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 is not eligible.

19. Emergency Berms on Beaches

If a natural or engineered beach has eroded to a point where a 5-year flood could damage

improved property, cost-effective emergency protective measures on the beach that protect

against damage from that flood are eligible.

205

Eligible measures typically include the construction of emergency sand berms to protect against

additional damage from a 5-year flood. 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 berm 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

 State, Territorial, Tribal, or local government regulations prohibit placement of the

recovered sand.

Based on the average expected erosion for a 5-year flood, 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 elevation or the berm’s pre-storm profile, whichever is less. Stillwater elevation is the

maximum storm-induced water-surface elevation. In some cases, placing sand below the 5-year

stillwater elevation may be necessary to provide a base for the berm. The placement of that sand

is also eligible as part of the emergency protective measure.

Placement of dune grass on an emergency 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 dune grass placement cost in the berm construction cost when evaluating cost-effectiveness.

Any maintenance of the dune grass after the initial installation is not eligible.

20. Temporary Emergency Repair or Stabilization

Temporary emergency repair or stabilization of an eligible facility is eligible as Emergency

Work if it eliminates or lessens an immediate threat.

206

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,

207

not Emergency Work.

Temporary emergency repair of a facility is not eligible if another Federal agency has the

specific authority to provide assistance for the facility,

208

such as for:

 Federal-Aid highways – Federal Highway Administration (FHWA)

205

44 CFR § 206.226(j).

206

44 CFR § 206.201(b).

207

44 CFR § 206.201(j).

208

44 CFR § 206.226(a).

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 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 repair 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.

21. Temporary 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:

 Temporary drainage measures

 Temporary 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

 Installation of barriers to redirect debris flow

22. 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

 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 State, Territorial, Tribal, and local government guidelines for mold

sampling and remediation.

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FEMA only provides PA funding for mold sampling performed by an indoor environmental

professional, such as a Certified Industrial Hygienist, Certified Indoor Environmental

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

 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

 Leaking ceiling tiles

C. Damage Caused During Performance of Emergency Work (Category A or B)

An Applicant may damage improved property, supplies, or equipment during the performance of

eligible emergency response activities or debris removal operations. The repair of this damage is

eligible as part of that respective project 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 not eligible, unless the

replacement meets the criteria in Chapter 2:VII.H.5.

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.

For damage to private property, the repair is eligible if:

 The property is an easement and the Applicant is legally responsible for repairing the

damage it causes to the easement; or

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 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 2:VI.B.18, is not eligible.

VII. 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.

209

Temporary

emergency repair or stabilization for the purpose of

eliminating or lessening an immediate threat is

Emergency Work. All Permanent Work is subject to

the eligibility of the facility as described in Chapter

2:III and shown in Figure 13.

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.

210

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 event.

Pre-disaster function is the function for which the

facility was originally designed or subsequently

modified. For example, if an 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.

211

Example of Restoring to Pre-disaster

Function

If an 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 not eligible.

FEMA may approve changes to the pre-disaster

design or construction method (including materials) if

the changes are required due to access issues, site

209

44 CFR § 206.201(j). Although this section of 44 CFR does not reference function as part of the definition of

Permanent Work, 44 CFR § 206.203(d)(2) sta tes that if the Applicant does not restore the function, it is an Alternate

Project. See C hapter 2:VII.G. for disc ussion on Alternate Projects.

210

44 CFR § 206.201(k).

211

44 CFR § 206.226(k)(1).

Figure 13. Permanent Work Eligibility

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conditions, or to tie in to 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.

PA funding is always based on pre-disaster size,

capacity, and function. However, FEMA allows the

Applicant to accept these funds as a capped amount if

Hazard Mitigation Plan Requirement

for Permanent Work Funding

The Recipient must have a FEMA-approved

Hazard Mitigation Plan before FEMA will provide

PA funding for any Permanent Work. The plan

must show how the Recipient intends to reduce

risks from natural hazards and must be updated

every 5 years.

Tribal Governments must meet the

requirements of 44 CFR § 201.7, Tribal

Mitigation Plans. States must meet the

requirements of 44 CFR § 201.4, Standard State

Mitigation Plans.

The Recipients may also have an Enhanced

Mitigation Plan that meets the requirements of

44 CFR § 201.5, Enhanced State Mitigation Plans.

they wish to utilize the funds differently. Capped projects are detailed in Chapter 2:VII.G.

Environmental and Historic Preservation Considerations

The Applicant needs to make every effort to afford FEMA the opportunity to perform EHP

reviews prior to the start of construction for any Permanent Work project. Proceeding with

Permanent Work before FEMA completes EHP reviews jeopardizes PA funding.

212

Permanent Work projects that restore a damaged facility essentially to pre-disaster design are

excluded from NEPA review through a STATEX.

213

All others require NEPA review. Many

qualify for one of the Categorical Exclusions (CATEXs), which are actions that typically have

little or no impact on the environment.

214

Although many projects are statutorily excluded from

NEPA review or covered by a CATEX, most projects still 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 have

adverse effects on wetlands; floodplains, flood elevations, or upstream/downstream velocities;

federally listed threatened and endangered species and their critical habitats; essential fish

habitats; historic properties, including archaeological resources; and other environmental or

historic resources. When a project has potential to impact the environment or historic properties,

it may not qualify for a STATEX or CATEX and will require a higher level of analysis. The

most common higher level analysis is referred to as an environmental assessment (EA).

215

In rare

circumstances, a project may require an environmental impact statement (EIS),

216

the highest

level of analysis, which requires a much more detailed analysis than an EA. FEMA is

212

Stafford Act § 316, 41 U.S.C. 5159, and 44 CFR Part 19.

213

Stafford Act § 316, 41 U.S.C. 5159.

214

FEMA Instruction 108-1, Section 3.2 and DHS Instruction 023-01-001-01, Appendix A.

215

FEMA Instruction 108-1, Section 3.2.

216

Ibid.

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responsible for NEPA compliance and identifying the required level of review.

217

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,

approval, and final determination 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 is required to consult with Federal, State, Territorial, and Tribal government resource

agencies before the Applicant begins work. These agencies may include the U.S. Fish and

Wildlife Service (USFWS) and the National Marine Fisheries Service (NMFS) for impacts to

federally-listed threatened and endangered species; and the SHPO or THPO for impacts to

historic properties. If the Applicant begins construction work before FEMA completes its EHP

review, the Applicant will jeopardize PA funding for that project. FEMA generally cannot

conduct consultation with resource agencies after the Applicant initiates work on a project

because those agencies lose the ability to consider alternatives that would avoid, minimize, or

mitigate adverse effects to the environment or historic properties.

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 any 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 that may require EISs; 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.

A. 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.

218

This requirement applies to insurable facilities or property (buildings, contents,

equipment, and vehicles). FP 206-086-1, Public Assistance Policy on Insurance, describes these

requirements in detail.

219

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.

220

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 less than $5,000

in eligible costs (prior to any reductions).

221

The Applicant may request that FEMA modify the insurance requirement when:

 The required insurance is not reasonably available,

217

Public Law 91-190, 42 U.S.C. 4321–4347.

218

Stafford Act § 311, 42 U.S.C. 5154, and 44 CFR 206 Subpart I.

219

www.fema.gov/media-library/assets/documents/107564.

220

Stafford Act § 311, 42 U.S.C. 5154, and 44 CFR 206 Subpart I.

221

44 CFR § 206.253(d).

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 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 Insurance

Commissioner.

222

The State 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.

223

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.

224

In some cases, with FEMA approval, the Applicant may comply with the insurance

requirement using a self-insurance plan.

225

If the Applicant does not comply with the requirement to obtain and maintain insurance, FEMA

will deny or deobligate PA funds from the current disaster.

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 not eligible for PA funding in a subsequent disaster, regardless of the hazard(s) that

caused the damage.

226

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 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.

B. Codes and Standards

FEMA provides PA funding to restore facilities on the basis of pre-disaster design and function

in conformity with current applicable codes, specifications, and standards.

227

1. Eligibility Criteria

Facility repairs and new construction may “trigger” upgrade requirements established by codes

or standards. Upgrades required by Federal, State, Territorial, Tribal, or local repair or

replacement codes or standards are eligible only if the code or standard:

228

 Applies to the type of restoration required;

222

44 CFR § 206.253(c).

223

44 CFR §§ 206.252(d) and 206.253(c).

224

44 CFR § 206.253(b)(2).

225

Stafford Act § 311(c), 42 U.S.C. 5154 (c), and 44 CFR Part 75.

226

Stafford Act § 311(b), 42 U.S.C. 5154 (c), and 44 CFR § 206.253(f).

227

Stafford Act § 406(e), 42 U.S.C. 5172(e), and 44 CFR § 206.226(d).

228

44 CFR § 206.226(d).

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 Is appropriate to the pre-disaster use of the facility;

 Is reasonable, in writing, formally adopted by the State, Territorial, Tribal, or local

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.

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 not eligible

for replacement, only code-required upgrades

applicable to repairs are eligible.

Examples of Codes or Standards that

Do Not Apply to the Restoration

Required

An 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

relationship to the disaster-related

repairs, they

do not apply to the type of restoration required

and

are not eligible.

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 not eligible

for a project involving repairs to discrete

damaged portions of the road shoulders.

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.

229

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.

229

44 CFR § 206.223(a)(1).

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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.

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;

 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

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 be

more costly than restoring the facility as a

warehouse in accordance with code or

standards applicable to a warehouse.

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 not eligible 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.

 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.

Written, Formally Adopted, and Implemented

Codes and standards must be in writing, formally

adopted by the State, Territorial, Tribal, or local

government, and implemented by the Applicant on or

before the declaration date, OR be a legal Federal

requirement, such as a requirement of ADA or seismic

safety. 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.

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 not eligible.

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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 as long as 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 State, Territorial, or local

governments that are not authorized to set codes or standards within the broad governmental

jurisdiction of the State, Territorial, or local government.

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;

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 not eligible as it does not apply

uniformly to all similar types of facilities within

the Applicant’s jurisdiction.

 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.

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

Example of a Code or Standard that Was Not

Enforced While in Effect

An Applicant requests funding to upgrade the foundation

of several damaged trailers based on a code requirement

applying to repairs to trailers and installation of new

trailers. The Applicant installed several new trailers after

the incident and did not use the code or standard-

required foundation. The upgrades to the foundation of

the damaged trailers are not eligible because the

Applicant did not enforce the standard.

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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.

2. FEMA Required Minimum Codes and Standards

If the building is eligible for repair, replacement, or is being constructed as an improved or

alternate project,

230

FEMA generally requires that the Applicant incorporate the natural

hazard-resistant codes and standards and related provisions referenced in the most recent

published edition of the International Code Council’s (ICC) International Building Code

(IBC), International Existing Building Code (IEBC), or International Residential Code (IRC)

into the building design and construction.

231

This includes natural hazard-resistant provisions,

such as tornado, wind, seismic, and flood as identified in the IBC, IEBC, or IRC regardless of

the type of incident that caused the damage. In accordance with these codes and standards, the

Risk Category of the eligible building determines the applicable tornado, wind, seismic, flood,

snow, ice, and rain loads.

232

FEMA provides PA funding for the eligible increased cost

associated with meeting these codes and standards at the cost-share for the disaster.

Generally, the IBC, IEBC, or IRC apply when a building:

 Is substantially damaged;

233

 Suffered substantial structural damage;

234

 Is eligible for replacement in accordance with 44 CFR part 206.226(f).

235

The determination of whether a code or standard is triggered may be made by:

 A building official or inspector;

 The Recipient’s or Applicant’s registered design professional; or

 Other appropriate and qualified individual.

FEMA will generally accept this determination, but may review the determination to ensure it

is consistent with the above codes and standards and other PA policies. FEMA may deviate

from this policy in circumstances where utilization of the codes or standards would create an

extraordinary burden on the applicant or would otherwise be inappropriate for the facility.

230

This includes Alternative Procedure Projects. Per Stafford Act § 428, 42 U.S.C. § 5189f, and 44 CFR §

206.203(d), funding for these types of projects is capped at the cost to restore the facility to its pre-disaster

design and function in accordance with codes and standards, including the required codes and standards

referenced in this section, that would be applicable to the building if rebuilt as it existed.

231

FEMA determined that these codes represent the minimum adequate standards which are generally necessary to

protect the Federal investment of PA funding. Stafford Act §§ 323 and 406(e), 42 U.S.C. §§ 5165a, 5172, and 44

CFR § 206.400.

232

Risk Category is defined in the International Building Code (IBC) as a categorization of buildings and other

structures for determination of flood, wind, snow, ice and seismic loads based on the risk associated with

unacceptable performance.

233

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.

234

Significant damage to the vertical elements of the lateral force-resisting system or the vertical gravity load-

carrying components in accordance with the IBC or International Existing Building Code (IEBC).

235

Disaster-related damage exceeds 50 percent of the cost to replace a facility to its pre-disaster design and function.

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FEMA generally requires that the applicant incorporate these codes and standards in the design

of eligible repair, replacement, or construction of the building even if they exceed local codes

or standards or in instances where communities have not adopted a building code or standard. If

the IBC, IEBC, or IRC have been adopted under another name (for example the California

Building Code), it meets the natural hazard-resistant provisions in the model codes, then FEMA

will consider the adopted code or standard compliant with the minimum codes and standards

requirement. FEMA will evaluate the eligibility of locally adopted natural hazard-resistant

building codes or standards that exceed those referenced in the IBC, IEBC, or IRC, based on

the criteria found in Chapter 2:VII.B.1.

236

When triggered by the eligible scope of work, natural hazard-specific requirements include, but

are not limited to, the following:

237

 In areas where tornado shelter design wind speeds are 250 mph or greater, the Applicant

must incorporate a storm shelter or safe room (designed to ICC 500 standards) for

elementary and secondary schools with an occupant load of 50 or more, EOCs, 911 call

stations, fire stations, rescue stations, ambulance stations, and police stations.

 For wind-resistant requirements, the Applicant must incorporate applicable wind-

resistant design and construction standards contained in the IBC, IEBC or IRC and its

referenced standards [e.g., American Society of Civil Engineers (ASCE)/Structural

Engineering Institute (SEI) 7].

 For seismic-resistant requirements, the Applicant must incorporate applicable

seismic- resistant design and construction standards contained in the IBC, IEBC or

IRC and its referenced standards (e.g., ASCE/SEI 7 and 41).

238

 For flood-resistant requirements, the Applicant must incorporate applicable flood-

resistant design and construction standards contained in the IBC, IEBC or IRC

and its referenced standards (e.g., ASCE/SEI 7 and 24).

239

FEMA also provides PA funding for costs associated with meeting the load requirements

in the most recent IBC, IEBC, and IRC for snow, rain, and ice loads.

Costs related to conforming to these codes and standards are generally eligible. These codes

and standards must apply to the type of restoration required (e.g., repair or construction), be

appropriate to the pre-disaster use of the facility, and be reasonable.

Upon completion of the project, the Applicant must provide proof of compliance.

240

Acceptable

forms of proof include, but are not limited to:

 A written certification by a registered design professional that the natural hazard-

resistant design elements comply with IBC, IEBC, or IRC requirements; or

 A valid certificate of occupancy from the local building department that supports that

236

44 CFR § 206.226(d).

237

See www.fema.gov/building-code-resources for additional guidance on natural hazard-specific standard

requirements.

238

These seismic-resistant requirements are also mandated by EO 13717, Establishing a Federal Earthquake Risk

Management Standard.

239

Eligible projects involving substantial improvement or new construction in the flood hazard area may be required

to meet the floodproofing or elevation requirements as described in 44 CFR § 9.11(d), or the IBC, IEBC, or

International Residential Code (IRC), whichever is higher.

240

Stafford Act § 323, 42 U.S.C. § 5165a, and 44 CFR § 206.402.

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the project was constructed or repaired as designed.

Non-compliance may result in denial or de-obligation of PA funding for the facility. Therefore,

the Applicant should work with its local building department and any other authorities having

jurisdiction to ensure compliance with this and other Federal, State, Territorial, Tribal, and

local government code and standard requirements.

3. Ineligible Upgrades

Upgrades recommended by design standards, guidelines, policies, industry practices, or other

non-mandatory provisions are not eligible if the provisions do not meet all of the criteria noted in

Chapter 2:VII.B.1. Upgrades that are deemed ineligible, but enhance a facility’s ability to resist

similar damage in a future incident, may be eligible as hazard mitigation. See Chapter 2:VII.C

for further discussion.

4. Historic Preservation Compliance

(a) 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

replacment.

241

(See discussion on repair versus replacement in Chapter 2:VII.D.)

(b) 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

2:VII.B.1. 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.

5. Floodplain Management and Wetland Protection

When providing PA funding for a project in or impacting a floodplain or wetland, the following

requirements apply. The terms in this section are defined in Chapter 2:VII.F.

