QA Attachment H FEMA PAPPG.pdf

V4 2020 Page 1

V4 2020 Page 1

TABLE OF CONTENTS

Page Numbers

FOREWORD

LIST OF CHANGES AND CLARIFICATIONS GROUPED BY GENERAL TOPIC

INTRODUCTION

I. Public Assistance Program Overview

II. Authorities A. Statutes B. Regulations

III. Document Purpose and Use

IV. Scope

V. Applicability

VI. Document Management and Maintenance

CHAPTER 1: PRE-AWARD ACTIVITIES

I. Preliminary Damage Assessment

II. Declaration Request

III. Declaration Evaluation A. State and Territorial Governments B. Tribal Governments

IV. Presidential Declaration A. Type of Incident B. Incident Period C. Designated Areas D. Types of Assistance E. Federal Cost Share

V. Recipient Administrative Requirements A. Application for Federal Assistance B. FEMA-State/Territory/Tribe Agreement C. Payment Management System D. Administrative Plan

V4 2020 Page 2

E. Hazard Mitigation Plan

CHAPTER 2: OPERATIONAL COORDINATION

I. Operational Priorities A. Community Lifelines B. Incident Action Plan

II. Response and Recovery Coordination A. Response Coordination B. Recovery Coordination

1. Field Operations C. Public Assistance Coordination and Planning

CHAPTER 3: APPLICANT COORDINATION AND ELIGIBILITY

I. Public Assistance Web-based Systems

II. Applicant Briefing

III. Request for Public Assistance

IV. Written Correspondence

V. Eligibility Determinations A. Requests for Information B. Notification of an Ineligibility Determination C. Appeal Rights and Requirements

1. Appeal Deadlines

2. Appeal Content

3. Appeal Review

4. Appeals for Alternative Procedures Projects

D. Arbitration

VI. Applicant Eligibility A. State and Territorial Governments B. Tribal Governments C. Local Governments D. Private Nonprofit Organizations

1. Private Nonprofit Critical Services

2. Private Nonprofit Essential Social Services

3. Private Nonprofit Ineligible Services

4. Private Nonprofit Application Documentation Requirements

V4 2020 Page 3

VII. Exploratory Call

VIII. Recovery Scoping Meeting

CHAPTER 4: GENERAL WORK AND FACILITY ELIGIBILITY

I. General Work Eligibility A. Categories of Work B. Minimum Work Eligibility Criteria

1. Result of Declared Incident

2. Within Designated Area

3. Legal Responsibility

C. Environmental and Historic Preservation Requirements

II. Facility Eligibility A. Public Facility B. Private Nonprofit Facility

1. Mixed-Use Facility

2. Small Business Administration Loan Requirement

C. Inactive or Partially Inactive Facility D. Facility Scheduled for Repair or Replacement

CHAPTER 5: DAMAGE AND IMPACT INFORMATION

I. List of Impacts

II. Grouping Impacts into Projects A. Initial Emergency Work Grouping B. Initial Permanent Work Grouping C. Final Grouping

III. Site Inspections and Obtaining Damage Information A. Damage Information B. Site Inspections

CHAPTER 6: COST ELIGIBILITY

I. Reasonable Costs A. Analysis

II. Applicant (Force Account) Labor A. Labor Policies B. Eligibility Criteria Based on Type of Employee and Work Performed

1. Reassigned Employees

2. Reassigned Employees Funded from an External Source

3. Backfill Employees

4. Essential Employees Called Back from Furlough

V4 2020 Page 4

5. Supervisors

6. Other

7. Standby Time

III. Applicant-Owned and Purchased Equipment A. FEMA Rates B. State, Territorial, or Tribal Rates C. Local Rates D. Equipment with No Established Rate

IV. Leased Equipment

V. Supplies

VI. Disposition of Purchased Equipment and Supplies A. Disposition of Purchased Equipment B. Disposition of Purchased Supplies

VII. Disposition of Real Property

VIII. Procurement and Contracting Requirements A. Procurement and Contracting Requirements for State and Territorial Government

Entities

1. Procurement

2. Contracting

B. Procurement and Contracting Requirements for Tribal and Local Government Agencies and Private Nonprofits

1. Pre-procurement Considerations

2. General Federal Procurement Requirements

3. Procurement Methods

4. Contract Types

5. Additional Contracting Considerations

C. Required Contract Clauses D. Documentation Requirements

IX. Mutual Aid A. Post-Incident Agreements B. Eligibility

V4 2020 Page 5

X. Prisoners

XI. National Guard

XII. Direct Federal Assistance

XIII. Increased Federal Cost Share for a Limited Timeframe

XIV. Donated Resources A. Offset Amounts B. Documentation Requirements

XV. Project Management and Design Services

XVI. Grant Management and Administration

XVII. Surveys to Assess or Locate Damage or Debris Impacts

XVIII. Duplication of Benefits A. Insurance Proceeds B. Non-Federal Grants and Cash Donations C. Third-Party Liability D. Other Federal Awards

