Lesson 3 Overview and Objectives

This lesson describes the special considerations and permitting requirements for performing work on roads and culverts.

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

  • Explain special considerations and permitting requirements for rebuilding or repairing roads and culverts
Impacts of Non-compliance with Rules and Regulations

Special considerations rules and regulations include:

  • Environmental and historic preservation
  • National Environmental Policy Act
  • Hazard Mitigation

It is important that Applicants understand and follow special considerations rules and regulations to ensure they receive the full amount of Public Assistance grant funding for which they are eligible. Applicants are required to obtain all Federal, State, Tribal and local permits prior to reconstruction of a facility.

Applicants that do not comply with special considerations rules and regulations may experience delays in repair work or jeopardize funding.

Delays in Repair Work and Loss of Funding

Delays in Repair Work:

  • Applicants that fail to comply with rules and regulations may face delays in repairing or restoring roads and culverts
  • Significant delays can result if special considerations issues are not identified early during a project involving work on roads and culverts
  • Identifying special considerations issues early during site inspections and damage documentation will help avoid delays in repair work later in the process

Loss of Funding:

  • Applicants that fail to comply with rules and regulations may not receive the full amount of funding for which they are eligible
  • Applicants that do not comply may be required to pay fines or jeopardize the full amount of the grant
  • An important aspect of complying with rules and regulations is sufficient documentation. Applicants must not only follow rules and regulations but also document actions that demonstrate compliance
Section 406 Hazard Mitigation

Section 406 of the Robert T. Stafford Act authorizes FEMA to provide funds for implementing hazard mitigation measures performed on disaster-damaged facilities.

Definition:

Hazard mitigation is any sustained action taken to reduce or eliminate long-term risk to people and property from natural hazards and their effects.

Section 406 Hazard Mitigation: Eligibility Criteria

To determine eligibility for Public Assistance funding, FEMA evaluates proposed mitigation measures to determine:

  • Cost-effectiveness
  • Technical feasibility
  • Compliance with laws, regulations, and Executive Orders
A Small Business Administration counselor reviews paperwork for a survivor.
Section 406 Hazard Mitigation: Example Techniques (1 of 3)

Some examples of potential hazard mitigation techniques for roads and culverts include but are not limited to:

  • Elevating roads above the base flood elevation to maintain dry access
  • Increasing dimensions of drainage culverts in flood-prone areas
  • Increasing drainage or absorption capacities with extra culverts
  • Properly installing riprap for erosion protections
A culvert.
Section 406 Hazard Mitigation: Example Techniques (2 of 3)

A few other examples of potential hazard mitigation techniques for roads and culverts include but are not limited to:

  • Adding headwalls and wingwalls to culverts
  • Changing river rock to crushed rock
  • Stabilizing or armoring of vulnerable shoulders and embankments
FEMA conducts stabilization efforts by placing gabion walls of stone along a road to prevent washout.
Section 406 Hazard Mitigation: Example Techniques (3 of 3)

Other examples of potential hazard mitigation techniques for roads and culverts include but are not limited to:

  • Reorienting near-shore roads so they are parallel (not perpendicular) to the beach to prevent the channelization of storm surge and wind inland
  • Engineering or retrofitting roads to withstand hazards
  • Identifying and hardening critical lifeline systems such as roads to meet 'Seismic Design Guidelines and Standards for Lifelines' or equivalent standards such as American Lifelines Alliance guidance
  • Considering the increased exposure to flood hazards when deciding whether to extend roads
  • Providing grassy swales along roadsides to prevent flooding and erosion
  • When roadways encroach parallel waterways, use hydrologic and Hydraulic study to assure proper channel dimensions to protect the roadway

For additional information on mitigation techniques for roads and culverts, please refer to the document FEMA Mitigation Planning Resources or the course: IS-1014 Integrating 406 Mitigation Considerations into Your Public Assistance Grant.

Hazard Mitigation Planning Resources
Storm surge moved inland up streets and destroyed roads and vehicles in its path.
Section 406 Hazard Mitigation: Determining Cost-Effectiveness


Mitigation measures must be cost-effective to be eligible for Public Assistance grant funding under Section 406 of the Robert T. Stafford Act.