(a) Minimum Requirement for Structures in a Floodplain

For any structure (walled or roofed buildings, including mobile homes and gas or liquid storage

tanks)

242

that is 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).

243

If the structure houses critical actions and is in the 100-year floodplain, the Applicant must, at a

minimum, elevate the lowest floor (including the basement) to or above the 500-year BFE.

244

241

44 CFR § 206.226(f)(2) and (3).

242

44 CFR § 9.4.

243

44 CFR § 9.11(d)(3)(i) and (iii).

244

44 CFR § 9.11(d)(3)(i).

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the structure is non-residential, the Applicant may opt to floodproof to the required level instead

of elevating.

245

Similarly, if the structure houses critical actions and is in the 500-year floodplain, the Applicant

must elevate the lowest floor (including the basement) to or above the 500-year flood level.

246

Again, if the structure is non-residential, the Applicant may opt to floodproof to the required

level instead of elevating.

247

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 level for critical actions) (including wave

height) on open works (walls columns, piers, piles, etc.) and anchor it properly.

248

New

construction is prohibited in a Coastal High Hazard Area.

249

(b) 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.

250

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.

245

44 CFR § 9.11(d)(3)(iii).

246

44 CFR § 9.11(d)(3)(ii).

247

44 CFR § 9.11(d)(3)(iii).

248

44 CFR § 9.11(d)(2) and (7).

249

44 CFR § 9.11(d)(1)

250

44 CFR § 60.3.

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6. Americans with Disabilities Act Access

Requirements

(a) Federal Requirement

The ADA requires that any public, residential, or

workplace facility be accessible to and usable by

disabled persons.

251

FEMA provides PA funding

for costs related to Federal ADA accessibility

requirements based on the criteria below.

Facilities Eligible for Replacement

When a facility is eligible for replacement,

FEMA provides PA funding for compliance with

reasonable accessibility requirements triggered by

ADA in newly constructed facilities. FEMA

provides PA funding regardless of whether the

facility was in compliance prior to the incident,

provided the Applicant was not cited for an ADA

violation.

A new facility is not required to be fully

compliant with ADA if the Applicant can

demonstrate that it is structurally impractical to

meet the requirements.

Accessibility Triggers for ADA-

Relevant Repairs

An ADA-relevant repair is a repair that affects or

could affect the usability of the facility by the

disabled. This is referred to as an “alteration” in

the ADA.

Only ADA-relevant repairs trigger accessibility

requirements; not all repairs are ADA-relevant

repairs. Repairs of structural components—

flooring, walls, partitions, or load-bearing

elements—are considered ADA-relevant repairs.

Alterations to windows, hardware, controls,

electrical outlets, and signage and repair of

façades (such as dry wall, plaster, and facial

brick), whether interior or exterior, are not ADA-

relevant repairs.

Activities such as normal maintenance, re-

roofing, painting or wallpapering, asbestos

removal, or changes to mechanical and electrical

systems are not ADA-relevant repairs, unless

they affect the usability of, or access to, an area

containing a primary function.

For some PNPs, exceptions are available for installation of elevators in small buildings less than

three stories or less than 3,000 square feet per story. These exceptions do not apply to any

publicly owned or operated facility.

Facilities Eligible for Repair

For ADA-relevant repairs, FEMA provides PA

Terminology

funding for required ADA upgrades that have a

reasonable and technically supportable relationship

A primary function area is the area where a

to the damaged elements of the facility.

major activity occurs for which the facility is

intended.

In addition, when disaster-related and ADA-

Examples include the dining area of a cafeteria,

relevant repairs are made to a primary function

meeting rooms of a conference center, and

area of the facility, FEMA provides PA funding to

public offices providing governmental services

make the path of travel to the primary function

to the public.

area accessible to the maximum extent feasible,

including facilities that serve the primary function

area. Examples of facilities that serve the primary function area include restrooms, telephones,

drinking fountains, pathways, and similar service facilities. Pathways include internal and

external paths of travel, such as hallways, sidewalks, and parking lots.

251

42 U.S.C. 12101, et seq.

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PA funding to make the path of travel and service facilities to a repaired primary function area

accessible may not exceed 20 percent of the total cost of the repair of the primary function area

in an ADA-compliant manner.

For calculation purposes, the total costs of the primary function area repair also 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.

If ADA-relevant repairs are made to areas that also happen to provide access to and usability of

the repaired primary function area (damaged walls, stairs, corridors, and restrooms), the cost of

those repairs are eligible costs as non-primary function areas and are not applied to the 20-

percent capped amount.

When 20 percent is not adequate to meet ADA-accessible path-of-travel and service facility

requirements, the Applicant must apply ADA access requirements to the maximum extent

possible with the limited funds. The Applicant should make limited changes in the following

order of priority:

 Accessible entrance

 Accessible route to the altered area

 At least one accessible restroom for each sex or single unisex restroom

 Phones

 Drinking fountain

 Other elements such as parking, storage, and alarms

If the Applicant was notified of being in violation of an ADA law or building code or standard

prior to the incident and was required to bring the facility into compliance, then triggered

accessibility requirements related to the violation are not eligible.

Repairs to non-primary function areas do not trigger the path-of-travel and service facility

requirements. However, the Applicant must complete the repairs to the non-primary function

area in an ADA-compliant manner.

The Applicant is not required by ADA to reconstruct non-damaged areas of a partially damaged

facility for ADA access unless they are the path of travel or service facility to a repaired primary

function area requiring ADA-relevant repairs.

If the Applicant triggers ADA requirements by engaging in repairs that are not eligible, the cost

of those ADA changes are also not eligible.

Some special provisions apply when ADA requirements “threaten or destroy the historic

significance of qualified historic buildings and facilities.”

252

FEMA will address these provisions

during its consultation with the SHPO or THPO and will incorporate them into the agreement

regarding the repairs to the building.

(b) State, Territorial, Tribal, or Local Government Requirement

FEMA may provide PA funding for additional State, Territorial, Tribal, or local government

ADA requirements. These requirements must meet the eligibility criteria for codes or standards,

as described in Chapter 2:VII.B.1.

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28 CFR § 36.405.

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7. Permit Requirements

If a Federal, State, Territorial, Tribal, or local government permitting agency requires additional

work based on a code or standard that does not meet the eligibility criteria in Chapter 2:VII.B.1,

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.

C. 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.

253

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 14. 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.

Figure 14. FEMA Hazard Mitigation Programs

FEMA commonly refers to PA-funded hazard mitigation as Section 406 hazard mitigation and

mitigation funded under HMGP as Section 404 hazard mitigation. These references are based on

the authorizing sections of the Stafford Act.

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Stafford Act § 406(e), 42 U.S.C. 5172 (e), and 44 CFR 206.226(e).

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The Applicant may use both 406 and 404 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 Section 406 hazard mitigation funding under PA.

FEMA’s Hazard Mitigation Assistance Guidance provides further details on the HMA

254

programs.

Section 406 Hazard Mitigation

FEMA evaluates proposed mitigation measures for cost-effectiveness, technical feasibility, 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.

Mitigation measures must be cost-effective. FEMA considers mitigation measures to be cost-

effective if any of the following criteria are met:

 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 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.

 The Recipient or Applicant demonstrates through an acceptable benefit-cost analysis

(BCA) methodology that the measure is cost-effective. FEMA’s BCA software

255

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 will work together to develop a BCA to

determine whether it is cost-effective.

A BCA is based on a comparison of the total eligible cost for the mitigation measure to the total

value of expected benefits. Benefits include reductions in:

 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)

254

www.fema.gov/media-library/assets/documents/103279.

255

www.fema.gov/benefit-cost-analysis.

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To be eligible, the mitigation measures must directly reduce the potential of future, similar

damage to the facility. Generally, eligible 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

 Dry floodproofing both damaged and undamaged buildings that contain components of a

system that are functionally interdependent (i.e., cases where the entire system is

jeopardized if any one component of the system fails)

If FEMA determines mitigation measures to undamaged portions ineligible as 406 hazard

mitigation, the Applicant may request HMGP (Section 404) funding from the State or Territory

to provide protection to undamaged portions, while utilizing PA Program (Section 406)

mitigation funds to provide protection to damaged portions.

Section 406 hazard mitigation opportunities

usually present themselves during facility repair.

However, in cases where the Applicant must

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 be eligible; however, FEMA will not

provide PA funding for any duplicative work as

a result of 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 if it is cost-effective and

FEMA confirms compliance with applicable

EHP laws, regulations, and EOs.

If FEMA approves mitigation funding and the

Section 404 Hazard Mitigation Grant

Program

The Recipient manages HMGP and is responsible

for soliciting applications from State, Tribal, and

local 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. State, Tribal,

and local government agencies should direct

questions regarding HMGP to the State Hazard

Mitigation Officer: www.fema.gov/state-hazard-

mitigation-officers.

Applicant does not complete the mitigation work, FEMA will deobligate the mitigation funds.

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D. 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.

256

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.

257

Substantial Damage Determination

A floodplain manager’s Substantial Damage

determination (which is part of the NFIP

eligibility process and described in Chapter

2:VII.

B.5) is separate and distinct from FEMA’s

50% Rule.

FEMA’s eligibility determination for funding

replacement

is based on the 50% Rule

regardless of a Substantial Damage

determination.

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 calculation as the

“50% Rule.”

1. Calculation

The repair cost (numerator) is the cost of repairing disaster-related damage only and includes

costs related to compliance with codes or standards that apply to the repair of the damaged

elements only (including federally required codes and standards).

258

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

 Emergency Work

Terminology

Soft costs are those not considered as direct

construction costs, including:

 Arch

itectural costs

 En

gineering costs

 Project

management costs

 Financing



Legal

fees

 Other pre-/post-construction expenses

256

44 CFR § 206.226(f).

257

44 CFR § 206.226(f)(1).

258

This includes FEMA’s minimum required codes and standards.

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The replacement cost (denominator) is the

cost of replacing the facility on the basis of

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

 Soft costs

 Contents

 Hazard mitigation measures

 Emergency Work

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. For

the purpose of the 50% Rule calculation, these

costs are not included in the repair cost of the

calculation, but are included in the replacement

cost of the calculation.

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.

2. Written Request

The Applicant should submit its request for replacement within 1 year of the Major Disaster

Declaration. The request should include both repair and replacement cost estimates with

supporting documentation, prepared in accordance with the requirements described in Chapter

3:II.D.

A FEMA licensed engineer/architect with cost-estimating expertise or a certified cost estimator

reviews all requests for replacement and validates the estimates. For any replacement requests

over $5 million, the USACE Center for Excellence for Cost Engineering performs an additional

review of the repair and replacement estimates. FEMA considers the results of the USACE

review prior to approving replacement.

3. Eligible Funding

If the estimated repair cost exceeds 50 percent of the estimated replacement cost,

259

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 lower.

260

If the repair cost does not exceed 50 percent of the replacement cost, AND upgrades to

undamaged elements are triggered by codes or standards, AND the total of both is greater than

100 percent of the estimated replacement cost, FEMA caps the total eligible cost at the estimated

replacement cost.

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.

259

For repair versus replacement, the term “replacement cost” means the cost of replacement in accordance with

applicable codes and standards.

260

44 CFR § 206.226(f)(2).

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With exception of specific projects identified in Appendix J: Cost Effective Hazard Mitigation

Measures, 406 hazard mitigation funding cannot be applied to replacement facilities, unless the

facility is part of an Alternative Procedures Project (described in Chapter 2:VII.G.4).

As discussed in Chapter 2:VII.B.4(a), 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.

261

A historic facility is defined as one listed in, or eligible for listing in, the

National Register of Historic Places.

4. 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. As long as 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 system as a

whole.

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 node to node

 Water or sewer line system: a section of piping from manhole to 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

2:VII.H.4(b).

The following are examples of facilities to which FEMA applies the 50% Rule to the entire

facility:

 Bridge

 Culvert

 Building

 Pumping station

 Pier

 Pool, including integral pumping

 Bath house or rest room

 Equipment

 Lighting structure

 Sign

261

44 CFR § 206.226(f)(3).

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E. Relocation

FEMA may approve funding for and require restoration and relocation of an Applicant’s

destroyed (i.e., eligible for replacement) facility at a new location 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 are subject to repetitive heavy damage;

 Project approval is not barred by other regulations;

262

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, State, or local 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) then FEMA determines

whether relocation is cost-effective in the same manner as described above. If the facility is

eligible for repair, FEMA may evaluate cost effectiveness using its BCA process and software

263

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.

If relocation is not feasible or cost effective, the Applicant may request an Improved, Alternate,

or Alternative Procedure project as detailed in Chapter 2.VII.G.

1. 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.

264

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 not eligible.

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

262

44 CFR § 206.226(g)(1).

263

www.fema.gov/benefit-cost-analysis.

264

44 CFR § 206.226(g)(2).

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facilitates an open space use.

265

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.

2. 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 CFR part 200 including disposition and reporting requirements

under 2 CFR §§ 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.

F. 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.

1. 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 CFR § 9.6. As part of this

process FEMA evaluates the impacts the project may have on the floodplain and practicable

alternatives. FEMA evaluates environmental, social, economic, technical, and legal factors, as

defined in 44 CFR § 9.4. Some alternatives may not be eligible for PA funding. FEMA considers

265

44 CFR § 206.226(g)(3).

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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.

266

2. Facility Located in a Special Flood

Hazard Area

SFHAs

267

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).

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 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

not eligible for PA funding.

Terminology

FEMA publishes Flood Insurance Rate Maps

(FIRMs) that identify the following:

 Special Flood Hazard Area (SFHA): 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 (BFE): 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 wave wash 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

generally 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.

If the Applicant does not have ﬂood insurance for the facility or carries inadequate ﬂood

insurance for the insurable facility, FEMA will reduce eligible project costs by the lesser of:

266

44 CFR § 9.5(c)(13).

267

44 CFR § 206.251.

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 The maximum amount of insurance

proceeds that could have been obtained

from an NFIP standard ﬂood insurance

policy for the building and its

contents;

268

 The value of the building and its contents

at the time of the incident.

FEMA does not apply this reduction to PNP

facilities in communities that do not participate

in the NFIP.

269

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.

270

G. 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 applicable and federally required

codes and standards.

271

The three capped project options are:

 Improved Project:

272

A project that

restores the pre-disaster function, and at

least the same capacity, of the damaged

facility and incorporates improvements

Terminology

A critical action is 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).

Critical actions are defined in 44 CFR § 9.4,

Definitions, which includes examples of actions

that FEMA deems critical.

If an action is not specified in 44 CFR Part 9,

Floodplain Management and Protection of

Wetlands, FEMA utilizes the U.S. Water

Resource Council Floodplain Management

Guidelines 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.

 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.

The term “critical action” should not be

confused with a PNP “critical service” or

“critical facility.”

or changes to its pre-disaster design not required by eligible codes or standards.

 Alternate Project:

273

The use of funds toward a project that does not restore the pre-

disaster function of the damaged facility. If the Applicant determines the public welfare

would not be best served by restoring a damaged facility or its function, it may use the

funds toward a different facility (or facilities) that benefit the same community.

268

44 CFR § 206.252(a).

269

44 CFR § 206.252(b).

270

Ibid.

271

This includes FEMA’s minimum required codes and standards.

272

44 CFR § 206.203(d)(1).

273

44 CFR § 206.203(d)(2).

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 Alternative Procedures Pilot Program for Permanent Work Project (Large Projects

only):

274

The use of Large Project funds toward a project(s) that restores the facility to its

pre-disaster design and function or toward a project that would otherwise be an Improved

or Alternate Project, or other projects, including a combination of projects. This type of

capped project offers the maximum amount of funding options to include flexibility with

how the Applicant may use the funds and retention of funds not authorized under the

standard Improved and Alternate Project options, including the following four alternative

procedures:

o Consolidation of multiple capped projects

o Elimination of reduced funding for an Alternate Project

o Retention of excess funds for approved purposes

o Third-party expert panel

275

review for estimates with a Federal share of $5 million or

greater (FEMA requires this review for estimates that exceed $25 million).

Each of these options is subject to different eligibility and process requirements, which are

described in detail below. As FEMA is implementing the Alternative Procedures via a pilot

program, FEMA may periodically adjust program specifics. Therefore, FEMA maintains

additional policy specifics at www.fema.gov/alternative-procedures.

Capped Amount

As stated above, 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 applicable and federally

required codes and standards. The capped amount may include a reasonable amount of DAC and

soft costs based on the SOW to restore the facility to its pre-disaster design and function.

However, the capped amount 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:

 Additional engineering and design

 EHP compliance

 Work required by applicable and federally required codes or standards

For Alternative Procedures Projects specifically, FEMA does not adjust the capped amount even

if the Applicant discovers hidden damage during the course of completing previously approved

work.