XIX. Duplication of Funding Between FEMA Programs

XX. Interest on Loans

XXI. Ineligible Costs A. Loss of Revenue B. Loss of Useful Service Life C. Tax Assessments D. Increased Operating Costs

CHAPTER 7: EMERGENCY WORK ELIGIBILITY

I. Debris Removal (Category A) A. Alternative Procedures for Debris Removal B. Hazardous Limbs, Trees, and Stumps

1. Broken Limb or Branch Removal

2. Tree Removal

3. Stump Removal

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

C. Waterways

1. Navigable Waterways

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

Waterways

V4 2020 Page 6

3. Identifying Debris Impact Locations D. Privately Owned Vehicles and Vessels on Public Property E. Disposal

1. Recycling Revenue

2. Temporary Staging Sites

3. Hand-Loaded Trucks and Trailers

4. Landfills and Tipping Fees

F. Monitoring Contracted Debris Removal Operations G. Debris Removal from Private Property

1. Approval Process

2. Removal from Private Roads

3. Removal from Private Residential Property

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

5. Duplication of Benefits

II. Emergency Protective Measures (Category B) A. Saving Lives and Protecting Public Health and Safety B. Protecting Improved Property C. Emergency Protective Measures on Private Property D. Emergency Protective Measures Conducted by Private Nonprofit Organizations . 112 E. Pre-positioning Resources F. Expenses Related to Operating a Facility or Providing a Service G. Emergency Public Transportation and Communication (DFA only) H. Flood Fighting I. Emergency Operations Centers J. Emergency Access K. Hazardous Materials L. Supplies and Commodities M. Meals N. Medical Care O. Evacuation and Sheltering

1. Evacuation

2. Sheltering

3. Childcare Services

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

P. Infectious Disease Incident Q. Mosquito Abatement R. Residential Electrical Meter Repair S. Safety Inspections T. Animal Carcasses U. Demolition of Private Structures

1. Conditions for Eligibility

2. Commercially Owned Structures

3. Eligible Work

4. Ineligible Work

V. Temporary Relocation of Essential Services

V4 2020 Page 7

1. Eligible for Temporary Relocation:

2. Ineligible for Temporary Relocation

3. Determining Eligibility of Temporary Relocation

4. Lease, Purchase, or Construct

5. Safe Rooms for Temporary School Facilities

6. Temporary Relocation Costs

7. Time Limitations

8. Disposition Requirements

W. Snow-Related Activities

1. Limited Time Period

2. Eligible Work

X. Emergency Repair or Stabilization

1. Operation Blue Roof (DFA Only)

2. Slope Stabilization

3. Mold Remediation

4. Emergency Berms on Beaches

III. Damage Caused During Performance of Emergency Work

CHAPTER 8: PERMANENT WORK ELIGIBILITY

I. Environmental and Historic Preservation Considerations

II. Requirement to Obtain and Maintain Insurance A. Insurance Reductions and Impact on Facility Eligibility in Subsequent Disasters . 145

III. Codes and Standards A. Eligibility Criteria

1. Applies to the Type of Restoration Required

2. Appropriate to Pre-disaster Use

3. Reasonable

4. Written, Formally Adopted, and Implemented

5. Applies Uniformly

6. Enforced

B. FEMA Consensus-Based Codes, Specifications and Standards C. Ineligible Upgrades D. Historic Preservation Compliance

1. Federal Requirement

2. State, Territorial, or Tribal Government Requirement

E. Floodplain Management and Wetland Protection F. Requirement for Communities Participating in the National Flood Insurance

Program G. Accessibility for Individuals with Disabilities H. Permit Requirements

IV. Hazard Mitigation A. Public Assistance Hazard Mitigation

V4 2020 Page 8

B. Public Assistance Mitigation Funds for Capped Projects

1. Improved Project

2. Alternate Project

3. Alternative Procedures Project

V. Repair vs. Replacement A. Calculation B. Written Request C. Eligible Funding D. Replacement of Components of a Facility or System

VI. Relocation A. Eligible Work and Funding B. Sale or Lease of Property at Original Site

VII. Facility Located in or Impacting a Floodplain A. 8-Step Decision-making Process B. Facility Located in a Special Flood Hazard Area

1. National Flood Insurance Program

VIII. Capped Projects A. Capped Project Funding B. Use of Capped Project Funds

1. Use of Alternative Procedures Project Funds

2. Use of Improved Project Funds

3. Use of Alternate Project Funds

C. Disposition of Original Facility

IX. Eligibility Considerations by Facility A. Roads and Bridges (Category C)

1. Maintenance B. Water Control Facilities (Category D)

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

2. Flood Control Works

C. Buildings and Equipment (Category E)

1. Buildings

2. Equipment and Supplies

3. Files

4. Research-Related Contents

5. Animals

6. Irreplaceable Collections and Individual Objects

7. Library Books and Publications

D. Utilities (Category F)

1. Right-of-Way Clearance

2. Power: Transmission and Distribution System Conductor Replacement

E. Parks, Recreational, Other (Category G)

V4 2020 Page 9

1. Beaches F. Landslides and Slope Stabilization

CHAPTER 9: SCOPE OF WORK AND COST DEVELOPMENT

I. Scope of Work Development

II. Cost Development A. Project Thresholds B. Expedited Projects for Emergency Work C. Costs for Projects with All Work Completed D. Estimating Emergency Work Projects with Work to be Completed E. Estimating Permanent Work Projects with Work to be Completed

1. Projects Requiring Engineering Analysis

2. Applicant Estimates

3. FEMA Estimates

4. Expert Panel Review

5. Insurance Reductions

6. Fixed-Cost Offer for Alternative Procedures Projects

III. Compliance Reviews

CHAPTER 10: OBLIGATION AND RECOVERY TRANSITION

I. Final Review and Obligation A. Recipient Review B. Final Review C. Obtaining Funds

II. Recovery Transition Meeting

III. Transition Field Operation to Regional or Recovery Office

CHAPTER 11: POST AWARD MONITORING

I. Large Project Quarterly Progress Reports

II. Financial Status Reports

III. Federal Funding Accountability and Transparency Act

IV. Post Award Change in Scope of Work A. Scope of Work Changes on Permanent Work Alternative Procedures Projects

V. Work Completion Deadlines

VI. Audits A. Single Audits

V4 2020 Page 10

B. Government Accountability Office C. Office of the Inspector General D. Recovery of Improper Payments

CHAPTER 12: FINAL RECONCILIATION AND CLOSEOUT

I. Project Reconciliation and Closeout A. Small Projects B. Large Projects C. Alternative Procedures Permanent Work Projects D. Subrecipients

