Emergency Relief Manual 

Reference Manual for States & Transit Agencies on
 

Response and Recovery from Declared Disasters 

and 

FTA’s Emergency Relief Program
 

(49 U.S.C. 5324)
 

September 30, 2015 
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4. TITLE AND SUBTITLE 

Emergency Relief Manual 

Reference Manual for States & Transit Agencies on Response and Recovery from Declared 

Disasters and FTA’s Emergency Relief Program (49 U.S.C. 5324) 

5a. CONTRACT NUMBER 

DTFT60-11-D-00002 

5b. GRANT NUMBER 

5c. PROGRAM ELEMENT NUMBER 

6. AUTHOR(S) 

Chandler, Kevin L.; Graves, Bonnie; McGinley, Laurel E.; Pieters, Brian C.; Ryman, Sarah; 

Schildge, Adam; and Sutherland, Pamela J. 

5d. PROJECT NUMBER 

DC-27-5266 

5e. TASK NUMBER 

T14012 

5f. WORK UNIT NUMBER 

7. PERFORMING ORGANIZATION NAME(S) AND ADDRESS(ES) 

Federal Transit Administration, 1200 New Jersey Ave, SE, Washington, DC 20590 

Battelle, 505 King Ave., Columbus, OH 43201 

Dewberry, 8401 Arlington Blvd., Fairfax, VA 22031 

PMO Partnership JV, 188 The Embarcadero, Suite 460, San Francisco, CA 94105 

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REPORT NUMBER 

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Office of Program Management 

Federal Transit Administration 

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No Restrictions. Available From: National Technical Information Service/NTIS, Springfield, Virginia 22161. 

Phone 703.605.6000, Fax 703.605.6900, Email [orders@ntis.fedworld.gov] 

13. SUPPLEMENTARY NOTES 

14. ABSTRACT 

This manual provides guidance to transit agencies that are planning for, responding to, or recovering from a federally-declared emergency or disaster. It 

incorporates material from the 2013 update to Response and Recovery for Declared Emergencies and Disasters: A Resource Document for Transit 

Agencies and builds upon it to include additional information about FTA’s Emergency Relief Program that was authorized by MAP-21. The manual describes 

steps that transit agencies can take to be better prepared prior to an event as well as actions that can be taken post-event in order to receive FTA 

assistance. It is intended to assist transit agencies by providing program eligibility information and requirements, while describing the process for applying 

for Emergency Relief Program funding to facilitate transit agencies receiving reimbursement for response, restoration, repair, and resilience actions taken 

related to the emergency or disaster. 

15. SUBJECT TERMS 

Federal Transit Administration, Office of Program Management, emergency response and recovery, disaster response and recovery, resilience 

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i 
Table of Contents 

Executive Summary ..................................................................................................................... iii
 

Chapter 1: Introduction .................................................................................................................4
 

1.1. Background, Purpose and Scope .......................................................................................4
 

1.2. Statutory History, References, and Agreements ................................................................4
 

1.3. Emergencies, Disasters, and the Federal Response Framework ......................................6
 

Chapter 2: Disaster Preparation Considerations for Transit Agencies .......................................10
 

2.1. Planning and Preparedness .............................................................................................10
 

2.2. Operations ........................................................................................................................ 13
 

2.3. Contracts .......................................................................................................................... 14
 

2.4. Capital Projects and Asset Management..........................................................................15
 

Chapter 3: Overview of Disaster Response and Recovery Funding and Resources..................17
 

3.1. Federal Transit Administration..........................................................................................17
 

3.2. Federal Highway Administration .......................................................................................20
 

3.3. Federal Emergency Management Agency .......................................................................21
 

3.4. State, Regional, and Local Resources .............................................................................22
 

3.5. Non-governmental and Nonprofit Organizations ..............................................................22
 

Chapter 4: Federal Transit Administration Emergency Relief Program Policies and
 

Requirements ..............................................................................................................................24
 

4.1. Program Overview............................................................................................................24
 

4.1.1 Eligible Recipients .................................................................................................24
 

4.1.2 Application Process and Allocation of Emergency Relief Funding ........................25
 

4.1.3 Eligible Projects and Costs ....................................................................................28
 

4.1.4 Ineligible Expenses ...............................................................................................32
 

4.2. Program Policies and Grant Requirements ......................................................................33
 

4.2.1 Pre-Award Authority ..............................................................................................33
 

4.2.2 Federal/Local Cost Sharing...................................................................................34
 

4.2.3 Floodplain Management ........................................................................................35
 

4.2.4 National Environmental Policy Act Review Process ..............................................36
 

4.2.5 Metropolitan & Statewide Planning Requirements ................................................38
 

4.2.6 Special Grant Conditions .......................................................................................38
 

4.2.7 Part 601 Waiver of Requirements/Emergency Relief Docket................................39
 

4.3. Policies Regarding Insurance ...........................................................................................40
 