If the Applicant’s actual costs exceed the capped amount, FEMA does not approve additional

funds.

Alternative Procedures Project: Expert Panel Cost Estimate Review

For an Alternative Procedures Project with an estimated Federal share of at least $5 million,

upon the Applicant’s request, FEMA provides a FEMA-funded,

276

independent validation of the

cost estimate. The validation is conducted by an expert panel composed of design, engineering,

274

Stafford Act § 428, 42 U.S.C. § 5189f.

275

FEMA utilizes the U.S. Army Corps of Engineers (USACE) Center for Excellence for Cost Engineering as the

expert panel.

276

The expert panel is fully funded by FEMA and does not require a non-Federal cost share.

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construction, cost-estimating, and industry professionals retained by a contractor or another

agency with which FEMA has established an agreement for the panel’s services. The panel is

independent of FEMA, the Recipient, and the Applicant. FEMA also has discretion to direct

estimates to the panel for review. FEMA does not use this panel for appeals.

If the Applicant requests this validation, the panel:

 Conducts its review before the Applicant’s acceptance and before FEMA’s obligation of

funds

 Limits its review to issues pertaining to the estimated cost (the panel will not make

decisions related to the eligibility of the damage or SOW); however, it may make

determinations with regard to incorporation of cost elements relating to project execution

that could affect the SOW

 May review cost documentation for completed work, if applicable and necessary

If the estimated amount deemed appropriate by the expert panel is less than the Applicant is

willing to accept as a capped amount, the Applicant may forgo the Alternative Procedures and

request that FEMA process the project using standard procedures. In these cases, FEMA

obligates the project based on the estimated amount determined by the expert panel and final

funding is based on actual eligible costs.

Environmental and Historic Preservation Review

Capped projects may involve significant changes to the pre-disaster configuration of a facility

(e.g., location, footprint, or size). As with all projects, the Applicant needs to obtain FEMA

approval prior to the start of construction so that FEMA can ensure that the project complies with

appropriate EHP laws, regulations, and EOs. If the Applicant starts construction prior to FEMA’s

completion of this review, it will jeopardize PA funding for the entire project.

Insurance

FEMA will reduce the amount of the fixed 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.

Upon completion of the project, FEMA adjusts the fixed estimate to account for actual insurance

proceeds as described in Chapter 2:V.P.1.

The Applicant must obtain and maintain insurance in accordance with FP 206-086-1, Public

Assistance Policy on Insurance.

277

1. Capped Project Approval

Approval requirements differ for each type of capped project.

(a) Improved Project

For Improved Projects, the Applicant must obtain approval from the Recipient.

278

If the

Improved Project significantly changes the pre-disaster configuration of the facility, the

277

www.fema.gov/media-library/assets/documents/107564.

278

44 CFR § 206.203(d)(1).

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Recipient must forward the request to FEMA to ensure that the Improved Project complies with

appropriate EHP laws, regulations, and EOs.

(b) Alternate Project

For Alternate Projects, the Applicant must obtain approval from FEMA. If the Alternate Project

involves construction, the Applicant must obtain FEMA approval prior to the start of

construction.

279

For Alternative Procedures Projects, FEMA, the Recipient, and the Applicant must reach

agreement on the capped amount within 12 months of the declaration date. Upon request from

the Applicant, FEMA may approve a time extension on a project-by-project basis. The

Applicant’s request must include the circumstances that justify the extension and demonstrate

progress on reaching an agreement. In complex or catastrophic incidents, upon request from the

Recipient, FEMA may approve an extension for all Applicants.

FEMA, the Recipient, and the Applicant document the agreed upon capped amount with either a

Fixed Cost Agreement Letter or a Letter of Undertaking, as appropriate. Once the Applicant

signs and submits either the Fixed Cost Agreement Letter or the Letter of Undertaking, it may

not revert back to a project funded based on actual costs.

If FEMA, the Recipient, and the Applicant cannot agree on the fixed estimate by the deadline,

the project will not be eligible for the Alternative Procedures and FEMA will process it using

standard procedures.

Details regarding the process for participating in, and preparing projects under, the Alternative

Procedures, along with templates of the Fixed Cost Agreement Letter and Letter of Undertaking

are provided at www.fema.gov/alternative-procedures.

2. Capped Project Funding

Once FEMA caps the funding, the type of capped project impacts the maximum Federal funding

the Applicant can receive.

(a) Improved Project Funding

Federal funding for an Improved Project is limited to the lesser of the following:

 The Federal share of the approved estimated cost 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.

280

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.

279

44 CFR § 206.203(d)(2)(v).

280

Ibid.

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(b) Alternate Project Funding

Federal funding for an Alternate Project is capped

at the lesser of:

 Ninety percent (75 percent for PNPs) of

the Federal s

hare of the estimate to restore

the original facility; or

 The Federal share of the actual cost of

completing the Alternate Project.

281

Alternate Project Calculation

Project Estimate of

Eligible Damage: $100,000

10%

Reduction (25% for PNPs): x .90

New Project Amount: $ 90,0

75% Federal Cost Share: x .75

Maximum Federal Funding:* $67,500

* Applicant must spend at least 90% of the

project estimate to receive the maximum

amount of Federal funding. PNP Applicants must

spend at least 75

%of the project estimate.

These reductions are not taken if the project is

an Alternative Procedures Project.

An Alternative Procedures Project is capped at the

Federal share of the estimate to restore the original

facility. If the Applicant does not expend all of

those funds, it may use the excess funds for

approved purposes as described in Chapter

2:VII.G.3(c).

Alternative Procedures Alternate Project

The Applicant may use Alternative Procedures Project funds toward an Alternate Project. In this

case, FEMA does not implement the reduction that is applied under the standard program

(described in the preceding section). All other Alternate Project requirements under the standard

PA Program apply to Alternative Procedures Alternate Projects, such as how the Applicant may

or may not use the funds.

3. Use of Capped Project Funds

FEMA has different requirements for how the Applicant can use the funds related to each type of

capped project.

(a) Use of Improved Project Funds

When restoring a damaged facility, the Applicant may decide to make improvements to the

facility. A project that incorporates such improvements is an Improved Project.

282

The improved

facility must have the same function and at least the same pre-disaster capacity as the damaged

facility. 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

 Relocating a facility when the relocation is not required by FEMA

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

281

44 CFR § 206.203(d)(2)(ii) and (iii).

282

44 CFR § 206.203(d)(1).

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grant allows such use. The Community Development Block Grant program

283

is an example of a

Federal program that, in certain circumstances, allows its funding to be used to meet the non-

Federal share of another Federal grant program.

(b) Use of Alternate Project Funds

An Applicant may determine that the public welfare is not best served by restoring the function

of the damaged facility. When this occurs, the Applicant may request approval from FEMA to

apply PA funding toward a different project(s). FEMA refers to this as an Alternate Project.

284

The Alternate Project must be a permanent project that benefits the general public, serving the

same general area that was being served by the original facility. The Applicant may use Alternate

Project funds to:

 Repair, expand, mitigate, or construct a facility that would otherwise be an eligible

facility under the PA Program

285

 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 2:VII.F.2)

 Supplement funds for an Improved Project

 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.

The Applicant may not use Alternate Project funds to:

 Meet budget shortfalls

 Create a new community plan

 Landscape

 Pay for operating expenses

286

 Purchase supplies, furniture, or equipment costing less than $5,000 per unit

 Pay the non-Federal share of any PA project

287

 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

283

http://portal.hud.gov/hudportal/HUD?src=/program_offices/comm_planning/communitydevelopment/programs.

284

44 CFR § 206.203(d)(2).

285

44 CFR § 206.203(d)(2)(iv).

286

Ibid.

287

Ibid.

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 Fund a project located in a FEMA-designated ﬂoodway

Funds

When the Applicant agrees to a capped project

under the Alternative Procedures, it may utilize

any one or more of the following procedures:

 Consolidation of multiple capped

projects

 Elimination of reduced funding for

Alternate Projects

 Retention of excess funds for approved

purposes

 Third-party expert panel review for

estimates with a Federal share of

$5 million or greater

The Applicant may use Alternative Procedures

Project funds to restore the pre-disaster design

Example of an Alternative

Procedures Project

A county road crosses a water course 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 prepares and approves a

subaward with five site sheets to repair or

replace each culvert crossing, including hazard

mitigation measures to increase the size of the

culverts. Subsequently, the Applicant requests

that the aggregate funding for the five crossings

be used to replace the current configuration

with one bridge.

and function of the facility or it may use the funds to complete a project with a different design

and/or function. The Applicant may use the funds to construct new facilities, purchase

equipment, or conduct measures that reduce future risk.

The Applicant may not use the funds for the

following:

 Facilities or equipment that are not

otherwise eligible for PA funding

 To meet the local cost share for

other Federal projects

 To pay down debts, cover budget

shortfalls, or meet operating

expenses

 To conduct planning and design

that go beyond the work related to

the project, such as community-

wide planning

Consolidated Project

The Applicant may combine two or more

capped projects into a single project,

creating a Consolidated Project. FEMA

caps funding for the Consolidated Project at

Example of an Alternative Procedures

Consolidated Project

The Applicant operates 10 facilities located

throughout the declared area. FEMA approves 10

subawards for restoration of each facility and the

Applicant accepts 10 capped subawards. The

Applicant determines that, because of changes in the

local economy and population, the community is best

served by re-aligning the facility footprint. The

Applicant proposes to demolish four facilities, restore

the remaining six, open a new facility in a different

location, and construct an administrative building and

a community center. As a result, the Applicant

requests to consolidate the total amount of funding

for all 10 capped subawards into a single subaward to

restore six buildings and construct three new

buildings.

the aggregate amount of the eligible costs for the formerly separate, individual, capped projects.

The Applicant must consolidate each individual project in its entirety (i.e., all sites from the

project).

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The Applicant may consolidate projects regardless of the status of construction. It may

consolidate projects with different categories of Permanent Work (e.g., by combining Category

C and Category E projects) or consolidate within the same category of work (e.g., multiple

school-campus locations).

The Applicant may share funding across any

of the facilities or sites within the

Consolidated Project to meet its post-disaster

recovery needs.

The Applicant must notify FEMA of the

projects to be consolidated and the final

SOW to be completed under the

Consolidated Project within 12 months of the

declaration date. Upon request from the

Applicant, FEMA may approve a time

extension for the Applicant to consolidate its

capped projects. The Applicant’s request

must include the circumstances that justify

the extension.

Use of Excess Funds

Consolidated Project Preparation

In cases where the Applicant decides, prior to

obligation, that a Consolidated Project is preferred, in

the interest of efficiency, the Consolidated Project

can be defined during project formulation (i.e., the

facilities being consolidated do not need to be

prepared separately, approved, and then

consolidated). The fixed funding is based on the

eligible SOWs to restore the original damaged

facilities to pre-disaster design and function.

When the Applicant completes the approved SOW of the capped project, leftover funds are

excess funds and the Applicant may use these funds for specific approved purposes.

When the Applicant completes an Alternative Procedures Project for less than the capped

amount, it must submit its certified final costs to FEMA (through the Recipient) within 90 days

of project completion. As part of this submittal, the Applicant must describe its intended use of

the excess funds, to include the SOW and project timeline. FEMA will close the original project

and prepare a new project to document the approved use of the excess funds and an appropriate

deadline for completion. The Applicant may use the excess funds for the following:

 Cost-effective hazard mitigation measures that will reduce the risk of damage in future

incidents. The Applicant may use the funds for hazard mitigation on facilities not

damaged in the incident, provided the facilities would otherwise be eligible for PA

funding, and toward hazard mitigation activities on other Alternative Procedures Projects.

 Activities that improve future PA Program Permanent Work operations, such as training

and planning for future disaster recovery operations.

Unacceptable uses include:

 Payment of debts

 Payment of the non-Federal share of PA projects or other Federal awards

 Operating expenses

 Cost overruns on other PA projects (that are not part of the Consolidated Project)

 Incorporation into the community’s General Fund

 Restoring a facility not damaged in the declared incident (with the exception of hazard

mitigation, as described in Chapter 2:VII.G.4(c))

 Restoring a facility that would not otherwise be eligible for PA funding

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Obtain-and-maintain requirements for insurance apply to work funded with excess funds, as

appropriate.

4. Retention of 406 Mitigation Funds

If FEMA approves mitigation funds as part of the capped amount, FEMA’s allowance for the

Applicant to retain those funds depends upon the type of capped project and the SOW being

conducted.

(a) Improved Project

If the capped amount for an Improved Project includes mitigation funds and the Applicant either

does not complete the mitigation work, or replaces or relocates the original facility, FEMA

deobligates the mitigation funds.

(b) Alternate Project

If the SOW to restore a facility includes mitigation, and the Applicant elects to proceed with an

Alternate Project, FEMA does not include costs related to the mitigation in the capped amount

for the Alternate Project.

If the capped amount for an Alternative Procedures Project includes mitigation funds, FEMA

may allow the Applicant to retain the mitigation funds on a case-by-case basis. The level of risk

reduction achieved for the Alternative Procedures Project must equal, or exceed, the benefit that

the Applicant would have achieved through completion of the approved mitigation measures.

5. Funding from a Facility with an Approved Temporary Facility

If FEMA approves a capped project for a facility for which it also approved temporary relocation

of the services to a temporary facility, FEMA does not apply funds from the temporary facility

toward the capped project. Additionally, continued funding for that temporary facility is

restricted as described below.

(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.

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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.

6. 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.

H. 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 K: Work Eligibility Considerations by Type of Facility, for a summary of eligibility

by facility type.

1. 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

 Associated facilities, such as lighting, sidewalks, guardrails, and signs

Bridge components include, but may not be limited to:

 Decking

 Guardrails

 Girders

 Pavement

 Abutments

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 Piers

 Slope protection

 Approaches

 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

288

. 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 not eligible 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).

289

Private roads, including homeowners’ association roads, are not eligible. 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 not eligible.

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.

Therefore, distinguishing between pre-existing damage and damage caused by the incident is

often difficult. For the repair of this type 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 normal maintenance activities.

Normal maintenance is not eligible. Work to repair potholes or fatigue cracking is generally

ineligible as this type of damage is rarely caused directly by one incident.

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2. 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

 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

 Navigational waterways and shipping channels

(a) Restoring the Capacity of Channels,

Basins, and Reservoirs

Documentation Supporting Pre-

disaster Capacity

Restoring the pre-disaster carrying or storage

capacity of engineered channels, debris and

Survey data that is either recent or covers a

sediment basins, storm water detention and

multi-year period such that FEMA is able to

retention basins, and reservoirs may be eligible,

determine the amount of new material

but only if the Applicant provides

reasonably attributable to the incident.

documentation to establish:

 The pre-disaster capacity of the facility;

Documentation Supporting Regular

and

Maintenance

 That the Applicant maintains the facility

on a regular schedule.

Written maintenance plan and/or activity logs

documenting regular intervals of activity.

If the Applicant chooses to remove non-

Applicant logs documenting clearance of

incident-related material along with that

blockages in response to resident complaints are

deposited as a result of the incident, the project

not sufficient to substantiate a regular

is considered an Improved Project.

maintenance schedule.

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(b) 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 not eligible.

Secondary levees riverward of a primary levee are ineligible, unless the secondary levee protects

human life.

3. 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

 Furnishings

Equipment includes:

 Vehicles

 Construction equipment

Repair or replacement of buildings and equipment is eligible.

(a) Buildings

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:

 The age of the building and building systems

 Evidence of regular maintenance or pre-existing issues, such as water damage from a

leaky roof

 The severity and impacts of the incident

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.

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).

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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

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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.

(b) Equipment and Supplies

Repairing damaged—or replacing destroyed—equipment and supplies with the same number of

equivalent items is eligible.

291

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

Terminology

Consensus standards are standards that have

been adopted by a nationally recognized

standards-producing organization.

replacement cost.

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

 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

 Deciphering photocopies of damaged hard copies

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(d) 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 actually lost OR

to the number necessary to restore basic research

activity, whichever is less.

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 s

pecimen collection is a

repository of

specimens related to biomedical, marine, or

agricultural research.

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 not eligible.

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.

(e) 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

 A damaged specimen that is not recoverable

The animal is not eligible for replacement if a comparable animal is not available for purchase or

the Applicant is unable to obtain a comparable 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 used by rehabilitation facilities as

part of diagnosis or treatment

 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 is able to provide documentation that establishes 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.

Terminology

A taxidermy specimen is an animal that has

been preserved and mounted in a lifelike

representation.

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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 provided 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 not

eligible.

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:

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.

 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

 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.

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(f) 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 not eligible.

Costs associated with the development of a treatment plan for a damaged collection or individual

object are eligible.