II. Stafford Act Section 705

III. Public Assistance Award Closeout

IV. Documentation Retention Requirements

ABBREVIATIONS AND ACRONYMS

REFERENCES AND RESOURCES

TERMS AND DEFINITIONS

APPENDIX A: ENVIRONMENTAL AND HISTORIC PRESERVATION COMPLIANCE ..221

APPENDIX B: PRIVATE NONPROFIT FACILITY ELIGIBILITY EXAMPLES

APPENDIX C: WELDED STEEL MOMENT FRAME

APPENDIX D: FREQUENT COMPLIANCE ISSUES WITH COOPERATIVE PURCHASING

PROGRAMS

APPENDIX E: STUMP CONVERSION TABLE

APPENDIX F: HAZARDOUS STUMP WORKSHEET

APPENDIX G: MOSQUITO ABATEMENT

APPENDIX H: SNOW ASSISTANCE

APPENDIX I: MOLD REMEDIATION

APPENDIX J: COST-EFFECTIVE PUBLIC ASSISTANCE HAZARD MITIGATION

MEASURES

APPENDIX K: CONTRACT PROVISIONS

APPENDIX L: VALIDATION OF APPLICANT-PROVIDED COST ESTIMATES

V4 2020 Page 11

APPENDIX M: ALTERNATIVE PROCEDURES FOR PERMANENT WORK

APPENDIX N: WORK ELIGIBILITY CONSIDERATIONS BY TYPE OF FACILITY

FIGURES

Figure 1. PA Program Delivery Process Figure 2. Map of FEMA Regions Figure 3. PA Eligibility Pyramid Figure 4. Applicant Eligibility Figure 5. PNP Eligibility Figure 6. Categories of Work Figure 7. Facility Eligibility Figure 8. SBA Loan Outcomes Figure 9. Cost Eligibility Figure 10. Emergency Work Eligibility Figure 11. Debris on Private Property Figure 12. Determining Eligibility of Emergency Berms on Beaches Figure 13. Permanent Work Eligibility Figure 14. Path of Travel Figure 15. FEMA Hazard Mitigation Programs Figure 16. Typical Beach Profile Figure 17. Work Completion Deadlines

TABLES

Table 1. PNP Eligible Critical Services Table 2. PNP Eligible Noncritical, Essential Social Services Table 3. PNP Ineligible Services Table 4. PNP RPA Documentation and Information Requirements Table 5. Emergency Work Labor Eligibility Table 6: Deadlines for Submitting Quarterly Progress Reports Table 7. Information to Support SOW Changes Table 8. Information to Support a Time Extension

V4 2020 Page 12

FOREWORD

On behalf of the Federal Emergency Management Agency (FEMA), I am pleased to issue this Fourth Edition (Version 4) of the Public Assistance Program and Policy Guide (PAPPG).

FEMA has archived previous editions at www.fema.gov/assistance/public/policy-guidance-fact-sheets/policy-archives. FEMA applies this Version 4 to incidents declared on or after June 1, 2020. This version supersedes Version 3.1.

As part of this version of the PAPPG, FEMA has incorporated the Public Assistance Alternative Procedures for Permanent Work Pilot Policy (FP 104-009-7). This establishes Alternative Procedures as the first option considered for all large permanent work projects in order to ensure the ability of Applicants to drive their own recovery. It standardizes a single process for the development and consideration of fixed cost estimates for all permanent work projects.

Applicants will be able to agree to a fixed cost estimate or choose to pursue funding under standard, actual cost procedures. This approach maximizes Applicant awareness of the opportunities and benefits provided by the Alternative Procedures, which include, but are not limited to:

• Flexibility in meeting post-disaster recovery needs, as opposed to being limited to rebuilding back to what existed prior to the disaster;

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

• Ability to retain and use excess funds to reduce risk and improve future disaster operations (subject to timely closeout); and

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

Appendix M: Alternative Procedures for Permanent Work Pilot, provides additional information along with a summary of benefits in comparison to the standard Public Assistance (PA) procedures.

Additionally, this PAPPG Version 4 incorporates the following:

List of Changes and Clarifications Grouped by General Topic

Administrative Reorganized and simplified language throughout the PAPPG Incorporated the Program Delivery Process throughout the PAPPG Updated References and Resources list Updated Appendix A: Environmental and Historic Preservation Compliance Added language on outcome-driven recovery (Chapter 2. Operational Coordination) Incorporated key Grants Management language and requirements such as work completion definition and deadline requirements throughout the PAPPG Moved documentation checklists to relevant sections and specified required documents throughout the PAPPG Defined policy on logical grouping of damage (Chapter 5:II. Grouping Impacts into Projects) Incorporated Documentation Retention Requirement (Chapter 12:IV. Documentation Retention Requirements) Incorporated Appeal policy (Chapter 3:V.C. Appeal Rights and Requirements) www.fema.gov/assistance/public/policy-guidance-fact-sheets/policy-archives

V4 2020 Page 13

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

Notification of Ineligibility Determination) Added Closeout policy and documentation requirements (Chapter 12. Final Reconciliation and Closeout) Added standard Request for Information deadlines (Chapter 3:V. Eligibility Determinations) Added definition for site (Chapter 5: Damage and Impact Information) Added FEMA validation of Applicant-submitted damage information and documentation (Chapter 5:III.B. Site Inspections) Added requirement for all documentation to be submitted within 90 days of work completion regardless of obligation status (Chapter 9:II.C. Costs for Projects with All Work Completed)

