**STATE of \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ ADMINISTRATIVE
PLAN**

**for PUBLIC ASSISTANCE**

**INSTRUCTIONS**

This document is intended to be a sample format that States can use as
guidance as they develop their own State Administrative Plan. The sample
format is not meant to be used by States as their final administrative
plan. It provides citations of the laws, regulations and policies that
State procedures must comply with in order to meet Federal program and
grant administrative requirements. Each State should tailor the format
of their Administrative Plans, as needed, to best explain their own
process of delivering FEMA's Public Assistance Program in their state.
Section IV of the Administrative Plan must be amended for each Federally
declared Emergency or Disaster Declaration.

**Bolded and capitalized text is to be used as guidance and is not to be
included in the final Plan as suggested text.** *Notes are provided in
appropriate sections to indicate your State's need to comply with
specific regulatory requirements.*

**When referencing existing state documentation, summarize and provide
reference or citation**. Where possible, please cite section or
paragraph. FEMA may request the actual source documentation if
necessary.

**STATE of \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ ADMINISTRATIVE
PLAN**

**for PUBLIC ASSISTANCE**

**TABLE OF CONTENTS**

> **I. PURPOSE**
>
> **II. AUTHORITY**
>
> **III. DEFINITIONS**
>
> **IV. ORGANIZATION & RESPONSIBILITIES**
>
> **V. DIRECTION & CONTROL**
>
> **VI. PLAN DEVELOPMENT AND MAINTENANCE INSTRUCTIONS**

I.  **PURPOSE**

The purpose of this plan is to identify the State of
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_, hereinafter referred to as the State)
roles, responsibilities, processes, and procedures for administering the
Federal Emergency Management Agency (FEMA) Public Assistance (PA)
Program. This plan will be incorporated into the State emergency plan.
*\[Note: This complies with 44 CFR § 206.207 (4), State Administrative
Plan must be incorporated into the State Emergency Plan.\]*

The State assures FEMA that it shall comply with all applicable Federal
statutes and regulations in effect during the periods for which it
receives grant funding, including those listed under Section II below.
The State acknowledges that funding under the FEMA PA Program is
conditional upon the State's compliance with all the terms and
conditions of this plan.

II. **AUTHORITY**

    A.  **State**

        1.  State Disaster Act

        2.  Executive Order of the Governor

        3.  State Emergency Management Plan

        4.  FEMA State Agreement

        5.  ***List any appropriate State laws and regulations that
            impact delivery of disaster assistance***

###### Federal 

6.  42 U.S.C. § 5121-5206, Robert T. Stafford Act

7.  FEMA Regulation, 44 CFR Part 206

8.  FEMA Regulation, 44 CFR Part 13

9.  FEMA Regulation, 44 CFR Part 9

10. FEMA Regulation, 44 CFR Part 10

11. OMB Circular A-102

12. OMB Circular A-110

13. OMB Circular A-133

14. OMB Circular A-21

15. OMB Circular A-87

16. OMB Circular A-122

17. Executive Order 12612, Federalism

18. Executive Order 12699 Seismic Design

19. Executive Order 12898, Environmental Justice

20. 16 U.S.C. § 3501, Coastal Barrier Resources Act,

21. 16 U.S.C. § 470, National Historic Preservation Act

22. 16 U.S.C. § 1531, Endangered Species Act References

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II. **DEFINITIONS**

    A.  **Alternate Project:** A subgrantee may determine that the
        public welfare would not be best served by restoring a damaged
        facility or its function to the pre-disaster design. In this
        event, the subgrantee may use the Public Assistance grant for
        permanent restoration on that facility for other purposes.
        \[Note: This complies with the Stafford Act § 406 (c)(1), 44 CFR
        § 206.203 (d)(2), PA Guide (FEMA #322), pgs 84 and 85.\]
        Projects other than the damaged facility on which the subgrantee
        spends eligible funds are referred to as alternate projects.

    B.  **Applicant:** A State, local, Indian Tribal government, other
        legal entity, or certain private non profit organizations that
        receive a subgrant award and which is accountable to the Grantee
        for the use of the funds provided. Also referred to as the
        Subgrantee.

    C.  **Emergency Work:** Work which must be done before, during, and
        immediately after a disaster event to save lives and to protect
        improved property and public health and safety or to avert or
        lessen the threat of a major disaster. Under the Public
        Assistance Program, Category A (Debris Removal), and Category B
        (Emergency Protective Measures) are referred to as Emergency
        Work.

    D.  **Federal Emergency Management Agency (FEMA):** The Federal
        agency responsible for coordinating disaster recovery efforts.

    E.  **FEMA State Agreement:** A formal legal document between FEMA
        and the affected State stating the understandings, commitments,
        terms and conditions for assistance resulting from a Federal
        disaster or emergency declared by the President.  The FEMA
        Regional Director and the Governor sign the document.