Treatment is conducted by qualified conservation professionals with the appropriate specialty

and in accordance with the American Institute for Conservation of Historic and Artistic Works

Code of Ethics and Guidelines for Practice.

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FEMA, in consultation with the Recipient and Subrecipient, 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 not

eligible.

Documentation Supporting

Classification as Collection or

Individual Object

Generally, documentation of collections and individual

objects include accession, catalog, and inventory

documentation. Subrecipients should submit all

associated documentation along with a clear title to all

items.

Restoring materials, equipment, and

exhibition furnishings associated with the

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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

 Video and audio equipment

(g) 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.

293

However, special library collections, including rare books, manuscripts, and other fragile

materials, are only eligible for treatment, not replacement.

4. 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

 Communication systems

(a) 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 disaster-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

Conductor Spans

further clearance of debris in the ROW is

not eligible for FEMA funding.

The number of conductor spans is calculated by

multiplying the number of conductors per span by the

(b) Conductor Replacement

number of spans.

For electrical transmission or distribution

For example, a three-phase line section with three

systems, determining the disaster-related

spans has 12 conductor spans:

damage to some components, such as poles,

4 conductors x 3 spans = 12

guys, and cross-arms, can usually be

If a single conductor span has damage in more than

accomplished by visual inspection.

one location, it only counts as one damaged

However, determining the full extent of

conductor span. Similarly, if more than one conductor

disaster-related damage to conductors is

is damaged, it still only counts as one damaged span.

more challenging, particularly with older

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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 (install

ed as a result of the event)

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.

 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.

An A

pplicant has flexibility in defining a line

section. A

line section can be:

 A

single span

 All th

e spans between two dead-end

struc

tures

 All the spans on a feeder

 All the spans on a tap

 Any other group of contiguous spans that

are evaluated together

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, State, Territorial, Tribal, or

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local 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 will

provide PA funding for the work as long as

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 not eligible 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.

5. 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

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 CFR

§1730.25, Corrective action (RUS borrowers only).

If the Applicant is able to provide 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.

 Other facilities that do not ﬁt in Categories C–F

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Unimproved natural features are not eligible.

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 is 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, State,

Territorial, Tribal, or local code or standard or permit that meets the criteria described in Chapter

2:VII.B.7.

Long-term monitoring to ensure vegetative growth is not eligible 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.

 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.

Documentation Supporting Eligibility

of a Beach

To document eligibility of a beach as a designed

and maintained facility, the Applicant should

provide the

following information:

 All design studies, plans, construction

documents, and as-builts for the original

nouri

shment;

 All studies, plans, construction documents,

and as-builts for every renourishment;

 Documentation and details of the

mai

ntenance plan, including how the need

for renourishment is determined and

fun

ed; and

 Pre-and post-storm profiles that extend at

least to t

he seaward edge of the sub-

aqueous nearshore zone (closure depth,

usually -15 to -20 feet). (See Figure 15)

Beaches

Replacement of sand on beaches is only eligible

under certain conditions, described below. A beach

is consid

ered an eligible facility when all of the

following conditions exist:

 The beach is not a federally constructed

shoreline under the specific authority of

USACE;

 The beach was constructed by the placement

of imported sand—of proper grain size—to a

designed elevation, width, and slope;

294

and

 The Applicant has established and adhered

to a maintenance program involving periodic

renourishment with imported sand to

preserve the original design.

295

Placement of

sand under the following circumstances does

not meet this requirement:

o Emergency or “one-time” nourishment,

even if to a design

294

44 CFR § 206.226(j)(2)(i).

295

44 CFR § 206.226(j)(2)(ii).

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o Emergency or “as-needed” renourishments when the beach has eroded to a critical

condition where all of the original nourishment is gone

o Partial renourishments or “hot-spot” nourishments

o Renourishment using material from a channel maintenance project, because dredge

spoils do not meet compatibility design criteria and the amount placed is dependent

on the amount dredged, not the beach design

The amount of sand eligible for replacement is limited to the amount lost as a result of the

incident. FEMA uses the pre- and post-storm profiles of the beach to determine the eligible

volume of sand for replacement. If pre-storm profiles are not available, FEMA estimates the

amount of sand lost using design documents and renourishment history.

Figure 15. Typical Beach Profile

Replacing sand that eroded prior to the incident is not eligible. However, the Applicant is

encouraged to renourish the project to achieve the design profile.

If removal of sand from a maintained facility is eligible, disposal of the sand spoils on a public

beach may be eligible as part of that project when it is the most cost-effective method of

disposal.

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6. 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:

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.

 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 not eligible. Restoration of the

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

not eligible.

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 E.

An Applicant may request an Alternate Project if restoration of the facility is not feasible

because of soil instability.

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CHAPTER 3: PUBLIC ASSISTANCE

PROGRAM ADMINISTRATION

This chapter provides information on each phase of the Public Assistance (PA) Program

implementation process, including project development and requirements for administering the

PA Program award. Figure 16 provides an overview of the entire process.

Figure 16. PA Program Implementation Process

I. Initial Collaboration

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

A. Preliminary Damage Assessment

When a Tribal or local government determines an incident exceeds its capabilities to respond, it

requests assistance from the State. If the State subsequently determines that the incident may

exceed the combined capabilities of the State, Tribal, and local governments to respond, it

requests that FEMA join the State, Tribal, and local governments to assess the impacts and

magnitude of damage.

296

FEMA refers to this as a joint Preliminary Damage Assessment

(PDA).

297

When a Tribal Government is applying as a Recipient, it may request a damage

assessment directly from FEMA.

296

44 CFR § 206.33(a).

297

44 CFR § 206.33(b).

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The Governor or Indian Tribal Chief Executive must request a declaration

298

from the President

through FEMA within 30 days of the incident.

B. Applicant Briefing

As soon as possible following the President’s declaration, the Recipient conducts briefings for all

potential Applicants (i.e., State, Territorial, Tribal, and local government entities and private

nonprofits (PNPs)).

299

The Recipient is responsible for notifying potential Applicants of the date,

time, and location of the Applicant Brieﬁng. During these briefings, the Recipient provides high-

level information regarding the PA Program, such as:

 Application procedures

 Project funding

 Hazard mitigation

 Administrative requirements

 Procurement requirements

 Environmental and historic preservation (EHP) compliance requirements

 General eligibility criteria

 Documentation requirements

 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

accounting/finance/procurement operations; and

 Designate a primary point of contact to interact with the Recipient and FEMA.

C. Request for Public Assistance

If a State, Territorial, Tribal, or local government entity or PNP wishes to seek PA funding, it

must first submit a Request for Public Assistance (RPA) to FEMA, through the Recipient, within

30 days of the respective area being designated in the declaration.

300

The RPA (FEMA Form 90-

49)

301

is the form to apply for the PA Program; FEMA also refers to it as a pre-application.

Given the necessity to collaborate with Applicants 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 or at the conclusion of the Applicant Briefing.

However, FEMA accepts RPAs up to the 30-day deadline. If a Tribal Government is its own

Recipient, it submits its RPA directly to FEMA. 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.

302

298

Information and forms for Presidential declaration requests are available at www.fema.gov/media-

library/assets/documents/28122.

299

44 CFR § 206.207(b)(1)(iii)(B).

300

44 CFR § 206.202(c).

301

www.fema.gov/media-library/assets/documents/10145.

302

44 CFR § 206.202(f)(2).

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Using the RPA, the Applicant provides general information about its organization, including

physical location and point of contact. The RPA must indicate the Applicant’s active Dun and

Bradstreet (DUNS) number. If the Applicant does not have an active DUNS number, it may

request one at: www.dnb.com/get-a-duns-number.html. Table 5 indicates the RPA

documentation required for PNPs.

FEMA and the Recipient review the RPA to determine whether the Applicant is eligible for

assistance.

303

See Chapter 2:II for a detailed discussion on Applicant eligibility. Once FEMA

approves the RPA, it assigns a PA representative to that Applicant. The PA representative is a

program expert who serves as the Applicant’s customer service agent on PA Program matters

and manages FEMA’s processing of the Applicant’s projects.

Table 5. PNP RPA Documentation Requirements

PNP RPA Documentation Requirements

All PNP Applicants

PNP Facility Questionnaire (FEMA Form 90-121) available at www.fema.gov/media-

library/assets/documents/10579.

A current ruling letter from the Internal Revenue Service granting tax exemption under sections

501(c), (d), or (e) of the Internal Revenue Code of 1954; OR documentation from the State

substantiating it is a non-revenue producing, nonprofit entity organized or doing business under

State law

If the Applicant owns the facility, proof of ownership

If the Applicant leases the facility, proof of legal responsibility to repair the incident-related damage

List of services provided in the facility and when and to whom

Membership Organization

Who is allowed membership

What fees are charged

Policy regarding waiving memberships

Education/School

Proof that the school is accredited or recognized by the State Department of Education

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 child care facility

Mixed-Use Facility

Proof of the established purpose of the facility with documentation such as:



Pre-disaster charter, bylaws, and amendments



Calendar of activities

D. Recovery Scoping Meeting

FEMA or the Recipient’s PA representative should contact the Applicant to schedule an initial

meeting (Recovery Scoping Meeting) within 10 days of receiving notice of RPA approval. If the

Applicant is not contacted after 10 days, it should call the Recipient to arrange the meeting.

303

44 CFR § 206.207(b)(1)(iii)(C).

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Unless there are extenuating circumstances, FEMA and the Recipient should conduct the

Recovery Scoping Meeting within 21 days of approval of the RPA.

While the Applicant Briefing is designed to address high-level information for all potential

Applicants, the Recovery Scoping Meeting is designed to address the specific needs of each

eligible Applicant. At the Recovery Scoping Meeting, FEMA, the Recipient, and the Applicant

discuss:

 Details of the Applicant’s impacts from the incident

 Hazard mitigation opportunities

 Eligibility criteria for work and costs

 Project formulation

 Insurance requirements

 EHP compliance requirements

 Documentation requirements

 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). The Applicant should be prepared to provide the information in Table 6 at

the Recovery Scoping Meeting.

Table 6. Applicant Documentation for the Recovery Scoping Meeting

Applicant Documentation to Provide at Recovery Scoping Meeting

A list of all impacts by site, including:

Map of jurisdiction showing all sites

Specific location of debris impacts and facility damage using either the address or U.S.

National Grid (USNG) location

Facility names

Documentation to support legal responsibility



Deeds



Titles



Lease agreements



Contracts for facilities under construction

Whether the facility was damaged in a prior incident

Pre-incident photographs of impacted site or facility, if available

Photographs of debris impacts or facility damage



Estimated quantities of debris by type



Brief description of damage with dimensions

Emergency Work activities

Estimated costs

Whether the project is high priority

Proposed, or completed, repair scope of work, including hazard mitigation measures

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Applicant Documentation to Provide at Recovery Scoping Meeting

Whether the work is complete



Summary of actual costs for completed work, including support documentation



Professional cost estimates for uncompleted work, if available

Who performed, or will perform, the work

Potential environmental issues or historic preservation concerns

Age of the facility

Age of nearby facilities that may be affected by the project

Debris reduction and disposal sites

Summary of insurance coverage, including copy of policy, schedule of values, statements of

loss, and settlement documents

II. Project Formulation

FEMA and the Recipient work with the Applicant to formulate incident-related damage and

work into projects (i.e., subawards) based on logical groupings of the damage and work.

304

This

process is a collaborative effort beginning at the Recovery Scoping Meeting and concluding with

an Exit Briefing.

FEMA uses the Project Worksheet (PW) (FEMA Form 90-91)

305

as the Subaward Application.

FEMA uses the PW to document details of the Applicant’s project, including a detailed

description of the disaster-related damage and dimensions and the associated scope of work

(SOW) and costs. If the project involves multiple locations, FEMA may use site sheets to

differentiate damage, work, and costs by site within the PW.

306

The disaster damage and

dimensions, SOW, and costs for each site are documented on separate site sheets.

This section provides information on the project formulation process. FEMA’s Public Assistance

Program Field Operations Pocket Guide (FEMA P-1011) addresses these processes in detail.

307

Additionally, FEMA requires documentation to support that the work is eligible in accordance

with laws, regulations, Executive Orders (EOs), and policies. This chapter provides checklists of

documentation that may support eligibility. These checklists are not all-inclusive lists.

Documentation should provide the “who, what, when, where, why, and how much” for each item

claimed. If the specific documentation discussed below is not available, FEMA and the Recipient

work with the Applicant to obtain alternative documentation to support eligibility. However, it is

the Applicant’s responsibility to substantiate its claim as eligible. If the Applicant does not

provide sufficient documentation to support its claim as eligible, FEMA cannot provide PA

funding for the work.

304

44 CFR § 206.201(l).

305

www.fema.gov/media-library/assets/documents/9720.

306

44 CFR § 206.201(l)(2).

307

www.fema.gov/media-library/assets/documents/95650.

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A. Identify and Report Damage

The Applicant is required to identify and report all of its disaster-related damage, Emergency

Work activities, and debris quantities to FEMA

within 60 days of the Recovery Scoping

Meeting.

308

FEMA may extend the deadline for

identifying and reporting damage if the

Recipient submits a request in writing with

justification based on extenuating circumstances

beyond the Recipient’s or Applicant’s control.

309

For example, if a site is inaccessible, FEMA

may extend the deadline for that site.

FEMA and the Recipient conduct site

inspections with the Applicant to validate,

quantify, and document the cause, location, and

details of the reported damage and debris

impacts and identify EHP issues and hazard

mitigation opportunities within this 60-day

period. Table 7 lists information that FEMA

may request to determine the eligibility of

damage claimed.

FEMA, the Recipient, and the Applicant should

reach agreement on the disaster-related damage

description and dimensions, emergency

Expedited Funding

If an Applicant has an immediate need for

Emergency Work funding, FEMA may provide

funding based on estimated costs provided the

Applicant substantiates its legal responsibility

for the work and provides a detailed description

of the activities, a cost summary, and sufficient

documentation to substantiate that the work is

eligible and the cost estimate is reasonable. If

the funding is related to debris removal, the

Applicant must also provide debris quantities,

locations, and documentation to substantiate

environmental compliance. FEMA must validate

the eligibility of the debris quantities and

locations. FEMA will not provide funding based

on estimated costs for a debris removal project

funded under the Accelerated Debris Removal

Alternative Procedure (Chapter 2:VI.A.1.a).

protective measures, and debris impacts before proceeding with SOW development.

Table 7. Documentation to Support Damage Claim

Documentation Supporting Immediate Threats, Debris Impacts, or Damage

The following information is obtained, or validated, during the site inspection

(not an all-inclusive list).

The Information listed in Table 6, if not previously provided

For Emergency Work:

Description of immediate threat

Records demonstrating presence of immediate threat (e.g., technical reports, safety inspector

report, photographs)

Additionally, for debris specifically:



Actual debris quantities by type



For waterway debris, documentation supporting pre-and post-incident levels, such as

waterway soundings

308

44 CFR § 206.202 (d)(1)(ii).

309

44 CFR § 206.202 (f)(2),

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Documentation Supporting Immediate Threats, Debris Impacts, or Damage

For Permanent Work:

Photographs of site, overall facility, and specific damage

Detailed description of damage with specific dimensions

Drawings, sketches, and plans (to scale) of disaster-related damage

Plans and specifications showing pre-disaster design of the facility

Documentation supporting pre-disaster condition of facility (e.g., facility maintenance records,

inspection/safety reports)

For electric transmission and distribution facility conductors specifically:



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 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.



Construction work plans demonstrating the utility’s past practices and current and future

projects.



If required by the Rural Utilities Service (RUS), a copy of any corrective action plans submitted

to RUS in compliance with Title 7 of the Code of Federal Regulations (CFR) § 1730.25,

Corrective action (RUS borrowers only).



Staking sheets.

B. Develop Scope of Work

Once FEMA, the Recipient, and the Applicant agree on the damage description and dimensions,

the Applicant provides its proposed SOW, including its hazard mitigation proposal (HMP) or, if

the work is finished, the completed SOW for each of its projects.

For Emergency Work, the SOW includes work required to address immediate threats and to

remove debris. For Permanent Work, the SOW includes a description of how the Applicant plans

to repair, or has repaired, the damage, including repair dimensions and HMP description and

dimensions.

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.

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. Once the Applicant

determines its preferred method of repair, it must submit a detailed SOW and cost estimate for

FEMA’s review. Table 8 lists information necessary to develop the SOW.

