The intent of a FEMA Request for Information is to obtain all disaster-related documentation or information related to a Public Assistance project. A Request for Information may come from various FEMA sources and may vary in importance relative to the incident.

If an Applicant receives a Request for Information from FEMA, the Applicant should make sure to include all information requested to expedite the processing of the case.

When the information is received, it becomes part of the Applicant's administrative record.

If FEMA discovers that more information is needed to determine an Applicant’s eligibility, FEMA will issue an initial informal Request for Information.

First Level Informal Request for Information

If the Applicant does not provide sufficient documentation to satisfy the initial informal Request for Information, the Program Delivery Manager will meet with the Applicant to inform the Applicant that a first level Informal Request for Information will be issued.

Second Level Formal Request for Information

If the Applicant still does not provide enough information to satisfy the Informal Request for Information, the FEMA Program Delivery Manager will meet with the Applicant to begin the Formal Request for Information process.

Lesson 2 will discuss the Request for Information process in further detail.

Most Public Assistance projects run smoothly and are free of eligibility disputes. When eligibility issues do arise, FEMA is usually able to resolve them quickly.

When eligibility issues cannot be worked out, FEMA will issue a formal eligibility determination letter, setting forth an Applicant's appeal rights, with an accompanying memorandum that explains the basis for the denial. The eligibility Determination Memorandum will clearly explain why the determination was made and specifically reference applicable provisions of law, regulation, and policy supporting the determination.

Eligibility determination letters with attached eligibility Determination Memorandum will be issued when:

• Request for Public Assistance is denied
• Applicant, facility, work, and/or cost is wholly or partially ineligible
• Applicant or Recipient has not complied with the terms of the grant

If an Applicant receives a Determination Memorandum and letter, it has the right to use FEMA's two-tiered administrative appeal process. The Applicant has 60 days from its receipt of the determination letter and memorandum to submit its first appeal, beginning the appeal process.

The appeal must be sent to the Recipient, which has 60 days to review and forward it, along with a written recommendation, to the appropriate FEMA Regional Administrator. The Recipient has full discretion to support or oppose all or part of the Applicant's position in the appeal.

The first appeal will be reviewed by the Regional Administrator of the applicable FEMA Region. Once received, the FEMA Regional Administrator has 90 days to render a first appeal decision or request additional information from the Applicant.

Upon receipt of a first appeal decision that is either a complete or partial denial, Applicants can appeal the determination to the Assistant Administrator for Recovery at FEMA Headquarters.

The second level appeal must be sent to the Recipient within 60 days of receiving the determination of the first appeal. The Recipient then has 60 days from receipt of the second appeal to review and forward it with a recommendation to the FEMA Regional Administrator, who forwards it to the Assistant Administrator for Recovery. Just as with the first appeal, the Recipient can express support for or disagreement with the Applicant's position in the appeal.

FEMA Headquarters has 90 days upon receipt of the second level appeal to render a decision or request more information from the Applicant. Second level appeal decisions are FEMA's final administrative decision.

The Appeals process will be discussed in detail in Lesson 5.

The intent of a FEMA Request for Information is to obtain all disaster-related documentation or information related to a Public Assistance project. A Request for Information may come from various FEMA sources and may vary in importance relative to the incident.

If an Applicant receives a Request for Information from FEMA, the Applicant should make sure to include all information requested to expedite the processing of the case. There are several ways to send documentation to FEMA. The Applicant can provide the documents by uploading them to the Grants Portal, email or by mail.

When the information is received, it becomes part of the Applicant's administrative record.

If FEMA discovers that more information is needed to determine an Applicant's eligibility, FEMA will issue an initial Informal Request for Information. This process is usually a verbal request and normally takes two days and occurs in-house at FEMA. The FEMA Program Delivery Manager will engage the Applicant to discuss the issue and to ask for the documentation needed to make the eligibility determination.

If the Applicant does not provide sufficient documentation to satisfy the initial informal Request for Information, the Program Delivery Manager will meet with the Applicant to inform the Applicant that a first level Informal Request for Information will be issued.

Once an Informal Request for Information is requested, the Applicant should fulfill the request and provide FEMA with the missing information. After the Applicant supplies the necessary documentation, the Applicant or the Program Delivery Manager will put the Request for Information in the Grants Portal/Manager or EMMIE.

