Lesson 3 Overview and Objectives

This lesson explains the processes that FEMA uses to ensure compliance with all applicable laws, statues, regulations, policy and Executive Orders including the National Environmental Policy Act and the National Historic Preservation Act.

At the end of this lesson, participants will be able to:

Identify the process FEMA uses to comply with the National Environmental Policy Act
Identify key opportunities to communicate environmental and historic preservation considerations throughout the Public Assistance process with FEMA staff and within the Grants Portal

FEMA Compliance with Environmental and Historic Preservation

FEMA’s Environmental and Historic Preservation process includes:

Meetings, site visits, consultations with Applicants and stakeholders
Coordination with FEMA Public Assistance staff
Special Considerations questions/responses in Grants Portal
Review of project grants within the Environmental Management and Information System

FEMA Preliminary Damage Assessment teams evaluate flood damage in Essex, Vermont.

FEMA Compliance with the National Environmental Policy Act

In order to ensure compliance with the National Environmental Policy Act, Environmental and Historic Preservation Staff:

Review project details:

Damage description
Scope of work
Photographs
Maps

Review databases to determine:

Floodplain impacts
Archeological sites
Historic structures
Endangered species
Work in water/wetlands

A FEMA Project Specialist reviews reports with a Public Assistance Crew Leader.

National Environmental Policy Act Process Overview

Based on the Scope of Work for a project, there are four possible outcomes or National Environmental Policy Act process levels of review. The level of review is determined by the type of work as well as the potential environmental impacts.

Environmental Impact Statement

An Environmental Impact Statement is used for Federal actions that significantly affect the quality of the human environment. Environmental Impact Statements:

Are rarely required for FEMA Public Assistance projects
Are the highest level of National Environmental Policy Act review
Involve an in-depth analysis of large-scale, complex projects
May take years to complete
Are expensive
Require extensive public involvement

The four levels of the National Environmental Policy Act review process: Environmental Impact Statement (EIS) (highlighted), Environmental Assessment (EA), Categorical Exclusion (CATEX), and Statutory Exclusion (STATEX).

Environmental Assessments (1 of 4)

An Environmental Assessment describes potential impacts of an action on the human environment and is used to determine if an Environmental Impact Statement will be required. Environmental Assessments:

Are typically required for FEMA Public Assistance projects with significant modifications or new construction
Are the second highest level of National Environmental Policy Act review
Involve a concise analysis of projects when the environmental impacts are uncertain
May take months to complete
Must include public notification

The four levels of the National Environmental Policy Act review process: Environmental Impact Statement (EIS), Environmental Assessment (EA) (highlighted), Categorical Exclusion (CATEX), and Statutory Exclusion (STATEX).

Environmental Assessments (2 of 4)

Typical actions that require an Environmental Assessment include:

New construction projects
Increase in structure footprint
Temporary housing on undeveloped sites
Relocating facilities
Large-scale drainage projects
Actions with public controversy

Environmental Assessments (3 of 4)

Environmental Assessment Reports must include:

Statement of the purpose and need of the project
Description of the proposed action and alternatives considered
Impacts of the proposed action and alternatives
A record of consultation and coordination
Opportunities for public involvement

Environmental Assessments (4 of 4)

An Environmental Assessment has two possible outcomes:

A Finding of No Significant Impact: the action will have no significant effect to the human environment and no Environmental Impact Statement is required
A Notice of Intent for an Environmental Impact Statement because significant impacts are possible.

Environmental and Historic Preservation Reviews and Comments (1 of 3)

The FEMA Environmental and Historic Preservation Staff comments and compliance requirements are captured in the Record of Environmental Consideration or in particularly complex projects, the Environmental Assessment - Finding of No Significant Impact (FONSI). These review comments and compliance requirements are permanently recorded and visible to Recipients and Applicants within Grants Portal for each respective project.

FEMA creates the Record of Environmental Consideration to document compliance with the National Environmental Policy Act, the National Historic Preservation Act, Endangered Species Act, Executive Order 11988 and Executive Order 11990 as well as other applicable laws, regulations and Executive Orders.

