One of the largest obstacles to any community’s or public works agency’s disaster recovery plan is the lack of financial resources to implement recovery actions. In this lesson, you will learn about some funding options that may be available after a disaster so you can identify opportunities for achieving recovery goals.

Upon completion of this lesson, you will be able to:

• Differentiate among Individual Assistance, Public Assistance, and other public works related federal programs.
• Explain how public works can use federal disaster assistance programs to advocate for mitigation in the community.
• Describe the benefits of mitigation planning to the community.
• Select recommended mitigation strategies for a community based on disaster information.

The following resources were referenced in this lesson:

Resources

• Hazard Mitigation Assistance (HMA)
• FEMA 322 Public Assistance Guide
• FEMA 323 Public Assistance Applicant Handbook
• Federal Highway Administration
• Federal Aviation Administration
• Bureau of Indian Affairs
• FEMA Library
• Funding sources

When disasters strike, and if certain damage thresholds are met, federal assistance in the recovery process may be available. All major federal disaster assistance programs are derived under the authority of the Robert T. Stafford Disaster Relief and Emergency Assistance Act. Presidential Disaster Declarations are commonly referred to as "Stafford Act" declarations.

The two major disaster recovery programs under the Stafford Act are the Public Assistance Program (PA) and Individual Assistance Program (IA). Additionally, public works entities may have available to them federal funding under non-traditional disaster programs such as Federal Highway Administration (FHWA), Federal Aviation Administration (FAA), or the Bureau of Indian Affairs (BIA).

• Public Assistance
• Individual Assistance
• Other Programs

As you may recall from the IS-552 course, The Public Works Role in Emergency Management, the Robert T. Stafford Disaster Relief and Emergency Assistance Act (Stafford Act) authorizes the President to issue a major disaster declaration to provide federal aid to states or federally recognized tribes overwhelmed by disasters. The Act also defines FEMA’s authority to coordinate disaster and emergency assistance to individuals, households, state and local governments, tribes, businesses, and certain nonprofit organizations.

Overall, the Stafford Act:

• Establishes the Presidential Disaster Declaration process
• Defines the relationship among federal, state, local, Native Alaskan village, tribal, and voluntary agencies for disaster efforts
• Authorizes various types of federal assistance from FEMA, depending on the event
• Defines the cost-sharing arrangements between federal, state, local, Native Alaskan village and tribal governments

PA is authorized for publicly owned facilities and certain private, nonprofit organizations that provide "like government" services.

The PA program is generally the public works agency's most utilized funding source for recovery.

The PA program will generally reimburse state, local, and tribal governments up to 75% of eligible and documented costs for disaster-related work. The local required portion of PA is 25%, which is often split between state and local governments, in varying percentages.

Keep in mind that this percentage may be different for tribal governments who work directly with FEMA during the recovery process. For example, if the tribe or native village works through a state, it shares 25% of the costs with the state; if working nation-to-nation, the tribe or native village bears responsibility for the full 25%.

The PA program is structured into various categories that provide a recovery framework for public works officials. These categories contain required guidelines for temporary and permanent recovery work including debris management, emergency protective measures, and roads and bridges.

FEMA, the state, and the tribal or local emergency management organization will assist public works officials during the recovery process to ensure compliance with these critical categories. Links to FEMA 322, Public Assistance Guide, and FEMA 323, Public Assistance Applicant Handbook, are included in the Resource section of the Toolkit.

IA is authorized for individuals and families in a disaster where a state is overwhelmed and a significant number of homes and/or dwellings are damaged or beyond repair. While administrative responsibility for IA does not normally fall under the public works agency's purview, you should be familiar with the program.

Factors that determine an IA declaration include the number of homes impacted, economic ability of the state to respond, special populations within the impacted area, and insurance coverage of the disaster zone(s).

Programs include housing assistance and repair, unemployment compensation, and meeting immediate needs such as assistance for disaster-related medical and dental costs.

FEMA and the local emergency management department are responsible for establishing Disaster Recovery Centers (DRC), where impacted community members can go to register for and receive federal assistance under the IA program and, in some cases, low-interest federal loans from the Small Business Administration (SBA). The SBA remains the largest source of individual and business disaster relief in the United States.