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Table 8. Information to Develop Scope of Work

Information to Develop Scope of Work

The Applicant should provide the following for each site (not an all-inclusive list):

Site map showing the location of all proposed project components and the extent of ground

disturbance (including any staging areas, access roads, parking, landscaping, grading, or utilities)

For emergency protective measures:

Description of emergency response activities

For debris removal:

Quantities of debris removed, reduced, disposed, and recycled (by type) with a representative

sampling of load tickets to support quantities

Debris monitor reports

Pick-up locations

Address and/or U.S. National Grid (USNG) location of temporary reduction sites and permanent

disposal sites, including recycling locations



Copies of permits for reduction and disposal sites



Lease agreement if applicable

For abandoned vehicles and vessels, documentation supporting that the Applicant followed

applicable ordinances or laws for private vehicle and vessel removal

For Permanent Work:

Drawings, sketches, and plans (to scale) of proposed or completed repair

Applicable design requirements

Applicable repair/reconstruction codes or standards and documentation to support they have

been formally adopted, implemented, and uniformly applied

Replacement projects: estimate for 50% Rule calculations

Relocation projects: justification for relocation request

HMPs, including Benefit-Cost Analyses (BCAs) when necessary

Hydrologic and hydraulic studies that address potential upstream and downstream impacts (if

applicable)

Technical studies, reports, and assessments (including environmental assessments)

Historic property designations or surveys, including archaeological surveys

Copies of permits and correspondence with regulatory agencies



State, Territorial, or Tribal Historic Preservation Officer (historic properties)



U.S. Army Corps of Engineers (work involving dredging or discharging dredged materials or fill

in waterways or wetlands)



U.S. Fish and Wildlife Service (federally listed threatened and endangered species, migratory

birds, work in Coastal Barrier Resource System areas, work in or near waterways or wetlands)



National Marine Fisheries Service (federally listed threatened and endangered species, work in

or near waterways or wetlands)



State, Territorial, or Tribal environmental agencies

C. Change in Scope of Work

While

proceeding

with the

project,

the Applicant must

ensure

that

it uses PA funding

only

for eligible work. 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

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requirements prior to commencement of work. If the Applicant begins work associated with a

change before FEMA review and approval, it will jeopardize PA funding.

With the exception of Permanent Work Alternative Procedures Projects, FEMA may approve

revisions under any of the following circumstances (this is not an all-inclusive list):

 The Applicant discovers damage not visible during the site inspection. The Applicant

must report this damage within 60 days of the Recovery Scoping Meeting.

 The Applicant discovers hidden damage during the course of completing previously

approved work.

 The repair method documented in the PW is not feasible.

 Professional recommendations for repair differ from the repair documented in the PW,

provided the recommendations are limited to the least costly method of repairing only the

agreed upon disaster-related damage.

 The PW contains inadvertent errors or omissions.

 The Applicant wishes to pursue an Improved or Alternate Project.

A change requires a written request from the Applicant to the Recipient, including detailed

justification and documentation to support the eligibility of the requested revision.

310

If the

request involves previously unreported damage, the Applicant must also provide documentation

demonstrating how the incident caused the damage. Table 9 indicates the information necessary

for FEMA to evaluate a request for a change in SOW.

The Recipient must forward the request to FEMA with its written recommendation.

311

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 is discovered during construction and is disaster-related

310

44 CFR § 206.204(e).

311

Ibid.

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Table 9. Information to Support Change in SOW

Information to Support Change in SOW

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 estimate

Reason for changes



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):

 Documentation substantiating the damage is related to the declared incident

 Photographs documenting damage

 Change orders

Construction timeline / project schedule



Time extension, if necessary (include information in Table 11)

D. Develop Project Cost

FEMA or the Recipient prepares the PW based on

actual or estimated costs as follows:

 If the Applicant has completed the SOW,

the PW is prepared based on actual costs.

 If the Applicant has not completed the

SOW, FEMA or the Applicant estimates

the costs.

Small Project Preparation

In addition to FEMA or the Recipient, Applicants

may also prepare Small Project PWs with FEMA

validation. If the Applicant prepares its own

Small Projects, it must submit them to FEMA for

validation within 60 days of the Recovery

Scoping Meeting. See Chapter 3:IV.B for the

differentiation between Small and Large

Projects.

FEMA uses the Applicant’s 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

312

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; and

 Is reasonable.

If the Applicant lacks the resources, it may request technical assistance from FEMA to develop

the cost estimates. Table 10 lists the information that the Applicant should submit to support

costs claimed.

312

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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Table 10. Documentation to Support Costs Claimed

Documentation to Support Costs Claimed

The Applicant should submit the following to support costs claimed (not an all-inclusive list):

Applicant (Force Account) Labor and Prisoner Labor:

For each individual:

Name

Job title and function

Type of employee (i.e., full-time exempt, full-time non-exempt, part-time, temporary, prisoner,

etc.)

Days and hours worked

Pay rate(s) and fringe benefit rate(s)

Description of work performed with representative sample of daily logs / activity reports, if

available

Representative sample of timesheets

Fringe benefit calculations

Pay policy

Applicant-Owned (Force Account) Equipment:

For each piece of equipment:

Type of equipment and attachments used, including year, make, and model

Size/capacity (e.g., horsepower, wattage)

Locations and days and hours used with usage logs

Operator name

Schedule of rates, including rate components

Rented or Purchased Equipment:

Rental or lease agreements, invoices, receipts

Days used

Supplies from Stock:

Historical cost records

Inventory records

Type of supplies and quantities used, with support documentation such as daily logs

Purchased Supplies:

Receipts or invoices

Contracts:

Procurement policy

Procurement and bid documents

For procurements in excess of the simplified acquisition threshold, a cost/price analysis

Contracts, change orders, and invoices

Dates worked

For time and materials (T&M) contracts, monitoring documentation

Mutual aid:

Written agreement

Services requested and received

Same information listed for labor, equipment, and supplies above (as applicable)

Invoices

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Documentation to Support Costs Claimed

Donated Resources:

For each individual:

Name

Days and hours worked

Location of work and work performed

Equipment:

Same information listed under Applicant-Owned Equipment above

Who donated each piece of equipment

Supplies or materials:

Quantity donated

Who donated

Location(s) used

Cost Estimates:

Cost estimate for the agreed-upon SOW developed with unit costs

Qualifications of the company or individual who prepared the cost estimate

Cost reasonableness (if requested by FEMA):

Documentation showing current market price for similar goods or services, such as:



Historical documentation;



Average costs in the area; or



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



Supply chain vendor reports

For Direct Administrative Costs (DAC):

Specific description of administrative task performed by individual

Skill level and position description of individual performing task

Other:

Documentation regarding cash donations or other funding received

Cost comparisons and source documentation, if applicable

Actual insurance proceeds, if available

E. Project Documentation

313

ToThe Applicant must maintain all

source documentation supporting the project costs

facilitate closeout and audits, the Applicant should file all documentation pertaining to each

project with the corresponding PW as the permanent record of the project.

The Recipient and the Applicant must keep all financial and program documentation for 3 years

after the date of the Recipient’s final Financial Status Report (FSR) (FEMA Form 112-0-1).

314

Records are subject to audit by State auditors, FEMA, the U.S. Department of Homeland

Security Office of Inspector General, and the U.S. Government Accountability Office.

315

313

2 CFR § 200.302.

314

2 CFR § 200.333; www.fema.gov/media-library/assets/documents/29496.

315

2 CFR § 200.336.

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F. Exit Briefing

FEMA and the Recipient conduct an Exit Briefing with the Applicant when project formulation

is complete and all claimed damage is documented.

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

 Review EHP compliance issues

 Transition primary point-of-contact from field personnel to the Recipient

 Discuss questions or concerns

III. Project Deadlines

FEMA only provides PA funding for work completed and costs incurred

316

within regulatory

deadlines (See Figure 17). The deadline for

Emergency Work is 6 months from the declaration

date. The deadline for Permanent Work is 18 months

from the declaration date.

317

FEMA considers these

timeframes to be a project's period of performance.

If the Applicant determines it needs additional time

Figure 17. Regulatory Project Deadlines

to complete the project, including direct

administrative tasks related to the project, 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.

318

The Recipient has authority to extend deadlines for individual projects based on extenuating

circumstances. It may extend Emergency Work projects by 6 months

319

and Permanent Work

projects by 30 months.

320

FEMA has authority to extend individual project deadlines beyond

these timeframes if extenuating circumstances justify additional time.

321

With exception of debris removal operations funded under the Accelerated Debris Removal

Procedure of the Alternative Procedures Pilot Program, 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)

316

2 CFR § 200.309 and 44 CFR § 206.204(d)(2).

317

44 CFR § 206.204(c)(1).

318

44 CFR § 206.204(d)(2).

319

The Recipient may not grant time extensions on debris removal projects funded under the Accelerated Debris

Removal Alternative Procedure.

320

44 CFR § 206.204(c)(2)(ii).

321

44 CFR § 206.204(d).

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 Inclement weather (site access prohibited or adverse impact on construction)

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

 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.

322

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 11 indicates the information that the Applicant should submit to support a request for a

time extension.

Table 11. Information to Support Time Extension

Information to Support 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

Basis for time extension request:



Delay in obtaining permits

 Permitting agencies involved and application dates



Environmental delays or limitations (e.g., short construction window, nesting seasons)

 Dates of correspondence with various agencies

 Specific details



Inclement weather (prolonged severe weather conditions prohibited access to the area, or

adversely impacted construction)

 Specific details



Other reason for delay

 Specific details

IV. Project Funding

The PW contains the information necessary for authorized FEMA personnel to review and

approve the SOW and costs. If approved, FEMA obligates the Federal share of the eligible

322

44 CFR § 206.204(d)(2).

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project cost to the Recipient.

323

Once obligated, the PW constitutes the official record of the

approved SOW for the project.

Funds that FEMA has obligated are available to the Recipient via electronic transfer and reside

in a Federal account until the Recipient provides the funds to the appropriate Applicant.

324

The

Recipient is responsible for notifying the Applicant that funds are available.

325

A. Strategic Funds Management

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 PW 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.

326

B. 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 PW totals less than the minimum threshold

327

after the Applicant has accounted for all project

costs—including DAC and reductions to avoid duplication of benefits—the project is not

eligible.

328

This limitation applies to each PW and not to each site sheet used in one PW.

Because of the administrative cost involved, FEMA does not process PWs under the minimum

threshold unless the 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.

Additionally, FEMA does not combine work among several sites or projects onto one PW for the

sole purpose of reaching 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.

329

FEMA categorizes projects as large or small based on the final approved

amount of eligible costs after any cost adjustments, including insurance reductions:

 A Large Project is a PW with a cost equal to or greater than the threshold.

 A Small Project is a PW with a cost below the threshold.

330

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 projects, FEMA

adjusts any estimated costs to the actual incurred amount so that the final approved funding is

323

44 CFR § 206.202(e).

324

44 CFR § 206.200(b)(2)(ii).

325

44 CFR § 206.200(2)(i).

326

www.fema.gov/media-library/assets/documents/30301.

327

The minimum threshold is available at: www.fema.gov/public-assistance-indicator-and-project-thresholds.

328

44 CFR § 206.202(d)(2).

329

The project threshold amount is available at: www.fema.gov/public-assistance-indicator-and-project-thresholds.

330

Stafford Act § 422, 42 U.S.C. § 5189, and 44 CFR § 206.203(c).

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based on actual costs.

331

For Small Projects, FEMA does not adjust estimated costs to the actual

incurred amount.

332

C. Project Reconciliation and Closeout

The purpose of closeout is for the Applicant to certify that all work has been completed.

333

FEMA closes Large Projects individually as each is completed.

334

FEMA closes all Small

Projects together when the last Small Project is completed.

335

To ensure a timely closeout

process, the Applicant should notify the Recipient immediately as it completes each Large

Project and when it has completed its last Small Project.

The Subrecipient should include the following information with its closeout request:

 Certification that project is complete;

 Date of project completion; and

 Copies of any Recipient time extensions.

1. Large Projects

With exception of Capped Projects, the final eligible amount for a Large Project is the actual

documented cost of the completed, eligible SOW.

336

Therefore, upon completion of each Large

Project that FEMA obligated based on an estimated amount; the Subrecipient should provide the

documentation in Tables 8 and 10 to support the actual costs.

337

If the actual costs significantly

differ from the estimated amount, the Subrecipient should provide an explanation for the

significant difference.

338

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.

339

The

Recipient must submit its certification of the Applicant’s completion of each Large Project with

the final payment of claim

340

and supporting documentation to FEMA within 180 days of the

project deadline.

341

The Recipient must submit its certification of each of its own Large Projects

within 180 days of the project deadline.

FEMA reviews the documentation and, if necessary, obligates additional funds or reduces

funding based on actual costs to complete the eligible SOW.

342

If the project included approved hazard mitigation measures; FEMA does not re-evaluate the

cost-effectiveness of the HMP 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,

331

44 CFR § 206.205(b).

332

44 CFR § 206.205(a).

333

2 CFR § 200.343.

334

44 CFR § 206.205(b).

335

44 CFR § 206.205(a).

336

44 CFR § 206.203(c)(1).

337

44 CFR § 206.205(b)(1).

338

44 CFR § 206.204(e).

339

44 CFR § 206.205(b)(1).

340

This means the final claim for PA funding for the project.

341

2 CFR § 200.343.

342

44 CFR § 206.205(b)(2).

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FEMA will designate the project as an Improved Project, cap the funding at the original

estimated amount, and review the additional SOW for EHP compliance.

343

For Capped Projects, the Applicant must provide documentation to support that it used the funds

in accordance with the eligibility criteria described in Chapter 2:VII.G and guidance provided at

www.fema.gov/alternative-procedures.

Once FEMA completes the necessary review and funding adjustments, FEMA closes the project.

2. 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 PW based on an estimate

and actual costs for completing the eligible SOW differ from the estimated amount. 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;

 The PW contains inadvertent errors or omissions; or

 Actual insurance proceeds differ from the amount deducted in the PW.

In these cases, FEMA only adjusts the specific cost items affected.

If none of the above applies, the Subrecipient may request additional funding if the total actual

cost of all of its Small Projects combined exceeds the total amount obligated for all of its Small

Projects. In this case, the Subrecipient must request the additional funding through the appeal

process, described in Chapter 3:IV.D, within 60 days of completion of its last Small Project.

344

FEMA refers to this as a net small project overrun appeal. The appeal must include actual cost

documentation, as detailed in Tables 8 and 10, for all Small Projects that FEMA originally

funded based on estimate amounts.

345

To close Small Projects, the Recipient must certify that the Subrecipient completed the approved

SOWs for all of its Small Projects and complied with all EHP requirements.

346

The Recipient

must submit the certification of completion of all small projects to FEMA within 180 days from

the approved deadline of its last Small Project. The Recipient must submit its certification of

completion of all of its Small Projects within 180 days of the approved deadline of its last small

project.

347

Once FEMA receives the Recipient’s certification, FEMA closes all of the

Subrecipient’s Small Projects.

D. Appeals

The Applicant may appeal any FEMA determination related to an application for, or the

provision of, assistance under the PA Program.

348

For Alternative Procedures Projects, the

343

44 CFR § 206.203(d)(1).

344

44 CFR § 206.204(e)(2).

345

44 CFR § 206.204(e).

346

44 CFR § 206.205(a).

347

2 CFR § 200.343.

348

Stafford Act § 423, 42 U.S.C. § 5189a, and 44 CFR § 206.206.

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Applicant may submit an appeal only for insurance or corrective actions resulting from reviews

such as an audit.

FEMA provides the Applicant with two opportunities to request FEMA reconsider a

determination. The first appeal is to the FEMA RA.

349

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.

350

The Applicant must submit a written appeal to the Recipient within 60 days of receiving written

notification of FEMA’s determination.

351

The Recipient must forward the appeal with its written

recommendation to FEMA within 60 days of its receipt of the appeal.

352

FEMA reviews the appeal and, within 90 days of receiving it, takes one of two actions:

 Provides its final written decision to the Recipient; or

 Requests additional information specifying the date FEMA must receive the information

(usually 30 days).

353

E. Audits

Recipients and Subrecipients are subject to Federal and non-Federal audits.

354

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.

355

F. Stafford Act Section 705

Section 705 of the Stafford Act imposes a three (3) year limit on FEMA’s authority to recover

payments made to State, Tribal, or local government Recipients and Subrecipients unless there is

evidence of fraud. Section 705 does not apply to PNPs. In order 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.

356

V. Grant Management and Administration

This section provides information on grant management, administration, and the closeout process

and requirements. FEMA’s Public Assistance Program Management and Grant Closeout

Standard Operating Procedure (SOP 9570.14) provides additional details.

357

A. Quarterly Progress Reports

The Quarterly Progress Report 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

349

44 CFR § 206.206(b)(1).

350

44 CFR § 206.206(b)(2).

351

44 CFR § 206.206(c)(1).

352

44 CFR § 206.206(c)(2).

353

44 CFR § 206.206(c)(3).

354

Stafford Act § 318, 42 U.S.C. § 5161, and 44 CFR § 206.207(c).