    F.  **Governor's Authorized Representative (GAR):** The person
        designated by the Governor to execute all necessary documents
        for disaster assistance programs on behalf of the State and
        local grant recipients. The GAR is responsible for State
        compliance with the FEMA-State Agreement. Normally, the GAR will
        also be designated as the State Coordinating Officer.

    G.  **Grantee:** The State of , hereinafter referred to as the
        State.

    H.  **Hazard Mitigation:** Cost effective measures that will reduce
        the potential for damage to a facility from a declared disaster
        event.

    I.  **Hazard Mitigation (Section 406):** Mitigation measures that
        must be directly part of the reconstructed work on a facility,
        or will protect or benefit the repaired portion of the facility.
        They are different from mitigation measures that are considered
        for eligibility under the Hazard Mitigation Grant Program (HMGP)
        of Section 404 of the Stafford Act. In the HMGP program,
        measures are proposed that may involve facilities other than
        those damaged by the disaster, new facilities or even
        non-structural measures such as development of floodplain
        management regulations.

    J.  **Immediate Needs Funding:** An advance of grant funds by FEMA,
        not to exceed 50% of the Preliminary Damage Assessment estimate,
        to assist with payment of emergency work within the first 60
        days after a declared disaster occurs.

    K.  **Improved Project:** When performing restoration work on a
        damaged facility, a subgrantee may decide to use the opportunity
        to make improvements to the facility. Projects that incorporate
        such improvements are called improved projects. The improved
        facility must have the same function and at least the equivalent
        capacity as that of the

> pre-disaster facility. Funding for such projects is limited to the
> Federal share of the costs that would be associated with repairing or
> replacing the damaged facility to its pre-disaster design. The
> subgrantee must obtain approval for an improved project from the State
> prior to construction.

L.  **Joint Field Office (JFO):** A temporary facility established in a
    Presidentially declared disaster area to serve as the field
    headquarters for FEMA, other Federal, and State recovery personnel,
    and as the focal point for disaster operation, direction,
    coordination and information.

M.  **Large Project:** Approved projects estimated to cost the same or
    more than the large project threshold amount (\$55,000 for fiscal
    year 2005). The large project threshold is an amount of approved
    project estimated costs adjusted annually to reflect changes in the
    Consumer Price Index for all Urban Consumers. The large project
    threshold amount applicable to any project is that amount in effect
    on the declaration date of the disaster, regardless of when project
    approval is made or when the work is performed.

N.  **Permanent Work:** Restorative work performed on damaged facilities
    through repairs or replacement, to predisaster design and current
    applicable standards. FEMA PA Categories C through G are referred to
    as permanent work. Under the Public Assistance Program, Category C
    (Roads and Bridges), Category D (Water Control Facilities), Category
    E (Buildings and Equipment, Category F (Utilities), and Category G
    (Parks, Recreational Facilities, and Other Items), are referred to
    as Permanent Work.

O.  **Project Worksheet (FEMA Form 90-91):** Form used to document the
    scope of work and cost estimate for a project.

P.  **Public Assistance Coordinator (PAC):** a FEMA program expert who
    serves as the subgrantee's representative on PA Program matters and
    manages the processing of the subgrantee's projects.

Q.  **Small Project:** Approved projects estimated to cost less than the
    large project threshold amount.

R.  **Special Considerations:** Issues that involve insurance,
    floodplain management, hazard mitigation, historic preservation and
    environmental reviews as they relate to Public Assistance Program
    funding.

S.  **State Coordinating Officer (SCO):** The person designated by the
    Governor to coordinate State and local disaster assistance efforts
    with that of the Federal government. Normally, the SCO will also be
    designated as the GAR.

T.  **State Public Assistance Officer (SPAO):** The person responsible
    for administering the Public Assistance Program at the State level.
    SPAO will normally be a member of the State Emergency Management
    staff.

######  {#section .unnumbered}

###### Subgrantee: A government, other legal entity, or certain private non profit organizations that receive an award and which is accountable to the Grantee for the use of the funds provided. Also referred to as the Applicant.

######  {#section-1 .unnumbered}

###### *List any appropriate State definitions that are applicable for the delivery of disaster assistance (i.e. State Applicant Liaison).* 

######  {#section-2 .unnumbered}

###### RESPONSIBILITIES AND ORGANIZATION 

######  {#section-3 .unnumbered}

###### The Governor has designated the State *(insert name of [emergency management agency]{.underline})*, as the State office responsible for managing and administering the Public Assistance Program. *\[Note: This complies with 44 CFR § 206.207 (b), Designation of the State agency with responsibility for program administration.\]* These responsibilities include, but are not limited to:

######  {#section-4 .unnumbered}

###### Submitting the Application for Federal Assistance (SF-424).

###### Complying with Federal and State program and grant administrative requirements.

###### Notifying potential applicants of the availability of assistance

###### Conducting Applicants\' Briefings. 

###### Requesting Immediate Needs Funding on behalf of applicants as applicable. 

###### Attending Kickoff Meetings.

###### Assigning a Public Assistance Liaison to work with the FEMA Public Assistance Coordinator (PAC). 

###### Assisting FEMA in determining work and applicant eligibility. 

###### Processing requests for appeals, reviewing cost overruns, approving time extensions, improved projects, advances and reimbursements. 