Applicant Eligibility Added animal control services, center-based childcare, and food banks to eligible private nonprofit (PNP) list (Chapter 3:VI.D.2. Private Nonprofit Essential Social Services) Proration of emergency work on PNP mixed-use facilities (Chapter 4:II.B.1. Mixed-Use Facility) Clarified that PNP facilities that provide flood control are ineligible (Chapter 3:VI.D.3. Private Nonprofit Ineligible Services) Clarified requirements for PNPs exempt from 501c requirement (Chapter 3:VI.D. Private Nonprofit Organizations) Clarified Community Development District requirement to serve the public (Chapter 3:VI.D.

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

Private Nonprofit Critical Services)

Emergency Work Eligibility Clarified demolition versus debris (Chapter 7:I.G. Debris Removal from Private Property) Added reference to Operation Blue Roof (Chapter 7:II.X.1. Operation Blue Roof) Clarified that FEMA may provide exceptions to demolish commercial structures in limited, extraordinary circumstances (Chapter 7:II.U.2. Commercially Owned Structures) Clarified and aligned standby time and pre-positioning of resources (Chapters 6:II.B.7. Standby Time and 7:II.E. Pre-positioning Resources) Simplified the opt-in procedure for debris removal Alternative Procedures (Chapter 7:I.A.

Alternative Procedures for Debris Removal) Removed “temporary” from emergency repair language (Chapter 7:II.X. Emergency Repair or Stabilization) Clarified debris clearance vs. debris removal (Chapter 7:II.J. Emergency Access) Reduced list of services eligible for temporary relocation and added examples of eligible and ineligible support services (Chapter 7:II.V. Temporary Relocation of Essential Services) Clarified that Mosquito Abatement may be eligible if any one of the bullet scenarios exists (Appendix G: Mosquito Abatement) Eliminated requirement to make at least 10 percent of sheltering capacity available in Host-State sheltering (Chapter 7:II.O.4. Host-State or Host-Tribe Evacuation and Sheltering) Refined beach eligibility language (Chapter 7:II.X.4. Emergency Dunes or Berms on Beaches) Clarified language on essential employees being called-back from leave (Chapter 6:II.B.4.

Essential Employees Called Back from Furlough)

V4 2020 Page 14

Emergency Work Eligibility Clarified that the return of evacuees is eligible (Chapter 7:II.O.1. Evacuation) Clarified language regarding damage caused during Emergency Work (Chapter 7:III. Damage Caused During Performance of Emergency Work)

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

Clarified that replacement of moldy construction materials is only eligible as Permanent Work (Appendix I: Mold Remediation)

Clarified cost-effective mitigation for low slope roofs (Appendix J: Cost-Effective Public Assistance Hazard Mitigation Measures)

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

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

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

Defined which Flood Control Works are under authority of the Natural Resources Conservation Service (Chapter 8:IX.B.2. Flood Control Works)

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

Federal Cost Share) Clarified PNP cost ineligibility when a PNP declines or misses the deadline to apply for a disaster loan from the Small Business Administration (Chapter 4:II.B.2. Small Business Administration Loan Requirement) Clarified Small Business Administration loan requirement for PNP mixed-use facilities (Chapter 4:II.B.2. Small Business Administration Loan Requirement) Incorporated additional language on procurement and contracting (Chapter 6:VIII. Procurement and Contracting Requirements) Added language on what costs are covered by increased cost shares (Chapter 6:XIII. Increased Federal Cost Share for a Limited Timeframe) Explained difference between project management and grant management costs (Chapter 6:XV.

Project Management and Design Services and XVI. Grant Management and Administration) Clarified eligibility of costs related to pursuing insurance proceeds (Chapter 6:XVIII.A. Insurance Proceeds) Added language on eligibility of interest on loans (Chapter 6.XX. Interest on Loans) Incorporated increased operating cost clarifications, including ineligibility of costs related to transportation of students to alternate schools or temporary facilities, staff being held-over to cover shifts, and new landfills (Chapter 7:II.F. Expenses Related to Operating a Facility or Providing a Service) Clarified that the minimum threshold does not apply to Donated Resources or Management Costs (Chapter 9:II.A. Project Thresholds) Allowing Small Project completed work to be estimated and certified (Chapter 9:II.C. Costs for Projects with All Work Completed)

V4 2020 Page 15

Cost Eligibility Added language conveying that FEMA does not re-evaluate reasonable costs on Alternative Procedure Permanent Work Pilot projects (Chapter 9:II.E.6. Fixed-Cost Offer for Alternative Procedures Projects) Eliminated allowance for insurance adjustments on individual small projects (Chapter 12:I.A.