355

2 CFR § 200.501.

356

www.fema.gov/media-library/assets/documents/115804.

357

www.fema.gov/media-library/assets/documents/86377.

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a quarterly basis.

358

Recipients need to submit Quarterly Progress Reports to FEMA no later than

30 days after the end of each quarter.

The Recipient must report the status of each open Large Project by providing the following:

 Amount of expenditures to date;

 Amount of funds the Recipient has drawn against the project to date;

 Projected project completion date;

 Time extensions granted; and

 Problems or circumstances that might delay the project.

The Subrecipient must submit the following for each uncompleted Large Project on a quarterly

basis:

 Total expenditures to date for each project;

 Status of the project;

 Projected completion date; and

 Any circumstances that could delay the project.

B. Section 324 Management Costs

Section 324 management costs are indirect costs, administrative expenses, and other expenses a

Recipient or Subrecipient incurs in administering and managing PA awards that are not directly

chargeable to a specific project.

359

Chapter 2:V.N.1 discusses the eligibility and overall funding

criteria for these costs. This section discusses the process. FEMA categorizes Recipient

management costs as Category Z.

Management Cost Cap

Management cost funding is capped at a percentage of the Federal share of assistance granted.

360

The rate for Major Disaster Declarations is 3.34 percent.

361

The rate for Emergency Declarations

is 3.90 percent.

362

This rate covers management costs of both the Recipient and Subrecipients.

The Recipient determines the portion it distributes to Subrecipients.

363

FEMA determines the capped amount in three phases:

 Initial cap: 30–35 days after declaration

364

 Interim cap: 6 months after declaration

365

 Final cap: 12 months after declaration

366

The Recipient may request funds upon notification of the initial cap amount and upon

notification of the final cap. If the Recipient can justify a need for an interim obligation at

358

44 CFR § 206.204(f).

359

Stafford Act § 324(a), 42 U.S.C. § 5165b; 44 CFR § 207.2; and 2 CFR §§ 200.56 and 200.412.

360

44 CFR § 207.5(b).

361

44 CFR § 207.5(b)(4)(i).

362

44 CFR § 207.5(b)(4)(iii).

363

44 CFR § 207.4(c) and 206.207(b)(1)(iii)(K).

364

44 CFR § 207.5(b)(1).

365

44 CFR § 207.5(b)(2).

366

44 CFR § 207.5(b)(3).

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6 months, the Recipient may submit a request with justification to FEMA. An interim obligation

does not exceed 10 percent of the 6-month cap amount.

367

The Recipient submits its initial management cost funding request to FEMA.

368

Upon receipt of

the request, FEMA obligates 25 percent of the estimated capped amount.

369

The Recipient must submit documentation no later than 120 days after the declaration date to

support costs and activities for which the projected lock-in amount will be used. In extraordinary

circumstances, the Recipient may request additional time.

Documentation must include the following information:

 A description of activities, personnel requirements, and other costs for which the

Recipient will use the funding throughout the incident;

 A plan for expending and monitoring funds provided and ensuring sufficient funds are

budgeted for grant closeout; and

 An estimate of the percentage or amount of pass-through funds the Recipient intends to

make available to Subrecipients, including the basis, criteria, or formula for determining

the percentage or pass-through amounts.

FEMA approves or rejects the documentation within 30 days of receiving it. If rejected, the

Recipient has 30 days from the date of the rejection letter to resubmit for approval. FEMA does

not obligate the balance of the lock-in amount until after it approves the Recipient’s

documentation.

370

After notification of the final cap amount, the Recipient submits a final management costs

request to FEMA with any necessary revisions to the 120-day documentation it submitted.

FEMA only obligates the remaining funds if it received and approved the 120-day

documentation.

371

The Recipient must retain documentation on how it spent the funds for 3 years after the date of

submission of its final FSR.

372

C. PA Award Closeout

To close the PA grant award to the Recipient, FEMA and the Recipient conduct a financial

reconciliation. 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 Program 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;

367

44 CFR § 207.7(e).

368

44 CFR § 207.7(c).

369

44 CFR § 207.5(b)(1).

370

44 CFR § 207.7(d).

371

44 CFR §§ 207.7(f) and 207.5(b)(3).

372

44 CFR § 207.8(f), and 2 CFR § 200.333.

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 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.

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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

CFR Code of Federal Regulations

CWA Clean Water Act

CZMA Coastal Zone Management Act

DAC Direct Administrative Costs

DFA Direct Federal Assistance

DMP Debris Management Plan

DUNS Dun and Bradstreet

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

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FIRM Flood Insurance Rate Map

FMAG Fire Management Assistance Grant

FP FEMA Recovery Policy

FSR Financial Status Report

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

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

PDA Preliminary Damage Assessment

PNP private nonprofit

PW Project Worksheet

RA Regional Administrator

RCRA Resource Conservation and Recovery Act

RIP Rehabilitation and Inspection Program

ROW right-of-way

RPA Request for Public Assistance

RUS Rural Utilities Service

SBA U.S. Small Business Administration

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SFHA Special Flood Hazard Area

SHPO State Historic Preservation Officer

SOW scope of work

STATEX Statutory Exclusion

T&M time and materials

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

USNG U.S. National Grid

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REFERENCES AND RESOURCES

Public Assistance (PA) Program References

www.fema.gov/public-assistance-local-state-tribal-and-non-profit

Archived Policy Documents: www.fema.gov/media-library/assets/documents/128488

Archived Publications: www.fema.gov/publications-archive

Alternative Procedures Pilot Program: www.fema.gov/alternative-procedures

Appeal Procedures Manual and Directive: www.fema.gov/media-library/assets/documents/93610

Debris Estimating Field Guide (FEMA 329):

www.fema.gov/pdf/government/grant/pa/fema_329_debris_estimating.pdf

Debris Contractor Registry Tool: https://asd.fema.gov/inter/drcr/home.htm

Direct Reimbursement for Host-State Evacuation and Sheltering Costs (FEMA SOP 9570.1):

www.fema.gov/media-library/assets/documents/28328

Dun and Bradstreet (DUNS) Number: www.dnb.com/get-a-duns-number.html

Elements of a Project Worksheet (FEMA Fact Sheet 9580.5):

www.fema.gov/pdf/government/grant/pa/9580_5.pdf

Equipment Rates: www.fema.gov/schedule-equipment-rates

Infectious Disease Event Fact Sheet (FP 104-009-001): www.fema.gov/media-

library/assets/documents/99710

Mission Assignments for ESF #10 (FEMA 9523.8): www.fema.gov

Procurement Guidance for Recipients and Subrecipients Under 2 C.F.R. Part 200 (Uniform

Rules): www.fema.gov/media-library/assets/documents/96773

PA Policy on Insurance (FP 206-086-1): www.fema.gov/media-library/assets/documents/107564

PA Field Operations Pocket Guide (FEMA P-1011): www.fema.gov/media-

library/assets/documents/95650

PA Program Management and Grant Closeout (FEMA SOP 9570.14): www.fema.gov/media-

library/assets/documents/86377

Project Specialist Transition at Joint Field Offices (FEMA SOP 9570.15):

www.fema.gov/media-library/assets/documents/28370

Recovery of Improper Payments (FEMA SOP 9570.16): www.fema.gov/media-

library/assets/documents/92114

Recommended Post Earthquake Evaluation and Repair Criteria for Welded Steel Moment Frame

Buildings (FEMA 352): www.fema.gov/media-library/assets/documents/747

Safe Rooms for Tornadoes and Hurricanes, Guidance for Community and Residential Safe

Rooms (FEMA P-361): www.fema.gov/media-library/assets/documents/3140

Small Business Administration Loans: www.sba.gov/content/sba-loans

Strategic Funds Management – Implementation Procedures for the PA Program (FEMA SOP

9570.24): www.fema.gov/media-library/assets/documents/30301

Validation of Small Projects (FEMA SOP 9570.6): www.fema.gov/media-

library/assets/documents/28349

Forms

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

www.grants.gov/web/grants/form-instructions/sf-424-instructions.html

www.grants.gov/web/grants/form-instructions/sf-424d-instructions.html

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Financial Status Report (FSR) (FEMA Form 112-0-1): www.fema.gov/media-library-

data/20130726-1856-25045-9653/sf_financial_status_report.pdf

Payment Management System Access Form and a Direct Deposit Form (SF-1199A):

www.dpm.psc.gov/grant_recipient/access_procedure/access_procedure.aspx?explore.event=true

PNP Facility Questionnaire (FEMA Form 90-121): www.fema.gov/media-

library/assets/documents/10579?id=2726

Request for Public Assistance (RPA) (FEMA Form 90-49): www.fema.gov/media-

library/assets/documents/10145

Subaward Application / Project Worksheets (PWs) (FEMA Form 90-91): www.fema.gov/media-

library/assets/documents/9720

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

2 CFR, Grants and Agreements: www.ecfr.gov/cgi-bin/text-

idx?SID=6bb67f6254dbbfb229adddfa247ca4eb&mc=true&tpl=/ecfrbrowse/Title02/2tab_02.tpl

2 CFR 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 CFR § 1730.25, Corrective action (Rural Utilities Service [RUS] borrowers only):

www.ecfr.gov/cgi-bin/text-

idx?SID=6bb67f6254dbbfb229adddfa247ca4eb&mc=true&node=pt7.11.1730&rgn=div5#se7.11

.1730_125

15 CFR Part 774, The Commerce Control List: www.ecfr.gov/cgi-bin/text-

idx?SID=6bb67f6254dbbfb229adddfa247ca4eb&mc=true&node=pt15.2.774&rgn=div5

22 CFR 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 CFR 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 CFR Parts 1500–1508, NEPA Regulations: www.ecfr.gov/cgi-bin/text-

idx?SID=6bb67f6254dbbfb229adddfa247ca4eb&mc=true&tpl=/ecfrbrowse/Title40/40cfrv33_02

.tpl#1500

44 CFR, Emergency Management and Assistance: www.ecfr.gov/cgi-bin/text-

idx?SID=e9db96b738b11340c696c4ee451d3865&mc=true&tpl=/ecfrbrowse/Title44/44tab_02.t

44 CFR 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 CFR Part 201, Mitigation Planning: www.ecfr.gov/cgi-bin/text-

idx?SID=e9db96b738b11340c696c4ee451d3865&mc=true&node=pt44.1.201&rgn=div5

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44 CFR 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 CFR Part 206, Federal Disaster Assistance: www.ecfr.gov/cgi-bin/text-

idx?SID=e9db96b738b11340c696c4ee451d3865&mc=true&node=pt44.1.206&rgn=div5

48 CFR Subpart 2.1, Federal Acquisition Regulation: www.ecfr.gov/cgi-bin/text-

idx?SID=6bb67f6254dbbfb229adddfa247ca4eb&mc=true&node=pt48.1.2&rgn=div5#sp48.1.2.2

_11

Environmental Protection Laws and Executive Orders (EOs)

Clean Air Act (CAA): www.epa.gov/air/caa/

Clean Water Act (CWA): www.epa.gov/agriculture/lcwa.html

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): http://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/

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.nmfs.noaa.gov/sfa/magact/

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/agriculture/lrca.html

Wild and Scenic Rivers Act: www.rivers.gov/wsr-act.php

EO 11988, Floodplain Management: www.fema.gov/executive-order-11988-floodplain-

management

EO 11990, Protection of Wetlands: www.fema.gov/executive-order-11990-protection-wetlands-

1977

EO 12898, Environmental Justice: www.fema.gov/executive-order-12898-environmental-

justice-low-income-minority-populations-1994

Historic Preservation Laws and Tools

Advisory Council on Historic Preservation: www.achp.gov

American Institute for Conservation of Historic and Artistic Works Code of Ethics and

Guidelines for Practice: www.conservation-us.org/about-us/core-documents/code-of-ethics-and-

guidelines-for-practice

National Historic Preservation Act (NHPA): www.nps.gov/history/local-law/nhpa1966.htm

National Register of Historic Places: http://nps.gov/nr/

Other Laws and EOs

Americans with Disabilities Act (ADA): www.ada.gov

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EO 13717, Establishing a Federal Earthquake Risk Management Standard:

www.gpo.gov/fdsys/pkg/FR-2016-02-05/pdf/2016-02475.pdf

EO 13688, Federal Support for Local Law Enforcement Equipment Acquisition:

www.whitehouse.gov/sites/default/files/docs/le_equipment_wg_final_report_final.pdf

Federal Emergency Management Agency (FEMA) References

FEMA: www.fema.gov

FEMA Stafford Act Declaration Process Fact Sheet: www.fema.gov/declaration-process-fact-

sheet

FMAG Program: www.fema.gov/fire-management-assistance-grant-program

FMAG Program Guide (FEMA P-954): www.fema.gov/media-

library/assets/documents/92379

Federal Insurance and Mitigation Administration (FIMA): www.fema.gov/what-

mitigation/federal-insurance-mitigation-administration

FIMA Policy (FP 306-112-1): www.fema.gov/media-library-

data/52b14d2dfb254480e7cac82fa2acda58/FP_303_112_1_508.pdf

National Flood Insurance Program (NFIP): www.fema.gov/national-flood-insurance-

program

Hazard Mitigation Assistance (HMA) Programs: www.fema.gov/hazard-mitigation-

assistance

HMA Guidance: www.fema.gov/media-library/assets/documents/103279

Hazard Mitigation Grant Program (HMGP): www.fema.gov/hazard-mitigation-grant-

program

State Hazard Mitigation Officer: www.fema.gov/state-hazard-mitigation-officers

Individual Assistance (IA) Programs: www.fema.gov/individual-assistance-program-tools

Individuals and Households Program (IHP): www.fema.gov/media-

library/assets/documents/24945

National Disaster Recovery Framework (NDRF): www.fema.gov/national-disaster-recovery-

framework

National Response Framework (NRF): www.fema.gov/national-response-framework

Other Federal Agencies

Bureau of Indian Affairs (BIA): www.indianaffairs.gov

Federal Highway Administration (FHWA): www.fhwa.dot.gov

FHWA Emergency Relief Program (ERP): www.fhwa.dot.gov/programadmin/erelief.cfm

National Oceanic and Atmospheric Administration (NOAA): www.noaa.gov

National Marine Fisheries Service (NMFS): www.nmfs.noaa.gov

National Centers for Environmental Information (NCEI), formerly known as the National

Climatic Data Center (NCDC): www.ncei.noaa.gov

NWS Cooperative Network Stations: www.nws.noaa.gov/om/coop/

Natural Resources Conservation Service (NRCS): www.nrcs.usda.gov

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

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USACE Rehabilitation and Inspection Program (RIP):

www.usace.army.mil/Missions/CivilWorks/LeveeSafetyProgram/LeveeInspections.aspx

U.S. Coast Guard (USCG): www.uscg.mil

U.S. Department of Agriculture (USDA): www.usda.gov

Farm Service Agency: www.fsa.usda.gov

U.S. Department of Health and Human Services (HHS): www.hhs.gov

Centers for Disease Control and Prevention (CDC): www.cdc.gov

U.S. Department of Homeland Security (DHS): www.dhs.gov

DHS Office of Inspector General (OIG): www.oig.dhs.gov

OIG Emergency Management Oversight Team:

www.oig.dhs.gov/index.php?option=com_content&view=article&id=38%3Aemo

&catid=5&Itemid=17

U.S. Department of Housing and Urban Development (HUD): www.hud.gov

Community Development Block Grant Program: www.hud.gov/cdbg

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

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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.

Direct Administrative Cost (DAC)

A cost incurred that can be identified separately and assigned to a specific project.

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 State, Territorial, Tribal, and local 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 a disaster 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.

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Federal share

The portion of the total project costs that are paid by Federal funds.

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, winddriven 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 States, local governments, and

disaster relief organizations in alleviating the damage, loss, hardship, or suffering caused

thereby.

Management cost

Any indirect cost, administrative expense, and any other expense that a Recipient or Subrecipient

reasonably incurs in administering and managing the Public Assistance (PA) award that is not

directly chargeable to a specific project.

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.

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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

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.

Private nonprofit (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

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. 2910) 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.

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.

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Private nonprofit (PNP) 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 of 1954, or satisfactory evidence from the State that the nonrevenue

producing organization or entity is a nonprofit one organized or doing business under State law.

Project

A logical grouping of work required as a result of the declared major disaster or emergency.

Project Worksheet (PW)

A tool used by the Applicant and FEMA to develop projects. The PW (FEMA Form 90-91) is the

primary form used to document the location, damage description and dimensions, scope of work,

and cost estimate for each project.

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 State, Territorial, Tribal, or local 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)).

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Request for Public Assistance (RPA)

The form a public entity or PNP organization uses to apply for disaster assistance.