If the Applicant still does not provide enough information to satisfy the informal Request for Information, the FEMA Program Delivery Manager will meet with the Applicant to begin the Formal Request for Information process.

Applicants should do everything they can to ensure constant communication with their FEMA Program Delivery Manager while they are still deployed to the field to avoid an adverse eligibility determination. If a Program Delivery Manager is no longer available, Applicants should work closely with the Recipient. The Recipient holds an important role for all the work that has been completed and discussing movement of those projects to ensure they align with the original scope of work, properly procured contracts and Applicants are meeting the terms and conditions placed on each project so there are no adverse eligibility determinations at closeout.

FEMA approved a Scope of Work for repairs to a bridge. The approved Scope of Work was for the replacement of the roadway over the bridge. When the Applicant's contractors began the road replacement work, they noticed that the bridge footers were also damaged. The Applicant had the contractor replace the footers, but did not request a scope change approval from FEMA.

After the work was completed, the Applicant submitted the cost of the footer replacement along with the roadway replacement to FEMA. Because this Scope of Work change had not been approved before the work began, FEMA issued a Determination Memorandum and letter stating that the Applicant went above and beyond the approved Scope of Work.

A determination can occur at any point during the grant development or during the Request for Public Assistance. An eligibility determination can occur at any of the following times:

• A Request for Public Assistance is denied
• Prior to project formulation, when FEMA determines if a facility was damaged as a result of the event and therefore eligible
• After the intake damage and eligibility analysis, when FEMA site inspectors have reviewed the Applicant's damage in the field
• During the Scoping and Costing process, after FEMA reviews the Applicant's scope and cost
• During compliance reviews, when FEMA must account for special considerations such as environmental or historic preservation, hazard mitigation, and insurance
• At closeout when the Applicant request closure of the completed projects

From the beginning of the Public Assistance grants process and throughout its lifecycle, FEMA will communicate openly and collaborate closely with Applicants and Recipients to ensure clarity and prevent misunderstanding.

Before any eligibility determination is made during project development, the FEMA Program Delivery Manager will ensure constant engagement with the Recipient, Applicant, and FEMA Region to resolve eligibility issues. If the Program Delivery Manager is no longer deployed to the event, the Applicant should work closely with the Recipient, particularly on incomplete projects to ensure potentially eligibility issues are caught early and can be addressed prior to closeout, so it doesn't jeopardize grant funding.

If more information is required to make an eligibility determination and the information is not provided in a timely manner, the FEMA Consolidated Resource Center will issue an informal Request for Information to ensure that the Applicant provides all information necessary for FEMA to make an eligibility determination.

If a Request for Information is issued, it is important for the Applicant to provide all pertinent information and supporting documentation within the designated timeframe.

It is ultimately the Applicant's responsibility to comply (even though FEMA offers advice and guidance) to comply will all regulations, laws and Executive Orders.

FEMA will engage the Recipient and Applicant in informal discussions throughout the eligibility determination process, starting from the Applicant's first meeting. In many cases, open communication resolves misconceptions and provides a path forward.

When informal discussions reach an impasse, Public Assistance staff may offer the involved parties an opportunity to participate in a facilitated discussion led by a FEMA Dispute Resolution Specialist. These facilitated discussions are designed to identify, clarify, and resolve outstanding eligibility issues before FEMA makes a Public Assistance eligibility determination. Facilitated discussions can provide participants with different perspectives, clarity, and possible avenues for resolution. Applicants should take advantage of this service with offered.

A facilitated discussion, although not required, may be appropriate when:

• The parties have not established agreement on the precise eligibility issue involved, or do not understand one another's position on the eligibility issue involved
• The Applicant is not forthcoming with documentation or information requested and needed by FEMA to resolve the eligibility issue

If an Applicant is offered the opportunity to participate in a facilitated discussion, Public Assistance program staff must inform the Applicant that it will not lose any appeal rights if the Applicant declines, or if a facilitated discussion does not resolve all issues.

A facilitated discussion will take place only if the Applicant agrees to participate. If an Applicant requests a facilitated discussion, it should take place if the Public Assistance Infrastructure Branch Directors and Regional Public Assistance Branch Chiefs determine that such discussion is warranted.