The Record of Environmental Consideration outlines the stipulations for compliance with all laws considered under the environmental and historic preservation review process. It specifies all conditions required for compliance with environmental and historic preservations laws when implementing proposed project work.

2 employees looking at the computer, jpg, 639 x 454

Environmental and Historic Preservation Reviews and Comments (2 of 3)

Some of the conditions listed in the Record of Environmental Consideration apply to every project. These standard conditions can be found in Grants Portal or by accessing the Record of Environmental Consideration document online.

Other conditions may be specific to individual projects; and these are determined after FEMA performs the environmental and historic preservation review of that respective project. Applicants and Recipients can see the specific project's environmental and historic preservation conditions inside the project's Environmental and Historic Preservation profile in Grants Portal.

In order to guarantee compliance for work-to-be-completed projects, all requirements in the Record of Environmental Consideration should be reviewed and understood before physical work is started.

Environmental and Historic Preservation Reviews and Comments (3 of 3)

It is important for Applicants to review the Record of Environmental Consideration requirements at the start of a project and also at specific times throughout the project. Any changes to the approved scope of work will require an additional review by FEMA's Environmental and Historic Preservation staff. This includes:

General changes
Changes to the method of repair
Improved projects
Alternate projects
Significant changes to Scope of Work

Changes to the scope of work must be reviewed and approved prior to commencement of work. Additional environmental and historic preservation requirements may be necessary as a result of the change in the project's scope of work.

Failure to notify the Recipient and/or FEMA and seek timely approval for scope of work changes, may result in loss of funding for noncompliance.

Categorical Exclusions (1 of 4)

A third type of National Environmental Policy Act review is a Categorical Exclusion, which is an exemption for a specific type of action determined to have no significant impact on the human environment.

Categorical Exclusions:

Third highest level of National Environmental Policy Act review
Streamline the National Environmental Policy Act process-project types are pre-approved
More efficient than an Environmental Assessment or Environmental Impact Statement
Do not require alternatives analysis
Require no additional public notice for use

Categorical Exclusions (2 of 4)

Categorical Exclusions commonly used in Public Assistance include:

Studies (e.g., engineering design)
Facility Repair (not in water)
Instream work-with any mitigation bioengineered
Work in coastal areas, velocity zones
Structure relocation/re-alignment
Structure/facility upgrade (codes and standards)
Flood hazard reduction
Grants Administrative Actions
Minor renovations/additions
Repair and Maintenance
Utility reconstruction
Maintenance dredging

Categorical Exclusions (3 of 4)

Categorical Exclusions may also include:

Demolition of structures and other improvements, or disposal of uncontaminated structures and other improvements to permitted offsite locations, or both
Physical relocation of individual structures
Repair, reconstruction, restoration, elevation, retrofitting, upgrading to current codes and standards, or replacement of any facility in a manner that substantially conforms to the preexisting design, function, and location

Categorical Exclusions (4 of 4)

If extraordinary circumstances are present, an action that is normally a Categorical Exclusion may be elevated to an Environmental Assessment. Examples of these circumstances include a structure the local community does not want to be repaired of maintained at the current location for political reasons.

Statutory Exclusions

Statutory Exclusions are statutorily excluded from National Environmental Policy Act review and are:

Specifically created for FEMA because of the Agency's unique mission
Apply only to emergency work or where facilities are repaired or restored to their pre-disaster condition
Typically take the shortest amount of time to complete
Require no detailed environmental and historic preservation review
Comprise the majority of disaster recovery projects

Environmental and Historic Preservation Considerations During the Recovery Process

Environmental and historic preservation should be considered during all phases of the Public Assistance grants process and is triggered for all FEMA Public Assistance grant projects, as well as, any time there is a proposed or significant change in the scope of work.

Environmental and historic preservation considerations may be especially important during these steps in the recovery process:


Preliminary Damage Assessment Exploratory Call Damage Inventory Recovery Scoping Meeting Project formulation Site inspection	Document disclosure Compliance review Recovery Transition Meeting Any changes in project scope of work Closeout

Preliminary Damage Assessment

Considerations during the Preliminary Damage Assessment include identifying facilities with specific historical or environmental preservation values. This allows FEMA to provide the proper process of program and project management, including specialists that may be needed to produce scope of work and costing of the damaged facility to assure environmental and historic preservation compliance.