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 of the Public Assistance Program and Policy Guide, and the cost of the mitigation measure does not exceed 100 percent of the eligible repair cost (prior to insurance reductions of the facility or facilities for which the mitigation measure applies)
  • The Applicant demonstrates through an acceptable benefit-cost analysis methodology that the measure is cost-effective
  • FEMA's software provides appropriate benefit-cost analysis methodologies
Section 406 Hazard Mitigation: Benefit-Cost Analysis (1 of 2)

Many mitigation measures that exceed 15 percent of the total eligible repair cost and are not included in FEMA’s pre-approved list of cost-effective mitigation measures prove to be cost-effective based on a benefit-cost analysis.

If a mitigation measure is not cost-effective based on the first two criteria, FEMA and the Applicant will work together to develop a benefit-cost analysis to determine cost-effectiveness.

Section 406 Hazard Mitigation: Benefit-Cost Analysis (2 of 2)

A benefit-cost analysis is based on a comparison of the total eligible cost for the mitigation measure to the total value of the 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)
Section 406 Hazard Mitigation: Leveraging FEMA Support

FEMA Hazard Mitigation Specialists are available to provide support to Applicants in developing mitigation proposals.

Applicants should leverage FEMA's Hazard Mitigation Specialists for additional assistance to ensure mitigation proposals meet the eligibility requirements under the Public Assistance Program.

Representatives of the Minnesota Division of Homeland Security and Emergency Management and the Federal Emergency Management Agency (FEMA) met with county and local government officials to discuss federal assistance.
Environmental and Historic Preservation Permitting Requirements

When performing work on roads and culverts, Applicants must determine whether there are applicable environmental and historic preservation rules and regulations to follow. Such rules and regulations often include permitting requirements.

Work in water or floodplains generally requires permits from:

  • Federal agencies (e.g., U.S. Army Corps of Engineers)
  • State agencies (e.g., Department of Natural Resources)
  • Local officials (e.g., Floodplain Manager)
Codes and Standards for Roads and Culverts

In some cases, the issuing government agency may require upgrades or additional work the Applicant must perform to receive a permit.

Upgrades required by a Federal, State, Local, Tribal, or Territorial government to receive a permit are eligible if the code and standard:

  • Applies to the type of restoration required
  • Is appropriate to the pre-disaster use of the facility
  • Is reasonable, in writing, formally adopted by the government agency, and implemented by the Applicant on or before the declaration date
  • Applies uniformly
  • Was enforced during the time it was in effect
Environmental and Historic Preservation Permit Requirements

If a Federal, State, Local, Tribal, or Territorial government permitting agency requires additional work based on a code and standard that does not meet the eligibility criteria previously discussed, 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 appropriate tot he pre-disaster use of the facility
  • Is reasonable based on the type of and extent of damage
  • Is an established, enforced, uniform practice that applies to all similar types of facilities within the Applicant's jurisdiction, regardless of the circumstance
Communication with State Historic Preservation Officer

Applicants should coordinate with FEMA Environmental and Historic Preservation (EHP) to ensure compliance with State historic preservation codes and standards.

Historic preservation concerns often arise due to the source of materials used for work rather than the location of the road or culvert. Applicants should be sure they are sourcing materials according to Federal, State, Local, Territorial, and Tribal rules and regulations.

Examples of Activities that Require Compliance with Environmental and Historic Preservation Laws

Some common examples of activities Applicants perform on roads and culverts that require compliance with environmental and historic preservation laws include but are not limited to:

  • Fill material in waters in the United States
  • Borrowed material from virgin ground
  • Roads and culverts built prior to 1968
  • Historical roads built with historic pavers
Texas' storm April 17 through 24 washed out a 10-foot Irons Creek culvert near Brookshire. The force of the flood waters forced the culvert downstream.
Lesson 3 Summary

In this lesson, participants learned about the special considerations for roads and culverts, including mitigation and environmental and historic preservation issues.

The next lesson provides a summary and review of the Roads and Culverts course.