As discussed previously, the eligibility Determination Memorandum and letter serve as FEMA's official eligibility determination. The eligibility determination letter notifies the Applicant of its appeal rights.

Eligibility determination letters with attached eligibility Determination Memorandum are issued simultaneously to Recipients and Applicants by certified mail with return receipt requested and/or by email with read receipt acknowledgement.

The Determination Letter serves as the official notice of a Public Assistance eligibility determination. The letter also sets forth the Applicant's rights to appeal the eligibility determination.

When receipt of the letter is acknowledged by mail and/or email, this serves as the date from which the Applicant has 60 days to file a first appeal.

The Determination Letter states that if the Applicant elects to appeal, the first appeal must include all of the following:

1. Contain documented justification supporting the appeal position
2. Specify the monetary figure in dispute
3. Cite the provisions in Federal law, regulation or policy with which the Applicant or Recipient believes the Public Assistance eligibility determination was inconsistent

The Determination Letter explains that the Applicant must submit the first appeal to the Recipient, who will forward the first appeal to the appropriate FEMA Regional Administrator.

The letter also states that the Applicant can provide documentation and other information in support of its position at the first appeal; and that FEMA will not accept additional materials, unless requested by FEMA, after it issues a first appeal decision.

The Determination Memorandum provides the rationale behind FEMA's eligibility determination.

The eligibility Determination Memorandum will clearly explain why the determination was made and specifically reference applicable provisions of law, regulation, and policy supporting the determination.

The memorandum will include a concise index of documents compiled and considered up to that point, listing all relevant materials associated with the Applicant and the Public Assistance eligibility determination.

A Determination Memorandum will include the following elements:

• Introduction
• Project Description
• Issue
• Applicable Statutes, Regulations, and Policies
• Analysis
• Eligibility Determination

Introduction

The Determination Memorandum opens with a table showing the following information:

• Facility name and/or title
• Work Category
• Amount of funds requested
• Indication of whether the project is a Small Project potentially subject to net small project overrun
• Applicant type (State Agency, Local Government, Tribe, or Private Nonprofit)
• Amount of funds approved

Project Description

The project description section contains a brief summary of the project as it pertains to the eligibility issue.

Issue

The Issue section provides a description of the issues involved with the Applicant, facility, work, and/or cost.

Applicable Statutes, Regulations, and Policies

The Applicable Statutes, Regulations, and Policies section contains a list of the applicable statutes, regulations, and policies in effect at the time of the emergency or disaster.

Select this link for a full image description.

Analysis

The Analysis section provides a description of how the statutes, regulations, or policies in effect at the time of the emergency or disaster apply to the issue.

Eligibility Determination

The Eligibility Determination section shows a checkmark indicating whether the request was approved, partially approved, or denied; and a brief description of the final determination.

Select this link for a full image description.

Document Index

The Document Index is a list of all the documents and materials directly or indirectly considered by FEMA and relied upon in making the Public Assistance eligibility determination.

 Documents may include, but are not limited to, Projects (all versions), supporting backup documentation, photographs, technical reports, pertinent correspondence, engineering reports (such as letters and emails), and other relevant information.

The Document Index is also used as the starting point of the Administrative Record, which is required for appeals. If there are missing documents, the Applicant needs to include them in their justification of the first appeal.

If an Applicant receives an eligibility Determination Memorandum, the Applicant has the right to appeal the decision through FEMA's appeals process. The Applicant has the right to appeal any decision through FEMA's appeals process.

The Applicant has 60 days from receipt of notification of a Public Assistance eligibility determination to submit the appeal. The Applicant must make the appeal in writing.

For Alternative Procedures projects, the Applicant may submit an appeal only for insurance or corrective actions resulting from reviews such as an audit. Applicants may not submit appeals for additional costs related to the fixed estimate grant.

The Applicant should send the first appeal to the Recipient. The appeal must contain the following information:

• Documented justification for the appeal
• The specific monetary figure in dispute
• Relevant statutes, regulations, and policies with which the Applicant believes FEMA was inconsistent

All documentation and other supporting information must be included with the first appeal. FEMA will not accept additional materials, unless requested by FEMA, after issuing a first appeal decision.

The Applicant should also provide a current email address to receive electronic correspondence. If an acknowledgement email is not received, the Applicant should confirm receipt of the appeal to the Recipient. Then confirm receipt that the Recipient has sent the appeal to FEMA.