Considerations to look for include but are not limited to:

Historic structures or structures more than 45 years old
Ground-disturbing activities
Work in or near water
Work in a floodplain or wetland
Potential for threatened or endangered species

Exploratory Call

During the Exploratory Call, Program Delivery Managers will solicit information regarding historic structures and environmentally sensitive areas related to damaged facilities to allow for proper reporting of the damage inventory within the Grants Manager software.

If environmental and historic preservation concerns are identified during the Exploratory Call, Program Delivery Managers will notify Environmental and Historic Preservation staff and request their presence at Recovery Scoping Meetings and Site Inspections for these damages.

Business woman on a phone call taking notes

Damage Inventory

The Damage Inventory should provide specifics related to environmental and historical concerns associated with damaged facilities.

For example damages to:

Road adjacent to a river, where the road embankment is also a riverbank
Historic bridge structures (more than 50 years old) where structural members will need replacement
Fences or gravestones in older sections of cemeteries
Coastal areas
Facility that requires tree clearance to access for repair

The need for specific environmental and historic preservation information will drive the approval process, need for site inspections, and provision of appropriate funding for an Applicant’s recovery process.

Environmental and historic resource concerns should be documented for each damage to facilitate future environmental and historic preservation review.

Recovery Scoping Meeting

Applicants should identify project locations and aspects that might have environmental and historic preservation considerations, such as:

Debris staging and disposal areas
Work on road embankment/streambank interface that will involve streambank stabilization
Culvert replacements on mapped streams (may require permitting, Hydrologic and Hydraulic analysis for proper sizing)
Historic structures that may require specialized repairs
Projects that may involve excavation of previously undisturbed ground
Projects that may involve tree removal and require consultation for impacts to Northern Long-eared bats
Project sites where Environmental and Historic Preservation Staff should attend Site Inspections

Project Formulation

During project formulation, the Program Delivery Manager should ensure the information related to historical and environmental considerations is documented appropriately. The projects should identify specialized needs for Site Inspections and critical information for the Consolidated Resource Center to be able to conduct appropriate evaluation of the projects.

Accurate project locations for environmental and historic preservation consultation of online databases
Detailed scope of work descriptions to identify permit requirements

Site Inspection

Environmental and Historic Preservation Staff attending Site Inspections can help identify potential environmental and historic preservation concerns early in the recovery process. Attendance at a Site Inspection allows for:

First-hand view and assessment of environmental/historic site conditions
Photographic documentation of site conditions and project damages to be repaired/replaced
Field discussion with the Applicant regarding preliminary repair method and equipment access locations

Potential environmental and historic preservation concerns during a Site Inspection may cause further delays as a project is developed or undergoes compliance reviews.

Document Disclosure

All documents related to a facility that shows historic or environmental considerations should be provided to the FEMA Program Delivery Manager, to allow for proper documentation throughout the project development and reviews.

The Program Delivery Manager will ensure that the environmental and historic preservation documents and Site Inspection reports are attached to the projects to allow for a proper scope of work and costing of the damaged facility at the Consolidated Resource Center.

A stack of folders filled with documents.

Environmental and Historic Preservation Compliance Review

Once a project is developed and has an accurate and complete scope of work, Environmental and Historic Preservation Staff will review the project to make sure the project complies with environmental and historic preservation laws, regulations, and Executive Orders.

This compliance review will also identify project-specific conditions that an Applicant must comply with. Non-compliance with environmental and historic preservation conditions and requirements may result in the de-obligation of funds.

Every project will include the following three conditions:

Any significant change to an approved scope of work will require re-view for compliance
If potential archaeological resources are discovered during ground disturbing, the Applicant must stop work in that area and notify the Recipient and FEMA
Failure to comply with any laws or obtain any permits may jeopardize funding

A project may also include project-specific conditions such as:

Permit is required
Monitoring is required
Work can only occur during certain months

Recovery Transition Meeting

During the Recovery Transition Meeting, the FEMA Program Delivery Manager should discuss the compliance conditions placed on projects due to environmental and historic preservation reviews.