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 CFR 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 (SFHA)

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). SFHAs 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.

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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.

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, Executive Orders (EOs), and regulations establish requirements to protect

the environment and preserve the Nation’s historic and prehistoric resources. FEMA must review

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.

National Historic Preservation Act

Section 106 of the National Historic Preservation Act (NHPA) requires FEMA to consider the

effects a project will have on historic properties and provide the Advisory Council on Historic

Preservation the opportunity to comment on the effects of the project.

373

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

374

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.

375

The White House Council on Environmental Quality publishes its NEPA regulations in Title 40

of the Code of Federal Regulations (CFR) Parts 1500–1508. The U.S. Department of Homeland

Security publishes NEPA requirements and provides a specific decision-making process that

FEMA must follow before funding a project. The process ensures consideration of

environmental consequences of the project and informs the general public.

Endangered Species Act

Section 7 of 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 consult with the U.S. Fish and Wildlife Service (USFWS) and the National

Oceanic and Atmospheric Administration Fisheries, also known as the National Marine Fisheries

Service (NMFS), to ensure that proposed projects will not jeopardize the continued existence of

any listed species or result in the destruction or adverse modification of critical habitat for listed

species.

376

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

373

16 U.S.C. § 470f.

374

http://nps.gov/nr/.

375

42 U.S.C. § 4332.

376

16 U.S.C. § 1531, Section 7.

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source into navigable waters without the appropriate CWA permits from the U.S. Army Corps of

Engineers (USACE) or State regulatory agency.

377

Clean Air Act

The Clean Air Act (CAA) protects the Nation’s air through the reduction of smog and

atmospheric pollution. Except for activities in non-attainment areas (defined as those areas that

do not meet national standards for air quality and, therefore, require more rigorous compliance

measures), air quality compliance often requires certain measures be implemented, such as dust

abatement, vehicle emissions control, fuel storage, and distribution procedures.

378

Coastal Barrier Resources Act

The Coastal Barrier Resources Act (CBRA)

379

established the John H. Chafee Coastal Barrier

Resources System (CBRS), which consists of relatively undeveloped coastal barriers along the

Atlantic, Gulf, and Great Lakes coasts. CBRA minimizes adverse impacts to these areas by

restricting Federal assistance that encourages development within the CBRS. USFWS publishes

maps designating these areas.

380

FEMA must consult with USFWS prior to providing PA

funding for work within the CBRS.

381

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.

382

FEMA consults with

USFWS regarding projects likely to trigger compliance with this Act.

Resource Conservation and Recovery Act

The Resource Conservation and Recovery Act (RCRA) established a framework for Federal,

State, Territorial, and local cooperation for controlling the management of hazardous and non-

hazardous solid waste. The U.S. Environmental Protection Agency’s (EPA’s) role is to establish

minimum regulatory standards, usually implemented by the States, and to provide technical

assistance. RCRA requires the safe disposal of waste materials, promotes the recycling of waste

materials, and encourages cooperation with local agencies.

383

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 and Territories. 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

377

33 U.S.C. § 1251 et seq.

378

42 U.S.C. § 7401 et seq.

379

16 U.S.C. § 3501 et seq.

380

16 U.S.C. §§ 3501 and 3503. USFWS publishes CBRS maps at: www.fws.gov/ecological-services/habitat-

conservation/cbra/Maps/index.html.

381

16 U.S.C. § 3505.

382

16 U.S.C. §§ 703–712.

383

42 U.S.C. § 6901 et seq.

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approved coastal zone management plan.

384

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 plan’s provisions.

Farmland Protection Policy Act

The Farmland Protection Policy Act minimizes the extent to which Federal programs contribute

to the conversion of prime or unique farmland, or land of statewide or local importance, to non-

agricultural uses and to ensure that Federal programs are administered in a manner that, to the

extent practicable, will be compatible with State, Territorial, 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 projects for adverse

effects to such farmland and to consider alternative actions that could avoid adverse effects. For

projects that have the potential to affect such farmland, FEMA must consult with the USDA

Natural Resources Conservation Service (NRCS) to identify potential impacts to that

farmland.

385

Fish and Wildlife Coordination Act

The Fish and Wildlife Coordination Act protects fish and wildlife when Federal actions result in

the control or modification of a natural stream or body of water. The Fish and Wildlife

Coordination Act requires Federal agencies to determine whether a proposed action will result in

the control or modification of a body of water. Projects involving the control or modification of

any water body require Federal agencies to consult with USFWS and NMFS (as appropriate) and

State wildlife agencies to develop measures to protect, develop, and improve fish and wildlife

conditions.

386

Wild and Scenic Rivers Act

The Wild and Scenic Rivers Act preserves the free-flowing State of rivers that are listed in 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. If a proposed project is located on a river included in the System, FEMA must

review it for compliance with the Wild and Scenic Rivers Act and consult with the managing

agency for the affected designated river.

387

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.

388

384

16 U.S.C. § 1451 et seq.

385

7 U.S.C. § 4201 et seq.

386

16 U.S.C. §§ 661–667e.

387

16 U.S.C. § 1271 et seq.

388

16 U.S.C. §§ 1801–1884.

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Executive Order 11988, Floodplain Management

EO 11988, Floodplain Management, requires Federal agencies to minimize or avoid activity that

adversely affects floodplains. 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 CFR 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.

389

Executive Order 11990, Protection of Wetlands

EO 11990, Protection of Wetlands, requires Federal agencies to minimize or avoid activity that

adversely affects wetlands and to encourage the preservation and enhancement of the beneficial

functions of wetlands. 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 CFR

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.

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.

389

44 CFR § 9.6, Decision-making process.

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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 not eligible 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 battered spouses, 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 will determine

eligibility and the level of assistance. Therefore, even though the entire facility is used for

eligible purposes, FEMA will pro-rate 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 (CFR) § 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 pro-rated 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 is open to 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 not eligible

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

minimal fee makes it open 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 each eligible as educational facilities. As educational facilities, they are

considered to provide critical services and therefore Community Church will not have to apply to

SBA prior to receiving funding for permanent work on those buildings. The chapel is eligible as

a house of worship. Houses of worship are considered to provide non-critical services, so

Community Church will be 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 may

be 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).

390

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 not eligible 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.

 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.

 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 not eligible.

Generally, detailed analytical or experimental studies or Level 2 evaluations as described in

FEMA 352, Chapter 5, are not eligible unless FEMA provides approval before the Applicant

initiates the work.

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APPENDIX D: DEBRIS MANAGEMENT PLAN

JOB AID

FEMA encourages State, Territorial, Tribal, and local governments to establish written

procedures and guidance for managing debris in an expeditious, efficient and environmentally

sound manner. FEMA refers to this as a Debris Management Plan (DMP).

The content of a DMP will vary depending on State, Territorial, Tribal, and local vulnerabilities,

ordinances, zoning, critical infrastructure locations, disposal locations, and other localized

factors. The following 10 elements are the basic components of a comprehensive DMP:

Overview

This section should include the following information:

 The purpose of the DMP and its overarching goals,

 How the DMP was developed and who participated in development (include all internal

departments and external entities that may be involved with debris operations), and

 Whether the DMP is officially adopted by the governing body.

Incidents and Assumptions

Forecasting the type and quantity of debris is essential to the debris removal operations planning

process. The DMP should include:

 Identification of the types and severity of incidents most likely to occur along with the

types and anticipated quantities of debris that may be generated,

 Identification of the type of handling and equipment necessary to safely manage the

debris, and

 A description of the general terrain types, land use, and accessibility for the areas that

would most likely be impacted by the incident and how these characteristics may affect

debris operations.

There are many types of debris with various considerations for each, as shown in the table below.

Vegetative Debris

Vegetative debris includes whole trees, stumps, trunks, branches, limbs, and

other leafy material.

Construction and

Demolition Debris

Construction and demolition debris includes components of buildings and

structures, such as lumber and wood, gypsum wallboard, glass, metal, roofing

material, tile, carpeting and other floor coverings, window coverings, pipe,

concrete, asphalt, equipment, furnishings, and fixtures. The definition of

construction and demolition debris may vary between jurisdictions.

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Hazardous Waste

Hazardous waste is a waste that appears on one of the four hazardous waste

lists in Title 40 of the Code of Federal Regulations (CFR) Part 261 or exhibits at

least one of the following four characteristics:

 Ignitability

 Corrosivity

 Reactivity

 Toxicity

Hazardous waste is regulated under the Resource Conservation and Recovery

Act (RCRA) and contains properties that make it potentially harmful to human

health or the environment. The State or Tribal environmental office and the U.S.

Environmental Protection Agency (EPA) provide first response functions in

cases of commercial, agricultural, industrial, and toxic waste spills. The DMP

should include the contact information for both parties in case of a large

contamination issue.

Household

Hazardous Waste

Household Hazardous Waste (HHW) is a hazardous product or material used

and disposed of by residential consumers, rather than commercial or industrial

consumers. HHW includes some paints, stains, varnishes, solvents, pesticides,

and other products or materials containing volatile chemicals that catch fire,

react, or explode under certain circumstances, or that are corrosive or toxic.

HHW mixed with other debris types will contaminate the entire load, which

necessitates special disposal methods. The overall cost of debris disposal can

escalate quickly if HHW collection and disposal is not planned and executed

with care.

Pre-disaster planning should include training for hazardous waste response

teams to collect, sort, store, and dispose of excessive quantities of HHW. The

planning staff should consider having emergency hazardous waste removal

contracts in place with pre-qualified contractors to perform the work.

After an incident, the Applicants should set-up HHW collection centers to avoid

commingling of HHW with other debris.

White Goods

White goods are defined as discarded household appliances such as

refrigerators, freezers, air conditioners, heat pumps, ovens, ranges, washing

machines, dryers, and water heaters. Many white goods contain ozone-

depleting refrigerants, mercury, or compressor oils. The Clean Air Act prohibits

the release of refrigerants into the atmosphere and requires that certified

technicians extract refrigerants from white goods before disposal or recycling.

Some States and Tribal Governments also require certified technicians to

extract compressor oils before disposal or recycling. To avoid releases of

refrigerants or oils, the collection of white goods should be accomplished

carefully by manually placing the appliance on trucks or by using lifting

equipment that will not damage the elements that contain the refrigerants or

oils.

The DMP should identify certified recycling centers that are permitted to take

white goods.

Electronic Waste

Electronic waste (e-waste) refers to electronics that contain hazardous

materials, such as computer monitors, televisions, cell phones, and batteries.

These products may contain minerals and chemicals that require specific

disposal methods.

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Soil, Mud, and

Sand

Floods, landslides, winds, and storm surges often deposit soil, mud, and sand

on improved public property and public rights-of-way. Facilities commonly

affected by this type of debris include streets, sidewalks, storm and sanitary

sewers, water treatment facilities, drainage canals and basins, parks, and

public swimming pools.

Vehicles and

Vehicles and vessels may be damaged, destroyed, displaced, or lost as a result

Vessels

of a disaster. These vehicles and vessels may eventually be abandoned

because of the damage incurred or because the original owners have

relocated. Vehicles and vessels may be classified as debris if they block public

access and critical facilities.

Putrescent Debris

Putrescent debris is any debris that will decompose or rot, such as animal

carcasses and other fleshy organic matter.

Infectious Waste

Infectious waste is waste capable of causing infections in humans and can

include contaminated animal waste, human blood, blood products, medical

waste, pathological waste, and discarded sharp objects (needles, scalpels, or

broken medical instruments). Clearance, removal, and disposal of infectious

waste may be under the authority of another Federal agency (the Centers for

Disease Control and Prevention, EPA, etc.).

Chemical,

Biological,

Radiological, and

Nuclear–

Contaminated

Debris

Chemical, biological, radiological, and nuclear–contaminated debris is any

debris contaminated by chemical, biological, radiological, or nuclear materials.

Debris Collection and Removal

A debris collection strategy establishes a systematic approach for the efficient removal of debris.

The clearance and collection of debris should be structured to meet response and recovery

priorities. As such, the DMP should:

 Identify and prioritize facilities that may be impacted by debris;

 Define the priorities during both the response and recovery phase operations;

 Describe the coordination process with other entities responsible for managing debris;

 Identify the roles and responsibilities for all entities and departments involved; and

 Describe the methods that will be used to collect debris (e.g., curbside collection,

community drop-off bins).

Debris Removal from Private Property

Debris removal from private property is generally the responsibility of the individual property

owners; however, when it is in the public interest to remove debris, the Applicant may act to

abate the threat. The DMP should include:

 Identification of the circumstances under which the Applicant will take such action;

 The enabling laws that allow government to intercede in private property matters;

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 The process the jurisdiction will use to obtain permissions to enter onto private property;

and

 The process the Applicant will undertake to recoup costs (such as insurance proceeds).

Public Information

The dissemination of debris removal information is critical to the effective and efficient removal

of debris. The DMP should include a public information strategy to ensure that residents receive

accurate and timely information about the parameters, rules, and guidelines for debris removal.

For example, if allowing residents to place debris on the curb, information regarding the

timeframe allowed and where and how to place the debris (e.g., segregated in shared piles with

neighbors, not placed on sidewalks, in roadways, against fire hydrants or power lines).

Health and Safety Requirements

Debris operations can pose safety hazards and health risks to emergency workers and the public.

The DMP should include specific details on safety rules and procedures to protect workers and

the public and specific measures for adherence to safety rules and procedures.

Environmental Considerations and Other Regulatory Requirements

The removal and disposal of certain types of debris have impact on the human and physical

environment. Successful debris operations depend on compliance with Federal, State, Territorial,

Tribal, and local environmental laws. The DMP should identify all debris operations that may

trigger compliance with environmental and historic preservation (EHP) laws, regulations, and

Executive Orders. It should also identify how compliance will be achieved.

Temporary Debris Management Sites and Disposal Locations

The DMP should identify locations where the debris will be segregated, reduced, and disposed

and whether it will be recycled.

The Applicants should avoid selecting sites in or near environmentally or historically sensitive

areas such as floodplains, wetlands, critical habitats of federally endangered species, historic

districts, and archaeologically sensitive areas. Debris must be staged a safe distance from

property boundaries, surface water, wetlands, structures, wells, and septic tanks with leach fields.

If an EHP concern is identified, the potential site should be ranked lower than others.

Environmental permits and land-use variances may be required to establish a temporary site.

Several agencies may be involved in issuing permits and granting approvals. The planning

process should identify the potential permits that will be required to establish a facility. A listing

of the permits should be part of the DMP and may include:

 Waste processing and recycling operations permit

 Temporary land-use permits

 Land-use variances

 Traffic circulation strategies

 Air quality permits

 Water quality permits

 Coastal commission land-use permits

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 HHW permits

 Fire department permits

 Burn permits

The DMP should address traffic circulation at each of the disposal sites, disposal capacity, and

how debris will be managed if there is a lack of landfill capacity. The DMP should identify the

final disposal site of whole, reduced, or recycled debris.

Force Account or Contract Resources and Procurement

Jurisdictions can use staff resources, contractors,

or a combination of both to monitor or conduct

debris removal operations. The DMP should

clearly define the types of work that the Applicant

will perform with staff resources versus

contracted services.

The DMP should describe the process and

procedure for acquiring competitively procured

contracted services, provide specific contract

requirements, and explain how contractor

qualifications are established.

Debris Removal Contractor Registry

FEMA developed an on-line debris contractor

registry tool to assist Applicants in identifying

and contacting contractor resources. The

registry

tool

can be

found on

FEMA’s we

bsite

www.fema.gov/debris-removal-contractor-

registry-information).

The

information

provided

the

registry

maintained by

contractors a

their representatives. FEMA

does

not

verify and

takes no

responsibility for the

accuracy

the

information

submitted.

FEMA

does

not

endorse,

approve,

or recommend

any

contractors,

including those in the r egistry. St ate, Tribal, and

local governments should perform all

appropriate due diligence prior to entering into

a contract. Contracting with any of the entities

listed in

the registry

does not

ensure

reimbursement.

Monitoring Debris Operations

The Applicant must monitor contracted debris

removal operations. It may

use staff resources,

contractors, or a combination of both to monitor

debris removal operations. FEMA encourages the

Applicant

use its

own employees to monitor

debris removal operations. Professional Engineers

and other certified professionals are

not necessary

for

debris monitoring. The primary role for debris monitors is to document the location and

amount of debris collected. Debris monitors should be able to estimate debris quantities,

differentiate between debris types, properly fill out load tickets, and follow all site safety

procedures.

The DMP should include details as

to how the jurisdiction will monitor its debris removal

contractor

at pickup sites and all disposal sites,

including temporary sites and final disposal

areas. The DMP should discuss

who will perform the monitoring and describe each monitoring

task.