Public works officials often work with projects or partners that can obtain funding outside of the traditional funding streams following a disaster event. It is incumbent upon public works officials to seek such alternate funding when available. For example, if a vital small community airport runway is damaged, public works should seek recovery funding from the FAA before approaching FEMA. Under federal guidelines, FEMA will not repair or replace items (e.g., airport runway) that are under the jurisdiction of another federal agency (FAA).

Additionally, many tribal organizations obtain recovery funding from the federal government that supplements traditional Stafford Act funding. If a project has an existing local government-tribal partnership, or could have such a partnership, then PW can play a critical role in assisting the community with additional funding in the recovery process.

Links to other programs to consult about funding can be found on the Resources page in the Toolkit.

Stafford Act

As you may recall from the IS-552 course, The Public Works Role in Emergency Management, the Robert T. Stafford Disaster Relief and Emergency Assistance Act (Stafford Act) authorizes the President to issue a major disaster declaration to provide federal aid to states overwhelmed by disasters. The Act also defines FEMA’s authority to coordinate disaster and emergency assistance to individuals, households, state and local governments, tribes, businesses, and certain nonprofit organizations.

Overall, the Stafford Act:

• Establishes the Presidential Disaster Declaration process
• Defines the relationship among federal, state, local, Native Alaskan village, tribal, and voluntary agencies for disaster efforts
• Authorizes various types of federal assistance from FEMA, depending on the event
• Defines the cost-sharing arrangements between federal, state, local, Native Alaskan village and tribal governments

Public Assistance (PA)

PA is authorized for publicly owned facilities and certain private, nonprofit organizations that provide "like government" services.

The PA program is generally the public works agency's most utilized funding source for recovery.

The PA program will generally reimburse state, local, and tribal governments up to 75% of eligible and documented costs for disaster-related work. The local required portion of PA is 25%, which is often split between state and local governments, in varying percentages.

Keep in mind that this percentage may be different for tribal governments who work directly with FEMA during the recovery process. For example, if the tribe or native village works through a state, it shares 25% of the costs with the state; if working nation-to-nation, the tribe or native village bears responsibility for the full 25%.

The PA program is structured into various categories that provide a recovery framework for public works officials. These categories contain required guidelines for temporary and permanent recovery work including debris management, emergency protective measures, and roads and bridges.

FEMA, the state, and the tribal or local emergency management organization will assist public works officials during the recovery process to ensure compliance with these critical categories. Links to FEMA 322, Public Assistance Guide, and FEMA 323, Public Assistance Applicant Handbook, are included in the Resource section of the Toolkit.

Individual Assistance (IA)

IA is authorized for individuals and families in a disaster where a state is overwhelmed and a significant number of homes and/or dwellings are damaged or beyond repair. While administrative responsibility for IA does not normally fall under the public works agency's purview, you should be familiar with the program.

Factors that determine an IA declaration include the number of homes impacted, economic ability of the state to respond, special populations within the impacted area, and insurance coverage of the disaster zone(s).

Programs include housing assistance and repair, unemployment compensation, and meeting immediate needs such as assistance for disaster-related medical and dental costs.

FEMA and the local emergency management department are responsible for establishing Disaster Recovery Centers (DRC), where impacted community members can go to register for and receive federal assistance under the IA program and, in some cases, low-interest federal loans from the Small Business Administration (SBA). The SBA remains the largest source of individual and business disaster relief in the United States.

Other Programs

Public works officials often work with projects or partners that can obtain funding outside of the traditional funding streams following a disaster event. It is incumbent upon public works officials to seek such alternate funding when available. For example, if a vital small community airport runway is damaged, public works should seek recovery funding from the FAA before approaching FEMA. Under federal guidelines, FEMA will not repair or replace items (e.g., airport runway) that are under the jurisdiction of another federal agency (FAA).

Additionally, many tribal organizations obtain recovery funding from the federal government that supplements traditional Stafford Act funding. If a project has an existing local government-tribal partnership, or could have such a partnership, then PW can play a critical role in assisting the community with additional funding in the recovery process.

Links to other programs to consult about funding can be found on the Resources page in the Toolkit.

Certain stipulations apply to projects in order for the costs to be eligible for reimbursement under the Public Assistance program.