The Applicant must understand that noncompliance with environmental and historic preservation conditions and requirements may result in the de-obligation of funds.

Environmental and Historic Preservation Changes in Approved Scopes of Work and Closeout

Changes in Approved Scopes of Work

The Applicant must notify FEMA of any changes to an approved scope of work. FEMA Environmental and Historic Preservation Staff will review the changes to ensure the project complies with environmental and historic preservation laws, regulations, and executive orders. This review must occur before the start any work.

Closeout

During Closeout, FEMA must ensure the Applicant has complied with any environmental and historic preservation conditions, including procuring any necessary permits. The Applicant will also be required to provide a certificate of compliance and completion, or an intent to complete all scopes of work for the specific grant.

Environmental and Historic Concerns for Specific Project Conditions

Environmental and historic preservation concerns should be considered during all stages of projects involving these conditions, but are not limited to the following:

Debris operations
Ground disturbance
Work within water
Work in a floodplain or wetland
Improved or Alternate Projects
Buildings which are damaged more than 50 percent
Significant hazard mitigation proposals
Known historic district or buildings/facilities over 45 years in age

Environmental and Historic Preservation Considerations for Debris Operations

For projects involving debris removal, it is important to consider that burning debris waste or storing debris near waterways can impact the environment as well as violate the Clean Air Act or Clean Water Act. The National Environmental Policy Act requires FEMA to follow a specific decision-making process based on environmental impact consequences.

Debris should never be staged or stored in floodplains. Each Applicant should be familiar with their flood zones. Project locations can be checked on the FEMA Map Service Center web site.

Environmental and Historic Preservation Considerations for Ground Disturbance

Ground disturbances can affect the environment in the following ways:

How the water is drained off specific properties
How specific animals may thrive in a specific area
How the project impacts coastal erosion
How the project disrupts archaeological resources

These specifics are found in the Endangered Species Act, Coastal Zone Management Act, and Migratory Bird Treaty Act, National Historic Preservation Act.

Environmental and Historic Preservation Considerations for Work Within Water

Any work within, around, or near water that involves cleanup and construction for recovery from damages will require permitting from the Army Corp of Engineers and a review by specific Federal Agencies to assure that the Applicant is following the following laws and regulations:

Clean Water Act
Coastal Barrier Resources Act
Migratory Treaty Act
Coastal Zone Management Act
Fish and Wildlife Coordination Act
Wild Scenic Rivers Act
Magnuson-Stevens Fishery Conservation and Management Act
Executive Order 11988 Floodplain Management
Executive Order 11990 Protection of Wetlands
Executive Order 12898 Environmental Justice

Environmental and Historic Preservation Considerations for Work in a Floodplain or Wetland

For any structure (walled or roofed building, including mobile homes and gas or liquid storage tanks) that is built, placed, or substantially improved in a Special Flood Hazard Area, the Applicant must at a minimum, either elevate or flood-proof the lowest floor (including the basement) to or above the 100-year base flood elevation.

Work in a floodplain may require a review and approval by the Army Corp of Engineers based on the Clean Water Act (CWA) and must involve consultation with the local floodplain administrator. The CWA also gives the Army Corp of Engineers the authority to review work in wetlands.

Any construction in a wetland needs to have specific review to assure that the drainage from new or additional construction will not affect the water run-off or adversely impact the environment in a specific geographical area. Most states require their own wetland permitting process for projects in or affecting wetlands.

Environmental and Historic Preservation Considerations for Improved or Alternate Projects

When there is a project that is being improved for specific purposes, such as to bring the facility up to National or International Building Codes or Americans with Disabilities Act standards, the improvements and/or Alternate Project must be approved by the Recipient and FEMA before work can start.

An Alternate Project can be a relocation of a facility. The use of relocation may occur when a facility is in an area that has continuous damages over time and moving the facility to a new location will benefit all parties involved. To receive funding for relocation, the facility has to be subject to repetitive damage because of the location, the move cannot be barred based on other regulations, and the overall project must be cost effective. This type of Alternate Project often occurs when a facility is in a floodplain or coastal area. Alternate projects may require additional environmental and historic preservation review due to new location, change in footprint, etc.