###### Making recommendations to FEMA on appeals and alternate project requests. 

###### Securing insurance information from applicants when required. 

###### Participation with FEMA in establishing hazard mitigation and insurance requirements. 

###### Monitoring subgrants by conducting quarterly reviews, site inspections and audits as required, ensuring program compliance.

###### Reviewing and certifying project completion information.

###### Determining budget and staffing requirements necessary for proper program management.

###### Organization and Staffing

1.  Staffing Estimates and Funding -- **Insert COMPREHENSIVE STAFFING
    PLAN TO IDENTIFY ALL PA STAFFING FUNCTIONS, SOURCES OF STAFF TO FILL
    THESE FUNCTIONS, AND MANAGEMENT AND OVERSIGHT RESPONSIBILITIES OF
    EACH. STAFF PLAN SHOULD IDENtifY THE NUMBER OF POSITIONS NEEDED BY
    EACH FUNCTION FOR VARIOUS SIZE DISASTERS. INSERT PROCEDURES FOR
    DETERMINING STAFFING AND BUDGETING REQUIREMENTS NECESSARY FOR
    PROGRAM MANAGEMENT. PROVIDE An ESTIMATED BUDGET WITH PROJECTED
    EXPENDITURES UNDER STATE MANAGEMENT ADMINSITRATIVE COSTS AND
    STATUTORY ADMINISTRATIVE costs.** *\[Note: This complies with 44 CFR
    § 206.207 (b)(ii), Identification of staffing functions in the
    Public Assistance program, the sources of staff to fill these
    functions and the management and oversight responsibilities of each,
    and*

> *44 CFR § 206,207 (b)(iii)(J), Procedures for determining staffing and
> budgeting requirements for proper program management. The State may
> submit a claim for reimbursement for costs incurred for administrative
> purposes in accordance with the management and administrative cost
> provisions of 44 CFR § 206.228.\]*

2.  Management and Program Staff -- The State is responsible for
    administering all funds provided under the Public Assistance
    Program, as well as coordinating the program among FEMA, the State,
    and applicants. The Governor will appoint a:

    a.  Governor's Authorized Representative (GAR)

    b.  State Coordinating Officer (SCO)

3.  Administrative Support Staff - Since staffing requirements vary
    depending on the magnitude, type and extent of the disaster, the
    following personnel may be used to assist the GAR/SCO in meeting
    program and grant administrative requirements.

    a.  State Public Assistance Officer (SPAO) - The person responsible
        for administering the Public Assistance Program at the State
        level. The SPAO will normally be a member of the State Emergency
        Management staff.

    b.  Applicant Liaisons, Project Officers, Program Specialists,
        Accounting Specialist, Technical Specialists, Resource
        Coordinators, and other State Administrative Support Personnel
        as required, including Computer Specialist, Administrative
        Technician, and Clerk/Typist \-- qualified personnel from
        applicable State agencies who may assist the State Emergency
        Management staff.

###### DIRECTION, CONTROL AND ADMINISTRATION

######  {#section-5 .unnumbered}

###### Post Declaration Activities

######  {#section-6 .unnumbered}

###### Notifying Potential Applicants -- INSERT STATE PROCEDURES FOR NOTIFYING POTENTIAL APPLICANTS ABOUT THE PA PROGRAM. *\[Note: This complies with 44 CFR § 206.207 (b)(ii), Procedures to notify potential applicants of the availability of the program.\]*

######  {#section-7 .unnumbered}

###### Applicants\' Briefing - Once a designated area has been approved for Public Assistance, members of the State Emergency Management staff will conduct an Applicants\' Briefing. The number of potential applicants and the area involved in the disaster will determine the number of briefings held. Attachment 1 to this plan outlines the information that will be covered during this briefing. *\[Note: This complies with 44 CFR § 206.207 (b)(iii)(A), Procedures for conduction briefings for potential applicants and application procedures, program eligibility guidance and program deadlines.\]*

######  {#section-8 .unnumbered}

###### A Kickoff Meeting is scheduled following the Applicants\' Briefing to provide the applicant with specific information required to meet particular requirements of Public Assistance Program. 

######  {#section-9 .unnumbered}

###### Applicant Eligibility -- INSERT State PROCEDURES for assisting FEMA in screening all potential applicants for eligibility. *\[Note: This complies with 44 CFR § 206.207 (b)(iii)(C), Procedures for assisting FEMA in determining applicant eligibility.\]* Per 

###### 44 CFR § 206.222, eligible applicants under the PA Program are: {#cfr-206.222-eligible-applicants-under-the-pa-program-are .unnumbered}

###### State Agencies, local governments, and Federally recognized Indian Tribes, authorized tribal organizations and Alaskan Native village organizations, which are owned by private individuals).