Project Reconciliation and Closeout, Small Projects)

Policy and Guidance Documents Incorporated and Superseded

FEMA Recovery Policy, Public Assistance Donated Resources

FEMA Recovery Policy FP 104-09-12, Public Assistance Alternative Procedures Pilot Program for Debris Removal

FEMA Recovery Policy FP 104-009-7, Public Assistance Alternative Procedures Pilot Program - Permanent Work Standard Operating Procedures

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

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

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

FEMA Fact Sheet, Public Assistance: Private Property Debris Removal

FEMA Fact Sheet, Public Assistance: Contracting Requirements Checklist

FEMA Job Aid, Public Assistance: Reasonable Cost Evaluation

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

March 15, 2019, memo: FEMA’s Approved Cost Estimating Methodology July 9, 2018, memo: Policy Clarification for Public Assistance Hydrologic and Hydraulic Study Requirements for Drainage Structures and Culverts March 15, 2019, memo: FEMA Public Assistance Repair Versus Replacement Policy Clarification April 11, 2018, memo: FEMA Public Assistance Eligibility of Private Nonprofit Elementary and Secondary Schools

Public Assistance Program Field Operations Pocket Guide Public Assistance Program Management and Grant Closeout Standard Operating Procedure (SOP 9570.14), December 2013

FEMA Instructional Guidance, Public Assistance Expedited Projects

Guidance Documents Summarized and Referenced FEMA Fact Sheet Public Assistance Appeals and Arbitration Under the Disaster Recovery Reform Act

V4 2020 Page 16

Guidance Documents Summarized and Referenced State Led Public Assistance Guide

Damage Assessment Operations Manual

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

FEMA Recovery Interim Policy FP 104-009-11, Consensus-Based Codes, Specifications and Standards for Public Assistance (Chapter 8:III.B, FEMA Consensus-Based Codes, Specifications and Standards)

FEMA makes updates to the PAPPG at www.fema.gov/assistance/public/policy-guidance-fact-sheets on an annual basis when necessary and conducts a comprehensive review no less than every three years. We look forward to your feedback to help inform the next version. FEMA staff may send policy recommendations through the PA Change Control Tool at usfema.sharepoint.com/teams/ORRApps/NewPA/Pages/SubmitRequest-CCT-P3.aspx. Recipients and Applicants may request changes via email at FEMA-Recovery-PA-Policy@fema.dhs.gov.

Keith Turi Assistant Administrator Recovery Directorate www.fema.gov/assistance/public/policy-guidance-fact-sheets usfema.sharepoint.com/teams/ORRApps/NewPA/Pages/SubmitRequest-CCT-P3.aspx mailto:FEMA-Recovery-PA-Policy@fema.dhs.gov

V4 2020 Page 17

INTRODUCTION

I. Public Assistance Program Overview The mission of the Federal Emergency Management Agency’s (FEMA’s) Public Assistance (PA) Program is to provide assistance to State, local, Territorial, or Tribal, and local (SLTT) governments, and certain types of private nonprofit (PNP) organizations so that communities can quickly respond to and recover from major disasters or emergencies declared by the President.

Through the PA Program, FEMA provides supplemental Federal grant assistance for debris removal, emergency protective measures, and the restoration of disaster-damaged, publicly owned facilities and specific facilities of certain PNP organizations. The PA Program also encourages protection of these damaged facilities from future incidents by providing assistance for hazard mitigation measures. FEMA provides this assistance based on authority in statutes, executive orders (EOs), regulations, and policies.

II. Authorities FEMA provides assistance based on authorities defined in statutes and regulations. These authorities also specify requirements that must be met. When the PAPPG uses the words “must” or “required,” it is a legal requirement. The Applicant jeopardizes its PA funding if it does not comply with these requirements.

A. Statutes Statutes are Federal laws passed by the U.S. Congress and signed by the President. All PA Program assistance must comply with all applicable statutes. The statute that authorizes FEMA to provide assistance via the PA Program is the Robert T. Stafford Disaster Relief and Emergency Assistance Act, as Amended (Stafford Act), Title 42 of the United States Code (U.S.C.) § 5121 et seq.1 The following sections of the Stafford Act specifically authorize the assistance FEMA provides under the PA Program:

• Title I – Findings, Declarations and Definitions

• Title III – Major Disaster and Emergency Assistance Administration o Sec. 311. Insurance o Sec. 312. Duplication of Benefits o Sec. 324. Management Costs

• Title IV – Major Disaster Assistance Programs (applies to Major Disaster Declarations) o Sec. 403. Essential Assistance o Sec. 406. Repair, Restoration, and Replacement of Damaged Facilities o Sec. 407. Debris Removal o Sec. 428. Public Assistance Program Alternative Procedures Section 428 of the Stafford Act authorizes FEMA to provide specific exceptions, or “Alternative Procedures,” to PA Program regulations.2 FEMA is currently

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

2 The Robert T. Stafford Disaster Relief and Emergency Assistance Act, Public Law 93-288, as Amended (Stafford Act) § 428, Title 42 of the United States Code (U.S.C.) § 5189f.

www.fema.gov/disasters/stafford-act

V4 2020 Page 18 piloting these Alternative Procedures as optional procedures. These procedures are available to each Applicant on a voluntary basis. The specific alternatives are presented throughout this document, where applicable.

• Title V – Emergency Assistance Programs (applies to Emergency Declarations) o Sec. 502. Federal Emergency Assistance

• Title VII – Miscellaneous o Sec. 705. Disaster Grant Closeout Procedures

B. Regulations Regulations are Federal rules with the force and effect of law that implement a statute based on a Federal agency’s interpretation of that statute.3 FEMA and any entity receiving PA assistance must comply with all applicable Federal Regulations.4 FEMA publishes PA Program rules in the following parts of Title 44 of the Code of Federal Regulations (C.F.R.), Emergency Management and Assistance:5

• Part 206 Subpart G, Public Assistance Project Administration;

• Part 206 Subpart H, Public Assistance Eligibility; and

• Part 206 Subpart I, Public Assistance Insurance

Requirements.

The Office of Management and Budget establishes regulations regarding administrative requirements, cost principles, and audit requirements in 2 C.F.R. Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.

