Lesson 2 Overview and Objectives

This lesson discusses the key components of the FEMA and Applicant developed scope of work, including required documentation and the options an Applicant has regarding the development of their scope of work.

Upon completion of this lesson, participants should be able to:

  • Identify the necessary information for developing the scope of work based on project needs
  • Identify options for development of the scope of work
  • Explain the scope of work validation process
Defining the Scope of Work

Recall that the scope of work defines the necessary actions to remove and dispose of disaster-related debris, conduct Emergency Protective Measures, or restore/replace facilities damaged during an incident. The scope of work must correspond directly to the debris impact, immediate threat, or damage.

The FEMA Program Delivery Manager discusses the scope of work with the Applicant and helps to define the parameters of their project. The Applicant should consider the following when asked about their scope of work:

  • The intended methodology for repairing the facility (e.g., design standards, engineering consultants assisting with the design, engineering or technical reports describing the damage or method of repair)
  • How the work will be performed (e.g., using in-house staff, equipment, and materials, or contracting the work to an outside source)
  • Whether they want to restore the facility to pre-disaster condition
    • If not, then they may consider relocation, replacement, alternate or improved project potential
    • If so, they may consider codes and standards requiring upgrades
  • Whether the work includes special considerations (e.g., environmental and historic preservation, hazard mitigation, insurance considerations)
Purpose of the Scope of Work

A complete scope of work for any project does the following:

  • Describes the work necessary to complete the project activities described in the Damage Description and Dimensions. The scope of work should describe what has or will be done
  • Documents the percentage of "Work Completed" or "Work to be Completed"
  • Describes the basis for the cost estimate
  • Quantifies eligible costs
  • Describes any special considerations that affect the scope of work
  • Documents ineligible work and associated costs
A FEMA Program Delivery Manager and Applicant discuss disaster-related damages at the Recovery Scoping Meeting.
Supporting Documentation for the Scope of Work

Supporting documentation is critical to the development of the scope of work. The following screens will highlight types of documentation that are required throughout the scoping and costing process.

It is important to note that Emergency Work and Permanent Work require different documentation to develop the scope of work and for approval by FEMA.

Emergency Work

For Emergency Work, the Applicant needs to provide and retain the following documentation for the purpose of developing and validating the scope of work:

  • Emergency Protective Measures
    • Site map
    • Description of emergency response activities
  • Debris management
    • Site map
    • Quantities of debris removed, reduced, disposed, and recycled with a representative sampling of load tickets to support quantities
    • Debris monitor reports
    • Pick-up locations
    • Address and/or latitude and longitude 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 the Applicant followed applicable ordinances or laws for private vehicle and vessel removal
Debris lies strewn on the side of a road near a field.
Permanent Work

The Applicant should acquire and retain the following documentation to develop and validate the scope of work for Permanent Work:

  • Site map with the location of all proposed project components and the extent of ground disturbance
  • Drawings, sketches, and plans of proposed or completed work (e.g., as-built drawings or sketches)
  • Applicable design requirements
  • Applicable repair/reconstruction codes and standards
    • Documentation to support that the codes and standards have been formally adopted, implemented, and uniformly applied
  • Replacement projects including estimates for 50 percent Rule calculations
  • Justification for a relocation project request (if applicable)
  • Hazard mitigation proposal, including benefit-cost analysis when necessary
    • Documentation that provides mitigation activities the Applicant wishes to take to reduce or eliminate long-term risk to people and property from natural hazards and their effects
  • Hydrologic and hydraulic studies that address potential upstream and downstream impacts (if available and applicable)
  • Technical studies, reports, and assessments (if available and applicable)
  • Historic property designations or surveys, including archaeological surveys (if available and applicable)
  • Copies of permits and correspondence with regulatory agencies (if available and applicable)
Options for Drafting the Scope of Work

Understanding the information and documentation required for the scope of work assists the Applicant in the drafting and validation process.