###### Private Non-Profit organizations which have an IRS tax exemption letter or a State Private Non-Profit certification (i.e. Articles/Certificate of Incorporation). Special utility districts must provide a copy of the legislation that grants the district taxing authority. Eligible Private Non-Profit organizations must own or operate educational, utility, emergency, medical, custodial care, or essential governmental service facilities. Essential governmental service facilities are defined as museums, zoos, community centers, libraries, homeless shelters, senior citizen centers, rehabilitation facilities, shelter workshops, and other facilities which provide a health and safety service of a governmental nature. 

###### All such facilities must be open to the general public. {#all-such-facilities-must-be-open-to-the-general-public. .unnumbered}

######  {#section-10 .unnumbered}

######  {#section-11 .unnumbered}

######  {#section-12 .unnumbered}

######   {#section-13 .unnumbered}

###### Public Assistance Grant Application Package

######  {#section-14 .unnumbered}

###### Grant Approval -- The State will submit an \"Application for Federal Assistance\" (SF 424), and "Assurances for Construction\" Programs (SF 424D), to FEMA in order to receive Federal funding. Approved *Project Worksheets* will be the basis for issuing subgrants to eligible applicants in accordance with the cost sharing provisions established in the FEMA-State agreement.

######  {#section-15 .unnumbered}

###### Project Application - Once Project Worksheets are approved by FEMA, the State will be responsible for the final processing and distribution of the project application and for initiating payments in accordance with section D.2 below. The State will notify the applicant when its project application is prepared and ready for signature. Attachment 2 (Applicant Checklist) to this plan outlines the minimum information that will be covered with the applicant when signing its project application. A project application submitted by the State to FEMA should consist of the following documents: 

###### State cover letter

###### State/Subgrantee Project Application Agreement

###### Certification Regarding Restrictions on Lobbying (Attachment 3)

###### Applicant Checklist

###### Obligation Report

###### Project Application Summary

###### Project Worksheets 

###### Project Completion and Certification Report

######  {#section-16 .unnumbered}

###### Project Worksheet Preparation 

######  {#section-17 .unnumbered}

###### Depending on the size and nature of the disaster, the State may choose to participate at various levels in the Public Assistance process. Insert State PROCEDURES for development and review of project worksheets. Project Worksheet preparation process should document procedures, such as the review, approval, etc., AND THE STAFF WHO WILL PERFORM EACH FUNCTION. The varied levels of State involvement may include:

###### Assigning State Project Officer(s) and/or Specialist(s) to the DFO/JFO Resource Pool. 

###### Assisting FEMA and/or the applicant in developing scopes of work and cost estimates. 

###### Notifying FEMA of any special considerations and/or technical assistance requirements needed to facilitate project approval.

###### Providing State support as needed (such as engineers for highly technical projects or mediate to resolve disputes, etc.).

###### Assisting FEMA and the applicant in identifying hazard mitigation opportunities as provided by Section 406 of the Stafford Act. *\[Note: This complies with* 

###### *44 CFR § 206.207 (b) (iii) (E), Procedures for participating with FEMA in the establishment of hazard mitigation (and insurance) requirements.\]* {#cfr-206.207-b-iii-e-procedures-for-participating-with-fema-in-the-establishment-of-hazard-mitigation-and-insurance-requirements. .unnumbered}

###### Submitting applications and making recommendations to FEMA on project approval. 

###### Participating in the small project validation process.

###### Requesting re-inspections or time extensions for additional significant damage not previously identified within 60 days of an initial subgrantee inspection. \[Note: this complies with 44 CFR § 206.202 (d)(1)(ii).\]

######  {#section-18 .unnumbered}

###### The Applicant/Subgrantee will: 

###### Identify large projects 

###### Prepare, or assist in preparing, *Project Worksheets* (PWs) for small projects.,

###### Address pertinent environmental and historic preservation requirements, insurance coverage, floodplain management issues and hazard mitigation opportunities. 

###### Report any damage that is not previously identified to the State or PAC within 60 days of the initial inspection. If warranted, the State may request an extension of time in order to report additional damage. 

###### Project Funding and Requirements 

###### Insert State procedures to ensure that applicants are aware of the requirements imposed upon them by Federal and State statutes, such as allowable costs, cash management, reporting, etc. *\[Note: this complies with*

######  *44 CFR § 13.22 and § 13.37.\]* {#cfr-13.22-and-13.37. .unnumbered}

######  {#section-19 .unnumbered}

###### INSERT State PROCEDURES for processing requests for advances of funds, reimbursement, refunds, and recoupments. Procedures should also describe how the State will process the form in Attachment 4, request for advance or reimbursement (sF-270) and specify that the State will not advance funds unless the subgrantee certifies that they have spent, or will spend within 30 days, the funds on eligible expenditures, etc. *\[Note: This complies with 44 CFR § 206. 206.207 (b) (iii)(J), Procedures for processing requests for advances of funds and reimbursements, and 44 CFR § 13.24, Describing the process for requesting advances and reimbursements.\]*

###### Small Projects - Funding for small projects will be based on the federal share of the Project Worksheet estimate. The State will disburse funds to the applicant after FEMA approves the Project Worksheets and makes funding available.