• General Eligibility
• Category A
• Category B
• Category C
• Category D
• Category E
• Category F
• Category G

Eligibility of certain nonprofit organizations to receive federal recovery assistance is a relatively new aspect of the PA Program. Examples of eligible applicants, that provide services similar to those provided by governments, may include:

• Dike districts that assist a city by allowing flood waters to be released during an event
• A museum that is a nonprofit
• A private school that provides education much like the public schools within a community

A Salvation Army distribution center Many times, the local emergency management agency will rely upon public works to inform them about these types of nonprofit organizations that exist in the community.

A major benefit of a Stafford Act disaster declaration is that public works officials have an opportunity to help mitigate the impacts of future disaster events on their respective communities, both in the early and latter stages of recovery. There is a myriad of mitigation programs that public works officials can access in conjunction with emergency management, but the primary opportunities exist within the PA program itself (Section 406 hazard mitigation funding) and with the Hazard Mitigation Grant Program (HMGP) following the disaster event.

• Section 406
• HMGP

Commonly referred to as Section 406 Mitigation, this program is considered "on the spot" mitigation while repairing an impacted facility or structure, where it is more practical to mitigate during repairs. For example, instead of merely repairing a bridge that was damaged because a 40-year-old culvert was too small to allow water to pass, using Section 406 mitigation funding, you could repair the impacted bridge while also replacing the culvert to increase its size.

Approval for Section 406 projects comes from the FEMA Public Assistance Liaison assigned to work the disaster event with a local jurisdiction.

HMGP is one of FEMA's Hazard Mitigation Assistance (HMA) grant programs and is the most utilized and effective mitigation program in the United States. The key purpose of HMGP is to ensure that the opportunity to take critical mitigation measures to reduce the risk of loss of life and property from future disasters is not lost during the reconstruction process following a disaster.

HMGP funding is allocated based upon the expected total costs of a disaster event. For most states, the funding will total up to 20% of the total costs of a disaster, offering public works officials a substantial means by which they can advocate for mitigation in areas of the community that repeatedly suffer preventable effects of disasters.

Funding under HMGP can include seismic retrofit of critical public facilities, elevation or flood proofing of publicly owned structures, and even assistance in creating mitigation plans or strategies that may help mitigate disaster events in the future.

After a disaster occurs, mitigation funding under HMGP is usually very structured and requires technical justification of a potential mitigation project; however, each state implements this program in varying ways. Therefore, it is in public works' best interest to research the mechanism that the state has in place before pursuing HMGP funding.

Public Assistance Section 406 Mitigation (Section 406)

Commonly referred to as Section 406 Mitigation, this program is considered "on the spot" mitigation while repairing an impacted facility or structure, where it is more practical to mitigate during repairs. For example, instead of merely repairing a bridge that was damaged because a 40-year-old culvert was too small to allow water to pass, using Section 406 mitigation funding, you could repair the impacted bridge while also replacing the culvert to increase its size.

Approval for Section 406 projects comes from the FEMA Public Assistance Liaison assigned to work the disaster event with a local jurisdiction.

Hazard Mitigation Grant Program (HMGP)

HMGP is one of FEMA's Hazard Mitigation Assistance (HMA) grant programs and is the most utilized and effective mitigation program in the United States. The key purpose of HMGP is to ensure that the opportunity to take critical mitigation measures to reduce the risk of loss of life and property from future disasters is not lost during the reconstruction process following a disaster.

HMGP funding is allocated based upon the expected total costs of a disaster event. For most states, the funding will total up to 20% of the total costs of a disaster, offering public works officials a substantial means by which they can advocate for mitigation in areas of the community that repeatedly suffer preventable effects of disasters.

Funding under HMGP can include seismic retrofit of critical public facilities, elevation or flood proofing of publicly owned structures, and even assistance in creating mitigation plans or strategies that may help mitigate disaster events in the future.

After a disaster occurs, mitigation funding under HMGP is usually very structured and requires technical justification of a potential mitigation project; however, each state implements this program in varying ways. Therefore, it is in public works' best interest to research the mechanism that the state has in place before pursuing HMGP funding. Close

You don't have to wait for a disaster to strike to be eligible for mitigation funding. The Pre-Disaster Mitigation (PDM) Grant Program provides funds to states, territories, counties, Native Alaskan village and tribal governments, communities, and universities for hazard mitigation planning and the implementation of mitigation projects prior to a disaster event.