Upon receipt of the first appeal, the Recipient has 60 days to review the appeal and forward it, along with a written recommendation, to the appropriate FEMA Regional Administrator. The Recipient has full discretion to support or oppose all or part of the Applicant's position in the appeal.

Once the first appeal is received, the FEMA Regional Administrator has 90 days to issue a first appeal decision or request additional information from the applicant. When a Regional Administrator is considering denying a first appeal in whole or in part, the Regional Administrator must issue to the Applicant a Final Request for Information, noting all information in the administrative record the Regional Administrator is considering in deciding the appeal, and requesting that the applicant provide any additional information to support its appeal. The Final Request for Information will include an Administrative Record Index and the Applicant should review it closely to ensure FEMA has considered all the documentation it believes is relevant. If anything is missing from the Administrative Record Index, the Applicant should submit the documents for consideration as it is the last opportunity to submit new information. If a Request for Information is received, Applicants must respond to FEMA within the stated deadline, which is typically 30 days.  Appeals can be denied if it is filed untimely.

Upon receipt of additional information the FEMA Regional Administrator will have 90 days to issue the first appeal decision to the Applicant and the Recipient. The first appeal decision consists of a letter explaining the Applicant's second appeal rights and an appeal analysis. Applicants should closely review the analysis to understand the basis for the decision.

Keep in mind overall eligibility is reviewed during an appeal and is not exclusive to just the issues presented in the determination memo. If a new eligibility issue is found, FEMA is required to submit a Request for Information and allow the Applicant 60 days to respond.

If an Applicant's first appeal is denied or partially approved, it may submit a second appeal.

Regulations require that the Applicant include all of the following information in a second level appeal:

• Explain why it believes the original determination is inconsistent with law or policy
• Specify the amount in dispute
• Cite authorities with which it believes FEMA's determination and first level appeal decision were inconsistent

Under Federal regulations, the same timelines and procedures for submitting first appeals apply to second appeals. The Applicant must send the second level appeal to the Recipient within 60 days of receiving the first appeal. If an acknowledgement email is not received, the Applicant should confirm that the appeal was received by the Recipient.

The Recipient has 60 days from receipt of the second appeal to review it and forward it with a recommendation to FEMA. The second appeal is submitted through the Regional Administrator to the Assistant Administrator of the Recovery Directorate at FEMA Headquarters. Just as with the first appeal, the Recipient can express support for or disagreement with the Applicant's position in the appeal.

The FEMA Headquarters has 90 days upon receipt of the second level appeal to render a decision or request more information from the Applicant. Applicants and Recipients can check the status of second appeals online at the FEMA Public Assistance Second Appeals Tracker: Public Assistance Second Appeals Tracker.

Second level appeal decisions are FEMA's final administrative decision. All second level appeal decisions are posted in the Public Assistance Appeals Database so Applicants can review previous decisions FEMA has made on similar issues. The appeals database can be found here: Appeals Database.

An Applicant is not able to appeal an individual small project, even if the actual costs for completing the project differ from the estimated amount funded. Instead, the Applicant must submit an appeal to request a Net Small Project Overrun when all projects are completed.

Exceptions where FEMA is able to adjust the approved amount of an individual small project without a Net Small Project Overrun occur when one of the following conditions applies:

• Applicant did not complete the approved Scope of Work
• Applicant requests additional funds related to an eligible change in the Scope of Work
• The project contains inadvertent errors or omissions
• Actual insurance proceeds differ from the amount deducted in the documented project. In these cases, FEMA only adjusts the specific cost items affected

An Applicant must wait until all small projects are finished and then appeal within 60 days. Also, the documentation needs to include overruns and underruns, etc. The reason for this is because some projects will have exceeded the grant amount, but others will have come under the grant amount and FEMA needs this information to reconcile all costs for all small projects. An Applicant may submit a Net Small Project Overrun appeal if:

• Small project does not meet any of the conditions for funding adjustment, and
• Total actual cost of its Small Projects combined exceeds the total amount obligated for all of their Small Projects

In this case, the Applicant must request the additional funding through the Appeals process, within 60 days of completion of its last Small Project.

These appeals follow the same process and timeline discussed previously in this lesson.