######  {#section-20 .unnumbered}

###### Large Projects - Funding for large projects will equal the federal share of the actual eligible cost as verified through a review of the project\'s cost documents. FEMA will obligate funding to the State following FEMA\'s approval of the Project Worksheet.

######  {#section-21 .unnumbered}

###### Advance of Funds - An applicant may request an advance of funds on an approved large Project Worksheet by completing the \"Advance of Funds Request\" form (Attachment 4). The applicant must have a basis for the requested funds, such as anticipated contractor bills, or force account payrolls to meet. The total advance for any one Project Worksheet will not exceed 75% of the Federal share. An advance request will be processed for payment once it has been approved by the State. The applicant will be required to refund, through the State to FEMA, any part of an advance that is not supported by cost documents and/or expended for the approved scope of the Project Worksheet within 30 days of receiving the deobligation notice from the State. *\[Note:This complies with 44 CFR § 206.207 (b) (iii) (J), Procedures for processing requests for advances of funds and reimbursements, and 44 CFR § 13.21, Payment.\]*

######  {#section-22 .unnumbered}

###### Immediate Needs Funding (INF) -- This is a partial advance on emergency work items identified during the Preliminary Damage Assessment (PDA). When a PDA is conducted, only those eligible applicants who were surveyed are eligible to receive INF. If a PDA has not taken place, the State may identify eligible applicants to receive INF funding. The State may request funding for these applicants on their behalf. INF is designed to assist the applicant in dealing with its urgent needs that will require payment within the first 60 days after the declaration. It is not intended for those items that involve Special Considerations or items of work that will require longer than 60 days to complete. These items will be funded in the normal manner as individual projects. INF is calculated using the following formula:

######   {#section-23 .unnumbered}

###### Emergency work amount x 50% x 75% (appropriate federal cost share) = INF  {#emergency-work-amount-x-50-x-75-appropriate-federal-cost-share-inf .unnumbered}

######  {#section-24 .unnumbered}

###### Reviewing Insurance Requirements -- The State shall participate with FEMA the review of applicant insurance coverage. INSERT STATE PROCEDURES FOR reviewing APPLICANTS' INsurance POLICIES. Procedures should state who will do the work (e.g., state employee, FEMA, etc.). Procedures should detail steps, and documents necessary to review insurance*. \[Note: This complies with 44 CFR § 206.207 (b)(iii)(E), Procedures for participating with FEMA in the establishment of (Hazard mitigation) and insurance requirements.\]*

######  {#section-25 .unnumbered}

###### 44 CFR, Part 206, Subpart I, establishes insurance requirements which apply to disaster assistance provided by FEMA. Prior to approval of a FEMA grant for the repair, restoration or replacement of an insurable facility or its contents damaged by a major disaster: {#cfr-part-206-subpart-i-establishes-insurance-requirements-which-apply-to-disaster-assistance-provided-by-fema.-prior-to-approval-of-a-fema-grant-for-the-repair-restoration-or-replacement-of-an-insurable-facility-or-its-contents-damaged-by-a-major-disaster .unnumbered}

###### Eligible costs shall be reduced by the amount of any insurance recovery actually received or anticipated, relating to eligible costs. FEMA will base its determination of eligible costs on whether the insurance settlement is reasonable and proper.

###### The full coverage available under the standard flood insurance policy from the National Flood Insurance Program (NFIP) will be subtracted from otherwise eligible costs for an insurable facility and its contents located within the special flood hazard area.

###### If eligible damages are greater than \$5,000, an applicant must obtain and maintain insurance to cover the assisted facility for the hazard that caused the major disaster in the amount of the eligible damage to the facility.

###### Assistance will not be provided under Section 406 of the Stafford Act for any facility for which assistance was provided as a result of a previous major disaster unless all insurance required by FEMA as a condition of previous assistance has been obtained and maintained. Not even the deductible amount, or damages in excess of the NFIP limits, or for flood damaged items not covered by standard NFIP policy will be eligible. 

######  {#section-26 .unnumbered}

###### Recoupment of Federal Funds - If an approved Project Worksheet is totally or partially deobligated, the applicant will be notified as soon as possible. Reimbursement by the applicant to the State will be requested once a supplemental Project Worksheet (deobligating the approved funding) is processed.