Environmental and Historic Preservation Considerations for Known Historic District or Buildings Over 45 Years in Age

If the facility is listed in or meets the criteria to be listed in the National Register of Historic Places, and an applicable code or standard requires repair in a certain manner, costs associated with work to comply with that code or standard are eligible, even if repair costs exceed replacement costs. This is an exception to the regulatory requirement that when a facility is eligible for replacement, FEMA limits eligible costs to the less expensive of repairs or replacement.

The use of 45 years verses the defined 50 year requirement is based on some facilities that may have historical significance or facilities that are in an application or recognition process to become a historic property. Using the 45 year mark allows for some reasonability when dealing with disaster funding of facilities that may become historical.

Additional Environmental and Historic Concerns for the Public Assistance Applicant

Throughout all recovery operations, asking certain questions during each step of a project can help determine if an environmental or historic regulation will be involved. Although these are not the only questions to consider, some questions to start with include:

Is the original project scope of work being changed?
Does a regulating body need to be contacted?
Is a permit needed?
Is the facility NOT being returned to its pre-disaster conditions?
Will earth be disturbed?
Does the building/site/facility look old?
Is the facility considered to be within a historical district, protected or preserved area, or an area of cultural significance?

Destroyed historical buildings in Kentucky

Environmental and Historic Concerns During Early Disaster Process

During an event, a Preliminary Damage Assessment is completed by the Recipient in conjunction with Applicants. This may include State departments, local and county municipalities, Tribes, Territories, and certain non-profits.

Next, the Applicants are placed in the FEMA Grants Manager system. This is usually completed by State, Tribal or Territorial governing personnel.

FEMA evaluates eligibility for disaster damage grant funding at the beginning of this process and determines if an Applicant is eligible once they have received a Request for Public Assistance form in Grants Manager system.

A FEMA Program Delivery Manager is assigned to further assess eligibility throughout all activities related to the grant projects, along with accountability of compliance to Federal laws, regulations, mandates, and Executive Orders, including environmental and historic preservation requirements.

Environmental and Historic Concerns for the Exploratory Call (1 of 3)

The primary contact to an Applicant is from a FEMA Program Delivery Manager during an Exploratory Call. During this call the Program Delivery Manager needs to gather situational awareness about the Applicant's damage and the impact of the damages on the Applicant. The Program Delivery Manager gets this information through:

Preliminary Damage Assessment data: This should show if there are environmental and/or historical properties involved in the damages
Environmental and historic preservation issues identified through the Preliminary Damage Assessment or Greensheet: A Greensheet is a report based on environmental and historic preservation issues related to the disaster area. The Greensheet is researched and provided by environmental and historic preservation personnel assigned to a disaster from FEMA to account for and assure for compliance and awareness of environmental and historic preservation issues.
Applicant Profile: An Applicant profile may show that there is involvement of environmental and historic preservation issues based on the Applicants operations, or the overall mission of the organization
Reviewing data on past disaster declaration data: This allows for assessment of the experiences of the Applicant's staff and the Applicant's past disaster grant awards. It can also indicate past environmental and historic preservation issues that may not have been communicated to the Program Delivery Manager on a specific Applicant's damages.

Environmental and Historic Concerns for the Exploratory Call (2 of 3)

The Exploratory Call prepares the Program Delivery Manager and the Applicant for the Recovery Scoping Meeting. The information gathered during the call allows the Program Delivery Manager to provide tailored and effective customer service to meet the recovery priorities of the Applicant within the scope of the Public Assistance program.

The objectives of the Exploratory Call are to:

Establish rapport between the Program Delivery Manager and the Applicant
Gather information on the type of work or damage the Applicant may be claiming and identify specific damage or work that may involve historical and/or environmental properties
Prepare the Applicant for the Recovery Scoping Meeting

Identify appropriate personnel to attend the Recovery Scoping Meeting; This can include environmental and historic preservation personnel, based on the answers to the questions
Provide information to tailor the Recovery Scoping Meeting: This can trigger Environmental and Historic Preservation Staff attendance at the meeting and potentially require more documentation to show if an Applicant's facility is historical or has environmental properties

Schedule the Recovery Scoping Meeting

Environmental and Historic Concerns for the Exploratory Call (3 of 3)

During the Exploratory Call, the Program Delivery Manager will ask the Applicant the basic questions shown in the table. The Applicant's answers will trigger other questions within the Grants Manager system. The Program Delivery Manager can ask more questions to trigger further notifications to the environmental and historic preservation staff in the Grants Manager system. This will allow for environmental and historic preservation determinations during the Public Assistance processing during the early stages of the grant process.