If the jurisdiction outsources a monitoring task, it must award the contract to a contractor

who has no vested interest in the debris removal contract or

contractor. There must be no conflict

of interest between the monitoring contractor

and the debris removal contractor.

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Debris Management Plan Checklist

Yes

Plan Requirements

Comment

Overview – Does the plan describe the purpose and

objectives?

Incidents and Assumptions – Does the plan provide

information on the types and anticipated quantities of debris

that will be generated from various types and sizes of

incidents?

Debris Collection and Removal – Does the plan have a

debris collection strategy? Does the plan discuss the

methods that will be used to remove debris and establish

priorities for clearance and removal? Does the plan outline

the roles and responsibilities of the various functions

involved (Public Works, Finance, and Solid Waste

Departments, etc.)?

Debris Removal on Private Property – Does the plan

address the authority and processes for private property

debris removal?

Public Information – Does the plan include a public

information strategy to ensure that residents receive

accurate and timely information about debris operations?

Health and Safety Requirements – Does the plan describe

how workers and the public will be protected and discuss the

specific measures for adherence to safety rules and

procedures?

Environmental Considerations and Other Regulatory

Requirements – Does the plan identify all debris operations

that will trigger compliance with environmental and historic

preservation laws and how compliance will be attained?

Debris Management Sites and Disposal Locations –

Does the plan identify where the disaster debris will be

segregated, reduced, and disposed or whether debris will be

hauled to a recycler?

Use and Force Account or Contracted Resources and

Procurement – Does the plan define the types of work force

account labor will accomplish and the types of debris

operations that will be contracted? Does the plan describe

the process and procedure for acquiring competitively

procured contracted services? Does the jurisdiction identify

debris contractors that it has prequalified?

Monitoring of Debris Operations – Does the plan describe

how debris removal contractors will be monitored and who

will monitor at pickup sites, Debris Management Sites /

Temporary Debris Storage and Reduction Sites, and final

disposal?

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APPENDIX E: STUMP CONVERSION TABLE

Diameter to Volume Capacity

FEMA quantifies the amount 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)

0.3

15.2

0.4

15.8

0.5

16.5

0.6

17.2

0.7

17.9

0.9

18.6

19.4

1.2

20.1

1.4

20.9

1.6

21.7

1.8

22.5

2.1

23.3

2.3

24.1

2.6

24.9

2.9

25.8

3.2

26.7

3.5

27.6

3.8

28.4

4.1

29.4

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Stump Diameter

(Inches)

Debris Volume

(Cubic Yards)

Stump Diameter

(Inches)

Debris Volume

(Cubic Yards)

4.5

30.3

4.8

31.2

5.2

32.2

5.6

33.1

34.1

6.5

35.1

6.9

36.1

7.3

37.2

7.8

38.2

8.3

39.2

8.8

40.3

9.3

41.4

9.8

42.5

10.3

43.6

10.9

44.7

11.5

45.9

12.6

48.2

13.3

49.4

13.9

50.6

14.5

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APPENDIX F: HAZARDOUS STUMP WORKSHEET

Applicant: __________________________________________________

Date: ________________

Applicant Representative: ______________________________________

Signature: ____________________________________________________

FEMA Representative (if available) ______________________________

Signature: ____________________________________________________

Physical Location

(i.e., Street address, road,

cross streets, etc.)

Description

of Facility

(ROW,

Park, City

Hall, etc.)

Hazard

U.S. National Grid

(USNG) Location

Tree Size

(Diameter)

Eligible

Fill For

Debris

Stumps

Comments

(See attached

sketch, photo, etc.)

Yes

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APPENDIX G: MOSQUITO ABATEMENT

FEMA may provide reimbursement for mosquito abatement measures at the written request of

the State, Territorial, Tribal, or local public health officials after FEMA consults with the Centers

for Disease Control and Prevention (CDC), based on:

 Evidence of:

o Higher levels of disease transmitting

mosquitoes in the disaster area

following the event;

o A significant number of disease-

carrying mosquitoes in the area due to

the increase in event-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 storm event, discovered

during surveillance as part of mosquito

abatement activities, or reported

human cases in which transmission

occurred prior to the storm event.

 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

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.

or estimate of infection rates, when compared to pre-disaster 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 disaster 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

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emergency response. Similarly, termination of control efforts should be based on mosquito

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

 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 (PA) 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, State, Territorial, and local 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

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 event results in record or near-record

391

snowfall.

392

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 will evaluate Tribal lands 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 will accept 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, a county 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., will have met 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,

compare 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

Tribal land has current event snowfall that meets or exceeds the current event snowfall of

391

FEMA generally considers near record as being within 10 percent of the record snowfall.

392

44 CFR §206.227.

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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 Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended, and FEMA

regulations.

393

In addition to the information required in every disaster request, requests for snow

assistance must include the following information:

 Identification of core and contiguous counties

394

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.

393

44 CFR §206 Subpart B (206.31–48).

394

"Core County" means a county that has a record or near record snowfall with public assistance costs that exceed

the annually established countywide per capita impact indicator and is designated for snow assistance under a major

disaster declaration. "Contiguous County" means 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”: http://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

Cellulose insulation

 Discard and replace

Concrete or cinder

block surfaces



Wet vacuum

Accelerate drying process with dehumidifiers, fans, and/or heaters

Fiberglass Insulation

 Discard and replace

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Water Damaged

Material

Action

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 HAZARD

MITIGATION MEASURES

FEMA considers the following mitigation measures to be cost-effective 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 2:VII.C: 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 upgrade (See Chapter

2:VII.B).

I. Drainage Structures:

A. Replace the structure with multiple

structures or a larger structure. The

Applicant may use existing State,

Territorial, Tribal, or local drainage criteria

for sizing replacement culverts. The

Applicant must consider replacement

structures with regard to a total drainage

system and cannot upgrade structures

without a watershed hydrology study with

an emphasis on downstream effects and

National Flood Insurance Program

regulations.

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.

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, cast-in-place concrete, crushed stone or rock, grouted rip

rap

395

, 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 cribwalls, brushmattresses, 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 a total drainage system and cannot replace structures without a

watershed hydrology study with an emphasis on downstream erosion effects.

395

Projects involving grouted rip rap may be subject to an environmental assessment and may not be allowable in all

instances.

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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.

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.

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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.

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.

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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. 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 with a roof covering with a secondary

membrane and a fully adhered roof covering, such as modified bitumen.

Mechanically fastened insulation or membranes are not acceptable.

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 non-critical 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 where failure of roofing materials or other portions of nearby

structures could create impact hazards.

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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.

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APPENDIX K: WORK ELIGIBILITY CONSIDERATIONS BY TYPE

OF FACILITY

Work Eligibility Considerations: All Facilities

Pages

Topic

Applicability

Chapter 2:III

Facility Eligibility

All Permanent Work.

Chapter 2:IV

General Work Eligibility

o Result of Declared Incident

o Within Designated Area

o Legal Responsibility

All work.

Chapter 2:V

Cost Eligibility

All work.

Chapter 2:VI

Emergency Work Eligibility

All Emergency Work.

Chapter 2:VI.A

Debris Removal Eligibility

All Debris Removal Work.

Chapter 1:II.C; Chapter 2:VI and VI.A;

Chapter 2:VII, VII.B.4 and 7, and VII.G;

Appendix A

Environmental and Historic Preservation

(EHP) Compliance Considerations

(including permit requirements)

All work (including ground disturbance for any staging areas, access

roads, parking, landscaping, grading, or utilities).

Chapter 2:VII.B

Codes and Standards

Upgrades to pre-disaster design required by codes or standards.

Chapter 2:VII.C and Appendix J

Hazard Mitigation

Work to reduce or eliminate similar damage to the facility from a

future incident.

Chapter 2:III.E and VII.D

Replacement

When cost to repair disaster-related damage exceeds 50% of cost to

replace facility.

Chapter 2:VII.E

Permanent Relocation

Destroyed facilities.

Chapter 2:VII.B.5 and VII.F

Floodplain Considerations

All Permanent Work in or impacting the floodplain

Chapter 2:VI.B.21 and VII.H.6

Landslides and Slope Stabilization

Facilities damaged due to a landslide or slope instability triggered by

the incident.

Chapter 2:VI.B.17

Temporary Relocation

Certain essential community services provided in public and PNP

facilities.

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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 EOs that commonly apply: NEPA; NHPA, ESA, CWA, CAA, EOs 11988 and 11990; projects involving work in waterways

generally require Section 404 permits – permits issued by the USACE as required by the CWA.

Pages

Cat

ego

Eligible Work (including,

but not limited to):

Ineligible Work and Costs

Other Considerations

Chapter 2:VI.A

Debris removal and disposal to

eliminate an immediate threat

Must distinguish between incident-

related debris versus debris generated by

other recent events.

Chapter 2:VI.B.6

Emergency access

o Debris clearance or

temporary repairs to restore

access.

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.

Chapter 2:VI.B.20

Temporary emergency repairs

to address an immediate threat

o Temporary repair of Federal aid roads.

Chapter 2:III.E

V.R.1 and 2, and

VII.H.1

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 Normal maintenance.

o Restoration of Federal aid roads.

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 Hydrologic and hydraulic studies to

evaluate upstream and downstream

impacts are necessary if replacing

culvert with larger culvert.

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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 commonly apply: NEPA; NHPA, ESA, CWA, EOs 11988 and 11990; projects involving work in waterways generally

require Section 404 permits – permits issued by the USACE as required by the CWA.

Pages

Category

Eligible Work (including, but not limited

to):

Ineligible Work and Costs

Other Considerations

Chapter

2:VI.A.4.b

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.

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).

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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 commonly apply: NEPA; NHPA, ESA, CWA, EOs 11988 and 11990; projects involving work in waterways generally

require Section 404 permits – permits issued by the USACE as required by the CWA.

Chapter

Flood-fighting (on natural feature or engineered

o Emergency protective measures to

o USACE can conduct

2:VI.B.4

facility) or emergency, temporary repairs

reduce the threat of flooding to

flood fighting

and 20

(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.

agricultural land.

o Temporary 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 Temporary, 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.

activities. USACE

cannot reimburse

Applicants for flood

fighting efforts.

Chapter

Debris and silt removal required to restore

o Restoration of flood control works

2:VII.H.2(a)

capacity (engineered and maintained facilities

under the authority of USACE or NRCS.

and (b)

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.

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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 commonly apply: NEPA; NHPA, ESA, CWA, EOs 11988 and 11990; projects involving work in waterways generally

require Section 404 permits – permits issued by the USACE as required by the CWA.

Chapter

2:II.D, III.C,

and VII.H.2

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

fire suppression, generating and supplying

electricity, and drinking water supply.

o Restoration of natural channels, lakes,

and shorelines—that is, any feature

that is not improved and maintained.

o Restoration of private non-profit

irrigation systems that provide water

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.

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Work Eligibility Considerations: Buildings, Vehicles, and Equipment

EHP laws, regulations, and EOs that commonly apply: NEPA, NHPA, CAA, ESA and EOs 11988 and 11990

Eligible Work (including, but

Other Considerations

Pages

Category

Ineligible Work and Costs

not limited to):

5Chapter

2:VI.B

Extracting water and removing mud

and silt from interior to address

immediate threat of additional

damage or for access for

assessment.

o Conducted on private property UNLESS

FEMA approves the work because:

- The immediate threat is

widespread, 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

2:VII.H.3(a)

Extracting water and removing

mud, silt, or debris from interior in

conjunction with repairs.

Chapter

Mold remediation to address

o Mold remediation required as a result

o Pre-remediation mold sampling is only

2:VI.B.22

immediate threat of additional

damage

o Post-remediation sampling to

confirm remediation is

complete.

of poor facility maintenance or failure

to take protective measures in a

reasonable amount of time following

event.

eligible when sampling reveals

presence of mold.

Chapter

Mold remediation when conducted

o Mold remediation required as a result

o Pre-remediation mold sampling is only

2:VII.H.3(a)

in conjunction with restoring the

facility

o Post-remediation sampling to

confirm remediation is

complete.

of poor facility maintenance or failure

to take protective measures in a

reasonable amount of time following

event.

eligible when sampling reveals

presence of mold.

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Work Eligibility Considerations: Buildings, Vehicles, and Equipment

EHP laws, regulations, and EOs that commonly apply: NEPA, NHPA, CAA, ESA and EOs 11988 and 11990

Chapter

Emergency protective measures to

2:VI.B and

address an immediate threat

B.20

o Buttressing, bracing, or shoring.

o Barricading and safety fencing.

o Flood protection, such as

sandbagging.

o Temporary emergency repairs.

Chapter

Demolition to address an

o Removal of slabs or foundations that

o If securing a damaged building to

2:VI.B.16

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.

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.

prevent access is sufficient to alleviate

the threat to public safety, demolition

may not be necessary or eligible.

Chapter

2:VII.D.3

Demolition when replacing a facility

o Including removal and disposal

of associated debris.

Chapter

2:VI.B.14

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.

 For ensuring repairs are

completed in accordance with

building codes and standards.

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Work Eligibility Considerations: Buildings, Vehicles, and Equipment

EHP laws, regulations, and EOs that commonly apply: NEPA, NHPA, CAA, ESA and EOs 11988 and 11990

Chapter

Post-earthquake inspection and

o Preliminary assessment to determine

2:V.O,

evaluation of welded steel moment

which buildings are likely to have

VII.H.3(a),

frames in buildings

sustained damage to welded steel

and

o To determine the level of

moment frame connections.

Appendix

disaster-related damage

o Detailed analytical or experimental

requiring repair.

studies.

o Inspection that does not yield

earthquake-related connection

damage.

Chapter

Restoration – Permanent repair or

o Tax assessments.

o Need date of construction.

2:V.R.3,

replacement

o Additional capacity necessary due to

o Check National Register of Historic

VII.B.6 and

o Repair or replacement of

increased population or use, even if

Places or a State historic register.

H.3(a) and

buildings

required by code.

o Identify whether the building is

(b)

o Repair or replacement of

building components, vehicles

or equipment with items similar

in age, condition, and capacity.

o ADA upgrades related to a violation

that the Applicant was notified of prior

to the incident.

located in the 100-year floodplain

(500-year for critical actions).

o FEMA provides assistance for Public

Housing Authority facilities, unless

Congress appropriates funds to HUD

for emergency capital needs for

specific PHA facilities.

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

minimum codes and standards when

repairing or replacing building.

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Work Eligibility Considerations: Contents

Furnishings, equipment, consumable supplies, files, records, research-related contents, animals, irreplaceable collections and individual objects, library

books, and publications.

Pages

Category

Eligible Work (including, but not

limited to):

Ineligible Work and Costs

Other Considerations

Chapter

2:VI.B and

VI.B.17.

Address an immediate threat

o Removal and storage of contents to

prevent additional damage

Chapter

Restoration – Permanent repair or

o Replacing used items with new items, unless a

o Applicants may replace

2:VII.H.3

replacement

o Replacement of destroyed contents

with items similar in age, condition,

and capacity.

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

contents with different

items used for the same

general purpose. Eligible

funding is capped at the

estimated cost for

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.

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.

equivalent items.

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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 commonly apply: NEPA, NHPA, ESA, CAA, CWA, and EOs 11988 and 11990

Pages

Category

Eligible Work (including, but not

limited to):

Ineligible Work and

Costs

Other Considerations

Chapter

2:V.G.2, and

R.1, VI.B,

and B.6, 13,

17, and 20

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 Temporary, emergency repairs.

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 If repairs conducted under emergency

circumstances restore the pre-disaster

design and function of the facility, the

repairs are not eligible as Category B, but

are eligible as Category F.

o Rural electric cooperatives, municipal

utilities, and public power districts

commonly use time and equipment

contracts (similar to time-and-materials

contracts) for power distribution system

repairs. Costs under these contracts are

subject to certain criteria.

Chapter

Restoration

o General post-disaster

2:V.H, and

o Permanent repair or replacement of any

surveys, inspections,

o Limited ROW clearance required to access a

VII.H.4

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.

and assessments,

such as video

inspection of sewer

lines.

damaged facility may be eligible.

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Work Eligibility Considerations: Parks, Recreation, and Other

EHP laws, regulations, and EOs that commonly apply: NEPA, NHPA, CZMA, CBRA, ESA, CWA, and EOs 11988 and 11990

Pages

Category

Eligible Work (including, but not

limited to):

Ineligible Work and Costs

Other Considerations

Chapter

Emergency protective measures to address an

2:VI.B and

immediate threat

B.20

o Buttressing, bracing, or shoring.

o Barricading and safety fencing.

o Flood protection, such as sandbagging.

o Temporary, emergency repairs.

Chapter

Restoration – Permanent repair or

o Restoration of federally constructed

2:VII.H.5

replacement

o Restoration of engineered beaches is

subject to specific eligibility criteria.

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.

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