######  {#section-27 .unnumbered}

###### Project Performance 

######  {#section-28 .unnumbered}

###### INSERT State PROCEDURES for processing IMPROVED AND ALTERNATE PROJECTS, appeal requests and decisions, time extensions, and cost overruns during the performance of the grant. Documentation should detail steps such as how requests for extensions will be logged, how many days it should take to answer the requestor in writing, examples of circumstances that do and do not justify approval of requests, systems to track progress on large projects so State will be aware of approaching due dates, etc. *\[Note: This complies with 44 CFR § 206.207 (b)(iii)(F), Procedures for processing appeal requests and decisions, requests for time extensions, requests for approval of overrun.\]*

######  {#section-29 .unnumbered}

###### Improved projects - Any improved project that results in a significant change from the pre-disaster design (such as different location, footprint, function, or size) is an improved project. An improved project request must be coordinated with FEMA prior to starting the improved portion of the proposed work to insure compliance with national historical and environmental laws. This request should contain: 

###### The reason for requesting an improved project

###### A description of the proposed work

###### A schedule of work

###### A cost estimate

###### Information adequate to establish compliance with special requirements, including, but not limited to, floodplain management, environmental assessment, hazard mitigation, protection of wetlands, endangered species, and insurance

######  {#section-30 .unnumbered}

U.  Alternate projects - If an applicant determines that the public
    welfare would not be best served by restoring a public damaged
    facility, or the function of that facility, the State can submit a
    request to FEMA for an alternate project. Requests for alternate
    projects shall be submitted to FEMA prior to starting the proposed
    work. Alternate projects are eligible for 75 percent of the approved
    Federal Share of the estimate eligible costs. If the request is
    approved by FEMA, funding of an alternate project will be reduced to
    75 percent of the Federal share of the approved Project Worksheet
    estimate associated with repairing the original damaged facility to
    its pre-disaster design, or the actual costs of completing the
    alternate project, whichever is less. The State will review the
    request for eligibility and will ensure that the request contains
    the following information before forwarding it to FEMA with the
    appropriate recommendation:

###### The reason for requesting an alternate project

###### A description of the proposed work

###### A schedule of work

###### A cost estimate 

###### Necessary assurances to document compliance with special requirements, including, but not limited to, floodplain management, environmental assessment, historic preservation, hazard mitigation, protection of wetlands, endangered species and insurance.

*\[Note: This complies with 44 CFR § 206.203 (d)(2)(v).\]*

######  {#section-31 .unnumbered}

###### Time Limitations -- The State will ensure that approved work is completed within the following time frames from the date a major disaster or emergency is declared:

###### Emergency Work = 6 months

###### Permanent Work = 18 months

######  {#section-32 .unnumbered}

###### Time Extensions -- An applicant may request a time extension on any approved Project Worksheet by submitting a written request to the State. Such a request should be submitted in writing prior to the completion date currently in effect. The State may grant a time extension if the reason for delay is based on extenuating circumstances or unusual project requirements beyond the applicant\'s control so long as the additional time requested does not exceed the following time frames:

###### Emergency Work = 6 months

###### Permanent Work = 30 months

###### The State will notify FEMA of all time extensions that have been approved. Requests for time extensions beyond the State\'s authority will be forwarded to FEMA in writing for determination with the State's recommendation. *\[Note: This complies with the requirements of 44 CFR, § 206.204 (d).\]* Work performed after the last approved completion deadline is subject to having funding reduced or withdrawn.

######  {#section-33 .unnumbered}

###### Cost Overruns 

###### Small Projects: The State will verify all significant cost overrun appeals submitted by the applicant (on small projects) by conducting a review of all approved small Project Worksheets within the applicant\'s project application. The State will base its recommendation for additional funding on the information obtained during the review and will forward a report to FEMA for final determination. The cost share is determined from final actual eligible project costs (whether an overrun or an under run) and will be adjusted at the time actual eligible costs for all small projects are determined for the requestor (normally the subgrantee, but sometimes the grantee).

###### Large Projects: Per 44 CFR § 206.204 (2)(2), the Subgrantee must evaluate each cost overrun and, when justified, submit a request for additional funding through the State to the RD for a final determination. All requests for the RD's approval will contain sufficient documentation to support the eligibility of all claimed work and costs. The State shall include a written recommendation when forwarding the request. The RD will notify the State in writing of the final determination.

######  {#section-34 .unnumbered}

###### Project Completion 

###### Upon completion of a large project, the applicant will be required to submit a project cost summary to the State that lists all labor, equipment, materials and contract costs associated with making needed repairs. The State will conduct a review of the project\'s documentation to verify the actual project cost. If a large project was 100 percent complete at the time the Project Worksheet was prepared, the eligible cost was based on actual cost information and the applicant is not claiming additional funding, the State will then determine if the project is of closeout quality. If the project qualifies for closeout, the State will note this in the PW, and no further review by the State will be necessary.

###### Upon completion of all approved work, the applicant will be required to submit the Project Completion and Certification Report to the State certifying that all work has been completed in accordance with funding approvals and that all claims have been paid in full.

###### If an approved project is not completed, the applicant will be required to return the federal funding that was provided for that project in accordance with paragraph V. D. 2.

###### Grantee

###### Upon completion of both small and large projects, the State will send a written "Certification of Project Completion" to the FEMA Regional Director.