The PDM program is a nationally competitive program designed to assist states, territories, counties, Native Alaskan village or tribal governments, and local communities to implement a sustained pre-disaster natural hazard mitigation program to reduce overall risk to the population and structures from future hazard events, while also reducing reliance on federal funding from future disasters. PDM grants are awarded on a competitive basis and without reference to state allocations, quotas, or other formula-based allocation of funds.

Public works agencies could use PDM funding for a number of projects, such as seismically retrofitting buildings, hardening critical facilities, or relocating infrastructure.

Additional information on this and other HMA programs can be found on FEMA's HMA website. A link to that website is included on the Resource page in the Toolkit.

The mission of hazard mitigation is to reduce the potential impacts from future events or disasters. Evaluation of mitigation opportunities is a part of all aspects of emergency management; further, local governments are required to have a Natural Hazard Mitigation Plan (NHMP).

Identification of mitigation opportunities in the recovery process is crucial to reducing the impact of a future event or disaster. Mitigation planning is similar to recovery planning in that it requires input from all stakeholders, as well as prioritization of efforts and financial resources.

There are significant benefits to including mitigation planning in all parts of public works and emergency management, including recovery. Some of them are:

• Increased public awareness
• Reduced future loss of life and property
• Reduced future needs for response and recovery
• Increased funding eligibility (potentially)
• Reduced business and economic interruption
• Strengthened community partnerships

Possible benefits of mitigation planning to your community might include the following:

• Increased public awareness
• Reduced future loss of life and property
• Reduced future needs for response and recovery
• Increased funding eligibility (potentially)
• Reduced business and economic interruption
• Strengthened community partnerships

It is critical for a community to have a standing mitigation committee or structure at all times, even if informally. A review system for potential projects should be established based on criteria such as the needs of the community, project feasibility, and sustainability. Predetermined policies and procedures will ensure a streamlined method for effectively utilizing mitigation dollars following an event. Mitigation actions are generally categorized as structural or non-structural.

• Structural Mitigation
• Non-Structural Mitigation

Some examples of structural mitigation actions are:

• Retention ponds
• Berms, levees, and seawalls
• Hardened buildings and essential or critical facilities
• Seismic retrofitting
• Relocation of infrastructure out of a flood zone
• Enlarging undersized culverts

Some examples of non-structural mitigation actions are:

• Building code revision
• Land use management or land acquisition
• Hazard analysis ##Debris management plans
• Mapping and information management
• Local policy development
• Public information and education

Structural Mitigation Examples

Some examples of structural mitigation actions are:

• Retention ponds
• Berms, levees, and seawalls
• Hardened buildings and essential or critical facilities
• Seismic retrofitting
• Relocation of infrastructure out of a flood zone
• Enlarging undersized culverts

Non-Structural Mitigation Examples

Some examples of non-structural mitigation actions are:

• Building code revision
• Land use management or land acquisition
• Hazard analysis
• Debris management plans
• Mapping and information management
• Local policy development
• Public information and education

In this lesson, you learned that the Stafford Act authorizes disaster assistance in many forms, including Individual Assistance, Public Assistance (including Section 406), the Hazard Mitigation Grant Program, and the Pre-Disaster Mitigation Grant Program. In addition, funding from other sources, such as the Federal Highway Administration, may be available for public works mitigation projects.

Remember, the mission of hazard mitigation is to reduce the potential impacts from future events or disasters. Mitigation planning has many benefits for the community as well as the public works agency.

For more information on mitigation planning, download FEMA's series of how-to guides for state and local mitigation planning. These guides are full of helpful information that can help with all aspects of mitigation planning and implementation. A link to these hazard mitigation planning resources is included on the Resource page in the Toolkit.

Public works plays a vital role in helping the community recover from a disaster, and a recovery plan is an essential part of the public works agency's preparedness efforts. Remember that public works recovery planning must coordinate with other agency plans and the community-wide plan.

By completing this course, you should be prepared to implement the steps for developing a recovery plan for your public works agency and for putting the plan into action should it be needed.

Click this link to access a printable version of this course.