See Appendix 3-2 for full image description.

Environmental and Historic Concerns for the Recovery Scoping Meeting (1 of 3)

The Recovery Scoping Meeting is the first substantive meeting between the Applicant and FEMA and starts the 60-day regulatory timeframe for the Applicant to identify and report damage. It is a detailed and in-depth meeting regarding the Applicant's disaster damages and the Public Assistance process.

Objectives of the Recovery Scoping Meeting include:

Discuss the Damage Inventory, including Public Assistance general eligibility
Discuss project formulation for categories of work
Discuss logical groupings for sites that require inspections
Discuss special considerations to include:

Environmental planning and historic preservation issues, which involves reviewing the FEMA Greensheet for a specific disaster area
Insurance requirements
Mitigation opportunities

Environmental and Historic Concerns for the Recovery Scoping Meeting (2 of 3)

Objectives of the Recovery Scoping Meeting (continued from previous page):

Discuss documentation required to support the Applicant's claim: Provide documents that may show historical or environmental properties of the damaged facilities
Utilize the Essential Elements of Information questionnaires to determine additional documentation or information needed: During the Essential Elements of Information questioning, other triggers will be provided based on environmental and historic preservation and other related questions
Schedule Site Inspections: Site Inspections will quantify the environmental and historic preservation issues
Develop a Program Delivery Plan within the 60-day calendar

Environmental and Historic Concerns for the Recovery Scoping Meeting (3 of 3)

A FEMA Environmental and Historic Preservation Greensheet is a generalized document that is formulated by FEMA Environmental and Historic Preservation personnel assigned to a Disaster Response area. The Greensheet summarizes environmental and historical issues within the disaster affected areas and the specifics that FEMA will have to follow when operating and providing funding to complete recovery operations.

Greensheets will be discussed in more detail in Lesson 4.

Select here for an example of a Greensheet for Florida.

Environmental and Historic Concerns for the Recovery Scoping Meeting Related to Category A

This screenshot shows the environmental and historic preservation questions that the Program Delivery Manager sees in Grants Manager when doing a Recovery Scoping Meeting related to Category A.

See Appendix 3-3 for full image description.

Environmental and Historic Concerns for the Recovery Scoping Meeting Related to Categories C-G

This screenshot shows the environmental and historic preservation questions that the Program Delivery Manager sees in Grants Manager when doing a Recovery Scoping Meeting related to Category C-G.

When the Program Delivery Manager asks these questions and then produces an answer, further questions or triggers will be initiated. The additional questions are shown on the next page.

See Appendix 3-4 for full image description.

Environmental and Historic Preservation Questions During the Recovery Scoping Meeting

One example of an environmental and historic preservation question during the Recovery Scoping Meeting is: "Are any damaged facilities older than 45 years old?"

This question is demonstrated here. Note how other questions or requests are also provided for the Program Delivery Manager to ask of the Applicant.

See Appendix 3-5 for full image description.

Essential Elements of Information Questions

After the Recovery Scoping Meeting, the Program Delivery Manager will formulate the damages and information from the Exploratory Call, Damage Inventory, and Recovery Scoping Meeting into a Grants Manager system and produce Essential Elements of Information. Here are some examples of Essential Elements of Information questions. Also, note the required documents.

See Appendix 3-6 for full image description.

Lesson 3 Summary

In this lesson, you learned how to:

Identify the process FEMA uses to ensure the Applicant's project(s) comply with the National Environmental Policy Act
Identify key opportunities to communicate environmental and historic preservation considerations throughout the Public Assistance process with FEMA staff and within the Grants Portal

The next lesson will discuss key stakeholders and resources for environmental and historic preservation coordination.