III. Document Purpose and Use FEMA issues policy to articulate the Agency’s intent and direction in applying statutory and regulatory authority to achieve desired outcomes. The purpose of the Public Assistance Program and Policy Guide (PAPPG) is to define FEMA’s PA Program and its policy and procedural requirements. Only the Assistant Administrator of Recovery at FEMA Headquarters has the authority to modify or waive PA Policy.

The PAPPG provides high-level program delivery information and describes important PA functions that occur throughout the entire program delivery lifecycle.

FEMA staff use the PAPPG to guide decision-making and ensure consistent implementation of the PA Program across the Nation. Separate FEMA policies and guidance documents that apply

3 Stafford Act § 321, 42 U.S.C. § 5164.

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

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

http://www.ecfr.gov/

V4 2020 Page 19 to the PA Program are referenced where applicable and listed in the References and Resources section at the end of the PAPPG.

IV. Scope The PAPPG provides comprehensive PA policy to use when evaluating eligibility. It includes FEMA’s policy statements and provides a summary of each step of the PA Program lifecycle beginning with pre-declaration activities through closure of the PA Program award for a declared incident. Figure 1 below provides an overview of the PA Program delivery process. The PAPPG references and provides weblinks to other FEMA policies and documents such as standard operating procedures and job aids that provide detailed instructions for individuals involved with implementing each of the various steps.

Figure 1. PA Program Delivery Process

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

Individuals who have responsibilities managing, implementing, or pertaining to the PA Program should refer to the PAPPG for PA policy and procedural requirements.

VI. Document Management and Maintenance FEMA generally publishes proposed PA policy language for public comment prior to publishing in this document.6 When the policy is deemed significant, FEMA publishes it in the Federal

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

V4 2020 Page 20

Register.7 FEMA conducts a comprehensive review of this publication no less than every three years. FEMA staff may send policy recommendations through the PA Change Control Tool at usfema.sharepoint.com/teams/ORRApps/NewPA/Pages/SubmitRequest-CCT-P3.aspx.

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

7 FEMA is required to publish policies for comment if they are deemed “significant” by the Office of Management and Budget, pursuant to Executive Order 12866.

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

V4 2020 Page 21

CHAPTER 1: PRE-AWARD ACTIVITIES

The Stafford Act8 authorizes the President to provide Federal assistance when the magnitude of an incident or threatened incident exceeds the affected State,9 local10 Territorial, and Indian Tribal11 government capabilities to respond or recover. This chapter explains procedures and requirements for activities that occur during the pre-award phase, including the process for requesting a Presidential declaration, FEMA’s evaluation criteria, the contents of the declaration, and the initial administrative requirements for a State, Territorial, or Tribal government to receive assistance.

I. Preliminary Damage Assessment When a State, Territorial, or Tribal government determines that an incident may exceed SLTT capabilities to respond, it requests a joint Preliminary Damage Assessment (PDA) with FEMA.12 Federal, SLTT government, and certain PNP organization officials work together to estimate and document the impact and magnitude of the incident.13 Accurate and comprehensive PDAs are critical to enabling efficient response and recovery. FEMA’s Damage Assessment Operations Manual14 provides detailed information to assist staff involved with damage assessments and describes how FEMA utilizes the information when evaluating requests for Major Disaster Declarations.

II. Declaration Request The Governor15 or Tribal Chief Executive16 may request a declaration from the President through FEMA. A Tribal government may elect to be a Recipient17 or a Subrecipient18 under a

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

9 Stafford Act § 102(4), 42 U.S.C. § 5122; 44 C.F.R. § 206.2(a)(22), State governments include the District of Columbia, American Samoa, the Commonwealth of the Northern Mariana Islands, Guam, Puerto Rico, and the U.S.

Virgin Islands.

10 Stafford Act § 102(8), 42 U.S.C. § 5122; 44 C.F.R. § 206.2(a)(16), local governments include counties, municipalities, cities, towns, townships, local public authorities, school districts, special districts established under State law, intrastate districts, councils of governments (regardless of whether the council of governments is incorporated as a nonprofit corporation under State law), regional or interstate government entities, agencies or instrumentalities of a local government; State-recognized Tribes; and rural communities, unincorporated towns or villages, or other public entities, for which an application for assistance is made by a State or political subdivision of a State.

11 Stafford Act § 102(6), 42 U.S.C. § 5122; 44 C.F.R. § 206.201(i), an Indian Tribal Government is any Indian or Alaska Native tribe, band, nation, pueblo, village, or community listed as an Indian Tribe under the Federally Recognized Indian Tribe List Act of 1994. Hereinafter referred to as Tribal Government.

12 44 C.F.R. § 206.33(a).

13 44 C.F.R. § 206.33(b).

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

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

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

17 44 C.F.R. § 206.201(e). Per 2 C.F.R. § 200.86, A Recipient is an entity that receives a Federal award directly from a Federal awarding agency to carry out an activity.

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

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

V4 2020 Page 22

State or Territorial declaration or request its own declaration as a Recipient.19 The Governor, and/or the Tribal Chief Executive if the Tribal Government wishes to be its own Recipient, must submit the request no later than 30 days after the incident occurs.20 FEMA may extend the deadline if the Governor or Tribal Chief Executive submits a written time extension request within 30 days of the incident stipulating the reason for the delay.21 When a severe or catastrophic incident occurs, the Governor or Tribal Chief Executive may submit a declaration request prior to completion of the PDA.22 This is referred to as an expedited declaration request. In such circumstances, assistance is generally limited to that which would address immediate needs based on rapid assessments until the PDA is completed.