###### Small project certifications require that:

i.  All projects were completed in accordance with FEMA approvals and,

ii. The State and/or applicants contribution to the non-Federal share,
    as specified in the FEMA-State Agreement, has been executed.

iii. Note: The small project certification is not required to specify
     the amount spent on projects, by sub-grantees.

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a.  Large project certifications require that:

    i.  Reported costs were incurred in the performance of eligible
        work;

    ii. The approved project was completed;

    iii. Completed work was in compliance with the provisions of the
         FEMA-State Agreement and;

    iv. Payments for the project were made in accordance with

> 44 CFR §13.21.

v.  An accounting of actual eligible costs for each large project is
    required at project completion. An accounting of eligible cost means
    the total amount of actual eligible cost. If actual cost exceeds the
    approved project grant, additional information supporting and
    explaining the additional claimed costs is required. See cost
    overruns above.

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1.  Disputes/Conflict Resolution -- In order to expedite funding and
    minimize applicant appeals, the following conflict resolution
    process should be followed:

    a.  If an Applicant Liaison has been assigned, the applicant should
        notify this individual of the unresolved issue.

    b.  The Applicant Liaison should work to resolve the issue with the
        PAC. If the issue remains unresolved, the Applicant Liaison
        should notify the SPAO.

    c.  The State PAO should work to resolve the issue with the PAO.

    d.  Only after all these steps have been taken will the applicant be
        referred to the appeal process.

2.  Final Inspection -- **INSERT STATE POLICY AND PROCEDURES FOR
    CONDUCTING FINAL INSPECTIONS.**

3.  Appeals - Upon receipt of an appeal from the applicant, the State
    will review the material submitted, make such additional
    investigations as necessary, and will forward the appeal with a
    written recommendation to FEMA within 60 days. The applicant will
    submit an appeal within the following timeframes:

    a.  Any FEMA determination - 60 days from the date of written notice
        of the determination being appealed.

    b.  Any State determination on Time Extensions - 60 days from the
        date of written notice of the determination being appealed.

    c.  Cost overrun - 60 days from the date the last project was
        completed (small projects only).

    d.  Second/Final Appeal - 60 days from the date of written notice of
        the determination made on the first appeal.

######  {#section-35 .unnumbered}

V.  **Records and Reports**

    1.  **INSERT State procedures describing how it will manage the day
        to day operations of grant and subgrant supported activities
        including monitoring through progress and financial reports,
        closeout, and record retention***. \[Note: This complies with 44
        CFR, § 206.204 (f), § 13.20 (b)(6), § 13.40, § 13.41, § 13.42
        and § 13.50\]*

    2.  Progress Reports -- The State will submit a quarterly progress
        report to FEMA, which will contain the status of all large
        projects which have not received final payment. Attachment 5
        will be used during these quarterly reviews. The first quarterly
        report will be submitted three months from the date the JFO
        opened or on a quarterly schedule mutually agreed upon between
        FEMA and the State. **INSERT STATE REQUIREMENTS FOR QUARTERLY
        REPORTING BY SUBGRANTEES.** *\[Note: This is in compliance with
        44 CFR § 206.204 (f) and 44 CFR § 13.40\]*

    3.  Financial Status Report (SF 269/SF 269A or FEMA 20-10) -- The
        State shall submit the financial reports to the FEMA regional
        office 30 days after the end of the first federal quarter
        following the initial grant award. The State will submit
        Financial Reports to FEMA at least quarterly. Thereafter,
        reports are due January 30, April 30, July 30 and October 30.
        Financial Status Reports must permit the tracing of funds to a
        level of expenditures adequate to establish that such funds have
        not been used in violation of the restrictions and prohibitions
        of applicable statutes. The reports shall include a breakout of
        expenditures considered to be statutory administrative costs
        and/or state management administrative costs under 44CFR,
        206.228. *\[Note: This is in compliance with 44 CFR § 13.41.\]*

    4.  Closeout -- The State will close each applicant once its small
        and large projects are closed out. Small projects will be closed
        out in accordance with 44 CFR § 206.205 (a) after the State has
        determined that all work has been completed, all necessary
        documents have been received, and any appeal for small project
        overruns has been reconciled. Large projects will be closed out
        individually in accordance with 44 CFR § 206.205 (b), after the
        State has determined that all work has been completed, all
        necessary documents have been received, the costs for each
        individual large project have been reconciled, all project
        payments have been made, and no further action is pending or
        anticipated (including litigation or lawsuits). The State will
        notify FEMA when all eligible funds have been paid to an
        applicant and request Applicant closeout. When all applicants
        have been closed-out and all eligible Grantee funding has been
        reconciled (including statutory administrative costs and/or
        state management administrative costs) the State will request
        that FEMA close out the Public Assistance Program for the
        disaster. *[\[Note: See State procedures for financial
        compliance with 44 CFR § 13.50-52.\]]{.underline}*

        a.  The closeout of a grant does not affect:

            i.  The federal agency\'s right to disallow costs and
                recover funds on the basis of a later audit or other
                review;

            ii. The grantee\'s obligation to return any funds due as a
                result of later refunds, corrections, or other
                transactions;

            iii. Records retention as required by 44 CFR, § 13.26;

            iv. Property management requirements in 44 CFR § 13.31 and §
                13.32;

            v.  Audit requirements in 44 CFR, § 13.26 (d), and

> OMB Circular A-133.