At the end of Phase II of the Public Assistance Delivery Model, the Program Delivery Manager asks the Applicant a series of questions called the Development Guide Questions. While asking these questions, the Program Delivery Manager asks if the Applicant will develop their scope of work. Applicants have two options for drafting the scope of work:

  • Applicant may request that FEMA develops the scope of work via the personnel at the Consolidated Resource Center
  • Applicant may inform FEMA that they will be developing their own scope of work
    • For highly technical projects, the Applicant may choose to contract with architecture or engineering consultants who can complete the scope of work on behalf of the Applicant
The Program Delivery Manager meets with the Applicant to discuss the Applicant's project.
FEMA-Developed Scope of Work: FEMA and Recipient Responsibilities

If the Applicant selects FEMA to complete the scope of work on their behalf, FEMA has the following responsibilities throughout the formulation process.

The FEMA Program Delivery Manager:

  • Meets with the Applicant to achieve full document disclosure
  • Assists the Applicant with uploading supporting documents into Grants Portal (the central online workspace where FEMA, the Applicant, and Recipient can collaborate)
  • Coordinates with Consolidated Resource Center personnel to share information and maintain situational awareness
  • Sends the Request for Information to the Applicant, if necessary
  • Reviews the draft scope of work and cost estimate
  • Reviews the project with the Applicant and discuss any edits

Once the project reviews are complete and the Program Delivery Manager concurs with the project, they will notify the Recipient Point of Contact.

Once the Recipient concurs on the project, the Program Delivery Manager approves the project and sends the project to the Applicant for review and concurrence in Grants Portal. The Program Delivery Manager will contact the Applicant to discuss the project.

FEMA-Developed Scope of Work: Applicant Responsibilities

Even if the Applicant selects FEMA to complete the scope of work on their behalf, the Applicant is still accountable for several items.

The Applicant is responsible for:

  • Satisfying the Essential Elements of Information by uploading the requested documentation in Grants Portal and notifying the Program Delivery Manager
  • Reviewing the project and providing their concurrence in Grants Portal
  • Being proactive in communicating any issues with their Program Delivery Manager
Applicant-Developed Scope of Work (1 of 2)

If the Applicant chooses to develop their own scope of work, they must retain pertinent documentation as they would if they chose to have a FEMA developed scope of work. There are certain considerations that the Applicant should keep in mind when deciding between FEMA conducting the scoping process or not. The answers to the following questions may affect how the Applicant chooses to approach their scope of work development.

  • Does the Applicant have a certified engineer or qualified cost estimator?
  • Are documented local costs (unit costs) readily available?
  • Are the recovery operations on a scale where taking on scoping and costing is beyond capacity?
  • Does the work require specialized expertise, factors, or considerations?

It is also important to remember that the scope of work for either Emergency Work or Permanent Work require distinct information. There are a prescribed set of considerations the Applicant should keep in mind while developing their scope of work depending on the project's Category of Work.

For Emergency Work, the scope of work includes work required to address immediate threats and to remove debris.

For Permanent Work, the scope of work includes a description of how the Applicant plans to repair, or has repaired, the damage, including repair dimensions and hazard mitigation plan description and dimensions.

Applicant-Developed Scope of Work (2 of 2)

It is also important to remember that the scope of work for either Emergency Work or Permanent Work requires distinct information. There are a prescribed set of considerations that the Applicant should keep in mind while developing their scope of work depending on what category their project is associated with.

If the Applicant chooses to develop their scope of work in Grants Portal, it is located in the project-specific profile, under the scope & cost summary section.

  • For information on how to input the scope of work in Grants Portal, please refer to the course: FEMA Grants Portal - Transparency at Every Step

The Applicant must address the following:

  • Describe the work necessary to remove and dispose of incident-related debris, conduct emergency response measures, or repair or replace the damaged facility to its pre-incident condition
  • Document "Work Completed" and "Work to be Completed"
  • Describe any work that will restore a facility beyond its pre-disaster condition
  • Describe any special considerations that may affect the scope of work
  • Document potentially ineligible work and associated costs

This information must be presented in short paragraphs or bulleted lists. The Applicant should verify that damages listed in the scope of work are identified in the Damage Description and Dimensions.

Select this link for a full image description.

Please refer to appendix 2-1
Applicant-Developed Scope of Work: Category of Work

The following screens outline key considerations when filling out the scope of work for Category A, Category B, and Category C - G projects.