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

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

• Estimated cost of assistance;

• Insurance coverage;

• Other Federal agency programs;

• Localized impacts;

• Hazard mitigation; and

• Recent multiple disasters.23

FEMA reviews the facility and cost information to ensure that the estimated costs include all appropriate insurance reductions and do not include costs related to facilities under the authority of another Federal agency. FEMA then compares the estimated eligible amounts to the established annual per capita indicators. To account for localized impacts when the statewide per

19 A Tribal Governmental may also receive one type of assistance under a State or Territorial declaration and another type of assistance under its own declaration, provided there is no duplication of benefits. Additional information for Tribal declarations is available at www.fema.gov/about/organization/tribes.

20 Stafford Act §§ 401 and 501, 42 U.S.C. §§ 5170 and 5191; 44 C.F.R. §§ 206.35 and 206.36. For Emergency Declarations, the Governor or Tribal Chief Executive must submit the request within 5 days after the need for assistance becomes apparent. For Major Disaster Declarations, the Governor or Tribal Chief Executive should submit the request as soon as possible after completion of the Joint PDA. Information and forms for Presidential declaration requests are available at www.fema.gov/disasters/request-for-presidential-disaster-declaration, and for Tribal governments specifically, www.fema.gov/disasters/tribal-declarations.

21 44 C.F.R. §§ 206.35(a) and 206.36(a).

22 44 C.F.R. § 206.33(d).

23 44 C.F.R. § 206.48(a).

Terminology: Recipients, Subrecipients, and Applicants

When an entity applies for PA funding, it is the Applicant. Once the Applicant receives funding, it is either the Recipient, pass-through entity or a Subrecipient. For simplicity, FEMA uses the term Applicant throughout this document when referring to the responsible entity for a project rather than making distinctions between an entity as the Applicant, Recipient, pass-through entity, or Subrecipient. FEMA uses the terms Recipient and Subrecipient when necessary to differentiate between the two entities.

www.fema.gov/about/organization/tribes www.fema.gov/disasters/request-for-presidential-disaster-declaration www.fema.gov/disasters/tribal-declarations capita impact is low, FEMA evaluates whether there are extraordinary concentrations of damage resulting in significantly high per capita impacts at the local government level.

To encourage hazard mitigation, FEMA considers whether SLTT government mitigation measures taken prior to the incident likely reduced the damage impacts, especially if such mitigation averted damage that would have increased the estimated eligible cost above the per capita indicator.

Understanding that the effects of multiple disasters in a confined period of time can affect response and recovery capabilities, FEMA also evaluates the overall impacts of Federal and State, Territorial, or Tribal declarations that have occurred within the past 12 months and the extent to which the State, Territorial, or Tribal government has spent its own funds. If there were disasters prior to the 12-month period that still have substantial impacts on SLTT governments, FEMA may also consider impacts from these disasters.

B. Tribal Governments Tribal governments requesting a declaration have different declaration factors than State and Territorial governments. PA declaration factors for tribes include:

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

• Insurance coverage;

• Other Federal agency programs;

• Hazard mitigation;

• Recent multiple disasters (previous 24 months);

• Types and amounts of damage;

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

• Tribal resources available for response and recovery;

• Demographics of the impacted community;

• Impact on community infrastructure;

• Unique conditions that affect Tribal governments (e.g., remoteness, economy, cultural considerations); and

• Other relevant information.

Additional detail is provided in the Tribal Declaration Pilot Guidance.24

IV. Presidential Declaration For FEMA to provide assistance, the President must declare that an emergency or major disaster exists. The declaration25 establishes the:

• Type of incident;

• Incident period;

• Designated areas;

• Types of assistance;

• Federal cost share; and

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

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

V4 2020 www.fema.gov/disasters/tribal-declarations www.fema.gov/disasters/tribal-declarations www.fema.gov/disasters/disaster-declarations

V4 2020 Page 24

• Federal Coordinating Officer (FCO).

A. Type of Incident The declaration designates the type of incident (e.g., hurricane, tsunami, or earthquake). For Emergency Declarations, an incident is any instance that the President determines warrants supplemental emergency assistance to save lives and protect property and public health and safety, or to lessen or avert the threat of a catastrophe.26 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.27 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.28 This period varies in length, depending on the incident.

C. Designated Areas The declaration designates which areas (e.g., county, parish, city, or Tribal government) are eligible to receive Federal assistance.29 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)30 or, for Tribal declarations, the Tribal Chief Executive or Tribal Authorized Representative (TAR) must request the addition within 30 days of the declaration date or the end of the incident period, whichever is later.31 FEMA may extend the deadline if the Governor, GAR, Tribal Chief Executive, or TAR submits a written time extension request within the 30-day deadline with justification of the inability to meet the deadline.32

D. Types of Assistance The declaration designates the types of Federal assistance authorized.33 The President may authorize assistance to individuals, households, and SLTT governments, and certain types of PNP organizations. FEMA provides assistance to individuals and households via its Individual Assistance (IA) programs. FEMA provides assistance to SLTT governments and certain types of PNP organizations via its PA Program. The type of assistance authorized may vary among designated areas. FEMA may add additional types of assistance after the declaration. However, for FEMA to consider adding additional types of assistance, the Governor or GAR or, for Tribal declarations, the Tribal Chief Executive or TAR must request the assistance within 30 days of

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

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

28 44 C.F.R. § 206.32(f).

29 44 C.F.R. §§ 206.2(a)(6) and 206.40(b).

30 44 C.F.R. §§ 206.2(a)(13) and 206.41(d).

31 44 C.F.R. § 206.40(c).

32 44 C.F.R. § 206.40(d).