5.  Record Retention -- The State and applicant will be required to keep
    complete records of all work (i.e. receipts, checks, job orders,
    contracts, equipment usage documentation and payroll information)
    funded under the Public Assistance Program for a minimum of three
    years. *\[Note: If State and local laws require a longer retention
    period, enter it here.\]* For States the start date is determined by
    the date of the final Financial Status Report to FEMA. For
    applicants the start date is determined by the date of the final
    Financial Status Report to the State or the date of the
    certification of completion of their final project. During this
    three-year period, all approved Project Worksheets are subject to
    Federal and State reviews or audits. *\[Note: This is in compliance
    with 44 CFR § 13.20 (b)(6) and § 13.42\]*

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W.  **Audits**

    1.  State audit requirements will be in accordance with 44 CFR §
        13.26 and OMB Circular A-133 and any State audit requirements.
        **INSERT STATE PROCEDURES for complying with OMB CIRCULAR A-133
        AND STATE AUDIT REQUIREMENTS. PLEASE ADDRESS THE FOLLOWING:**

        a.  **Point of CONTACT for conducting single audits**

        b.  **Notification OF the point of contact for OMB A-133 audits
            for Public Assistance grants. The procedures or process
            should indicate what information is shared and how often
            notifications are send to the State auditors (monthly,
            quarterly, or annually).**

        c.  **Informing Applicants OF the requirements of OMB Circular
            A-133.** *\[Note: This complies with 44 CFR § 13.26.\]*

        d.  **Monitoring Audit sub grantee Compliance. Procedures should
            indicate roles and responsibilities on audit follow up
            between the State designated point of contact for A-133
            AUDITS and the State PA program. For example, procedures
            should include who is responsible for issuance of a State
            Management Decision on audits of PA program sub grantees.**

        e.  **Monitoring Subgrantee Corrective Action includING who and
            how the State will resolve subgrantee audit findings and
            monitor applicant corrective actions within six months after
            receipt of the audit report.**

    2.  Other Audits - Department of Homeland Security Office of
        Inspector General (OIG) may audit, at their option, the State PA
        grant and sub-grants. **INSERT STATE PROCEDURES FOR ASSURING
        resolution of OIG audit findings OF sub-grantees in a timely
        manner, usually within six months from the date of issuance of
        the Report. The procedures or process may be the same or similar
        for resolving A-133 Audits.**

X.  **Financial Management**

    1.  **INSERT OR REFERENCE STATE PROCEDURES for ensuring that the
        State and applicants have adequate standards in place to meet
        the following basic requirements***[:]{.underline}*

        a.  **44 CFR § 13.20, Standards for Financial Management Systems
            -- Procedures will include:**

            i.  **How the State financial system allows for the tracing
                of funds to a level of expenditure.**

            ii. **The internal control involved to maintain effective
                controls and accountability for all grants and subgrant
                cast, real and personal property and other assets.**

        b.  **44 CFR 13.21, Payment - Procedures will include:**

            i.  **Procedures for minimizing the time elapsing between
                the transfer of funds from FEMA and disbursement to
                applicants**

            ii. **How interest earned on advances will be handled and
                remitted to FEMA if over \$100**

        c.  **44 CFR § 13.36, Procurement - Procedures will document the
            Federal, State and local standards that will be followed
            when procuring goods and services.**

###### PLAN DEVELOPMENT AND MAINTENANCE

###### The State will submit a plan annually and amendments for each disaster for which Public Assistance is included. Revisions will be forwarded to the Regional Director of the Federal Emergency Management Agency for approval. *\[Note: This complies with 44 CFR § 206.207 (3), The State Administrative Plan will be annually submitted to and approved by FEMA.\]*

######  {#section-36 .unnumbered}

###### The State will amend this plan whenever necessary to reflect current policy guidelines and any new or revised Federal statutes or regulations or a material change in any State law, organization, policy, or State agency operation that is relevant to the State's administration of the PA program. The State will obtain FEMA approval of the amended plan and its effective date. *\[Note: This complies with 44 CFR § 13.11, State Plans.\]*

III. **Attachments**

> Attachment 1 -- Applicant's Briefing Information
>
> Attachment 2 -- Applicant Checklist
>
> Attachment 3 -- Certification Regarding Restrictions on Lobbying
>
> Attachment 4 -- SF270 Request for Advance/Reimbursement
>
> Attachment 5 -- Quarterly Progress Reporting Requirements
>
> **INSERT OTHER ATTACHMENTS AS NEEDED**