Category A: Debris Removal

As mentioned earlier in the course, Emergency Work and Permanent Work have different considerations when developing the scope of work.

The scope of work for Emergency Work, specifically Category A: Debris Removal, should answer the following questions to be complete:

  • How much debris was or will be removed and disposed?
  • Where was or will the debris be disposed (temporary or final disposal)?
  • Was or will it be reduced and how?
  • Was or will removal/disposal efforts be monitored and by whom (Force Account or contract)?
  • Who performed or will perform the work (Force Account or contract)?
  • What is the basis for the costs or cost estimate?
A tree that is on public property has fallen over into a citizen's yard.
Category B: Emergency Protective Measures

Category B: Emergency Protective Measures have a distinct set of considerations to complete a scope of work. Information that addresses the following questions should be included in the scope of work:

  • What emergency protective measures have been or will be performed?
  • How the work reduced or will reduce or eliminate the immediate threat?
  • Who performed or will perform the work (force account or contract)?
  • What is the basis for the costs or cost estimate?
FEMA Public Assistance personnel on a site visit to Pahoa, Hawaii, views emergency protective measures taken to protect a telephone pole from the Kilauea Volcano lava flow.
Category C-G: Permanent Work

For Permanent Work, Category C-G, the following questions should be addressed to form a complete scope of work.

  • What work was or will be completed to restore the facility to its pre-disaster design and function?
  • What work was or will be completed that changes the pre-disaster design and function of the facility and why?
  • Who performed or will perform the work (Force Account or contract)?
  • If work was completed with Force Account labor, what is the number of labor and equipment hours, and the amount and types of materials used?
  • What is the basis for the costs or cost estimate?
A road washed out because of a culvert failure.
Interaction with the FEMA Program Delivery Manager

The Program Delivery Manager constantly interacts with the Applicant throughout the development of the Applicant-developed scope of work as well. S/he will answer any questions the Applicant has, update or ask the Applicant about the progress of the scope of work, and request documentation, as necessary.

The Program Delivery Manager is responsible for:

  • Ensuring the correct documents (scope of work and cost estimate) are uploaded into FEMA Grants Manager
  • Coordinating with Consolidated Resource Center personnel, sharing information and maintaining situational awareness
  • Sending the Request for Information to the Applicant, if necessary
  • Reviewing the draft scope of work and cost estimate
  • Reviewing the project with the Applicant and discussing any edits
Scope of Work Validation Process (1 of 2)

After the Applicant submits their scope of work (if they are developing it independently), FEMA conducts a review of all documentation and validates the scope of work. If additional information is required during the review and validation, the Consolidated Resource Center will notify the Program Delivery Manager who will process the Request for Information and send the task via Grants Portal.

  • For additional information on the Request for Information, please refer to the courses: IS-1018 Determination Memorandums and Appeals and IS-1002 FEMA Grants Portal - Transparency at Every Step

Once FEMA validates the scope of work, it moves through a special considerations program compliance review. The Program Delivery Manager may ask for additional documents or submit a formal Request for Information during this time as well.

Scope of Work Validation Process (2 of 2)

The Recipient will review the project (focusing on the most important sections of the project such as the Damage Description and Dimensions, scope of work, and cost estimate) in Grants Portal.

The Applicant will then receive a notification when the scope of work is complete through Grants Portal via an email notification. The Applicant will review and electronically sign the scope of work and cost estimate in Grants Portal.

The following slide outlines the process for revising a project with a complete scope of work.

Requested Change in Scope of Work

In the event that the Applicant wants to revise the scope of work after the project has been signed, they must request all changes through the Recipient with a detailed justification and documentation to support the eligibility of the requested revision. The Recipient will then interact with the Program Delivery Manager or FEMA Regional Office, providing the request and their recommendation.

The Applicant must request the change in scope of work and receive approval prior to any work completed towards the new scope of work.

If the Applicant begins work associated with a change before FEMA review and approval, it may jeopardize FEMA funding and hinder their application for Public Assistance.

Lesson 2 Summary

In this lesson, participants learned about the information and requirements to develop the scope of work, supporting documentation for disaster-related damage claims, and the options that an Applicant has for developing their scope of work.

The next lesson covers project cost estimates.