33 44 C.F.R. § 206.40(a).

the declaration date or the end of the incident period, whichever is later.34 FEMA may extend the deadline if the Governor, GAR, Tribal Chief Executive, or TAR submits a written time extension request within the 30-day deadline with justification of the inability to meet the deadline.35 Tribal governments may receive one type of assistance under a State or Territorial declaration as a Subrecipient and another type of assistance under its own declaration as a Recipient, provided there is no duplication of benefits.

FEMA Regional Administrators (RAs)36 have the authority to issue Fire Management Assistance Grant (FMAG) declarations for wildfires that threaten such destruction that would constitute a major disaster.37 The FMAG Program is separate and distinct from the PA Program. FMAG declaration criteria, eligibility, and other program information are available at 44 C.F.R. Part 204, Fire Management Assistance Grant Program, and in FEMA’s Fire Management Assistance Grant Program Guide (FEMA P-954).38 If significant damage occurs as a result of one or more FMAG fire incidents, the Governor or Tribal Chief Executive may subsequently request a Major Disaster Declaration for the fire incident(s). FEMA evaluates such requests based on damage and costs not covered under the FMAG Program, such as public infrastructure damage. If the President declares a Major Disaster and authorizes the PA Program, FEMA usually funds all costs related to those fire incidents under the PA Program for efficiency in administration of assistance and to avoid a duplication of benefits between programs.

E. Federal Cost Share The assistance FEMA provides through its PA Program is subject to a cost share.39 The cost share ensures local interest and involvement through financial participation. The Federal share is not less than 75 percent of the eligible costs.40 FEMA may recommend an increase up to 90 percent if actual Federal obligations, excluding administrative costs, meet or exceed a qualifying threshold.41 For Emergency Work specifically, the Federal cost share may be increased in limited circumstances, and for limited periods of time, if warranted.42 See Chapter 6:XIII, Increased Federal Cost Share for a Limited Timeframe, for details on how FEMA applies the increased Federal cost share.

34 44 C.F.R. § 206.40(c).

35 44 C.F.R. § 206.40(d).

36 44 C.F.R. § 206.2(a)(21).

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

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

39 44 C.F.R. § 206.203(b).

40 Stafford Act §§ 403(b), 406(b), 407(d), and 503(a), 42 U.S.C. §§ 5170b, 5172, 5173, 5193; 44 C.F.R. § 206.47(a) and 206.65.

41 44 C.F.R. § 206.47(b).

42 44 C.F.R. § 206.47(d).

V4 2020

Terminology

A project is a logical grouping of work required as a result of the declaration.

The damage description, scope of work, and costs are documented in the project, which is the basis for PA funding. 44 C.F.R. § 206.201(k).

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

V4 2020 Page 26

The Applicant can only apply other Federal award funds toward the PA non-Federal cost share if the other Federal agency has specific statutory authority allowing its funds to be used to meet cost-share requirements.43 For example, the U.S. Department of Housing and Urban Development’s (HUD’s) Community Development Block Grant (CDBG) program may be used for the non-Federal share on PA projects if certain requirements are met. FEMA applies the cost share at the project level. Therefore, any other agency’s Federal funds must be applied at the project level and may not be used across multiple projects (with exception of Permanent Work Alternative Procedure projects as described in Chapter 8:VIII. Capped Projects). Further, if the Applicant uses funds from another Federal agency to meet the non-Federal share, it must meet all requirements of the other agency as well as all PA Program requirements. The Applicant cannot apply PA funds toward the non-Federal cost share of other Federal agency awards.

V. Recipient Administrative Requirements When the Presidential declaration authorizes assistance to SLTT governments and certain types of PNP organizations, FEMA implements the PA Program. The Recipient is responsible for completing an application for assistance and submitting required documents before FEMA can provide PA funding. This section describes the required documents. The Recipient may upload these documents into PA Grants Portal at the Event Level (see Chapter 3:I, Public Assistance Web-based Systems). If the document is related to multiple disasters, such as a Hazard Mitigation Plan, the Recipient should upload it to its Organizational Profile.

A. Application for Federal Assistance The declared State, Territorial, or Tribal government must complete and submit Standard Form (SF) 424, Application for Federal Assistance, and SF-424D, Assurances for Construction Programs44 before FEMA provides assistance. The SF-424 includes the period of performance (POP) for the PA award (referred to as the prime award). The prime award POP begins on the first day of the incident period and initially extends four years from the declaration date.

B. FEMA-State/Territory/Tribe Agreement After every declaration, the applicable State, Territorial, or Tribal government enters into an agreement with FEMA regarding the understanding, commitments, and conditions under which FEMA provides assistance (FEMA-State/Territory/Tribe Agreement). FEMA and the Governor or Tribal Chief Executive must sign this agreement before FEMA provides assistance. If necessary, because of exigent circumstances, FEMA may authorize essential emergency services

43 Stafford Act § 312, 42 U.S.C. § 5155.

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

Recipient-Led Public Assistance Disasters

FEMA may approve a Recipient to manage PA disasters. Recipients may choose a scalable approach by performing any one or more of the following key functions: customer service, site inspections, and scoping and costing. The State-Led Public Assistance Guide provides guidance on the processes, resources, and capabilities required (www.fema.gov/sites/default/files/2020-07/ fema_state-led-public-assistance_Guide_2-1-2019.pdf).

http://www.grants.gov/web/grants/forms/sf-424-family.html www.fema.gov/sites/default/files/2020-07/fema_state-led-public-assistance_Guide_2-1-2019.pdf www.fema.gov/sites/default/files/2020-07/fema_state-led-public-assistance_Guide_2-1-2019.pdf

V4 2020 Page 27 or housing assistance under the Individuals and Households Program (IHP) while the agreement is in process for signature.45

C. Payment Management System FEMA provides PA…