4.3.1 Requirements for Insuring Assets in the Floodplain ..............................................40
 

4.3.2 Treatment of Insurance Proceeds .........................................................................41
 

4.3.3 Policy on Unallocated Insurance Proceeds ...........................................................43
 

4.4. Recipient Oversight and Reviews.....................................................................................45
 

Appendices – References and Resource Documents ................................................................46
 

A. Emergency Relief Program Final Rule: 49 CFR Part 602—Emergency Relief ................46
 

i 
B.	 49 CFR Part 601, Subpart D—Emergency Procedures for Public Transportation Systems

 56
 

C.	 Frequently Asked Questions.............................................................................................59
 

D.	 FTA Regional Office Contact Information.............................................................................64
 

E.	 FEMA Regional Office Contact Information ......................................................................66
 

F.	 State Emergency Contact Information ..............................................................................68
 

G.	 Glossary of Common Emergency Relief Terms ...............................................................78
 

List of Figures and Tables 

Figure 3-1 Federal Transit Administration's Emergency Relief Program Process ......................19 

Figure 3-2 Overview of Stafford Act Support to States ...............................................................21 

Figure 4-1 Process for Evaluating Federal Transit Administration Emergency Relief Program 

Recipient Eligibility ...................................................................................................................... 25 

Table 4-1 Planning Requirements and Section 5324 Emergency Relief Projects ......................38 

ii
Executive Summary 

The Federal Transit Administration (FTA) is issuing this reference manual on Federal 

emergency response assistance and disaster relief programs for transit agencies, state 

departments of transportation, local government officials, metropolitan planning organizations, 

and other entities responsible for operating, funding or directing public transportation in the 

event of an emergency or disaster. The guide will help users identify the appropriate source of 

Federal disaster relief funding, understand the kinds of activities that are eligible for 

reimbursement, and provides instructions on applying for funding. 

Chapter One explains the purpose of this manual and provides background on the relevant 

Federal statutes guiding the Federal emergency response and disaster relief structure. It also 

provides an overview of how FTA coordinates disaster relief efforts with the Federal Emergency 

Management Agency (FEMA). 

Chapter Two provides a series of disaster preparation strategies for transit agencies to consider 

implementing well before a disaster appears imminent. This includes a selection of 

recommended practices in the areas of planning, operations, contracts, and asset management 

that will help a transit system better withstand and more quickly recover from a disaster. 

Chapter Three includes an overview of key disaster response and recovery programs and 

resources, including information on disaster relief programs available from FTA, FEMA, the 

Federal Highway Administration (FHWA) and some non-Federal sources. This chapter provides 

basic guidelines and instructions on identifying the appropriate program and applying for 

funding. 

Chapter Four presents detailed information about FTA’s Emergency Relief (ER) Program, 

including an explanation of key program policies and requirements, such as applicant and 

project eligibility, special conditions for emergency relief grants, and requirements associated 

with floodplains and insurance. It also includes instructions on applying for waivers from FTA 

requirements when necessary to support disaster response and recovery. 

Finally, this manual provides resources in several appendices, including the ER Program Final 

Rule, frequently asked questions, a glossary, and contact information for FTA, FEMA, and state 

emergency management offices. 

This reference manual has been produced by FTA’s Office of Program Management in 

cooperation with FTA’s Office of Transit Safety and Oversight. The contents of the manual have 

been developed in close coordination with FEMA, with which FTA coordinates extensively in the 

event of a disaster affecting public transit systems. 

iii
 

                                                            

               

Chapter 1: Introduction 

1.1. Background, Purpose and Scope 

This manual contains important guidance for transit systems that have been affected by an 

emergency or disaster, as well as information on emergency relief resources for agencies 

preparing for a potential future emergency. This manual will be of particular use for agencies 

that are seeking or have received funding under the Federal Transit Administration’s (FTA’s) 

Emergency Relief (ER) Program.1

 The information in this manual explains and expands upon 

FTA’s final ER Program regulations as published at 49 Code of Federal Regulations (CFR) Part 

602. 

The FTA ER Program was authorized by Congress in 2012 under the Moving Ahead for 

Progress in the 21st Century Act (MAP-21). Under the ER Program, FTA may make grants for 

capital projects to protect, repair, or replace damaged assets, and for operating expenses 

incurred while responding to a declared emergency or major disaster. In general, FTA will 

reimburse expenses associated with evacuations and other emergency services, as well as the 

capital and operating cost of responding to and recovering from a disaster that has affected a 

transit agency’s own system and operations. 

This manual serves two purposes. First, it is a resource document for transit agencies planning 

for, responding to, or recovering from declared emergencies and disasters, including natural 

disasters, acts of terrorism, and other catastrophic failures from external causes. Second, this 

manual provides key guidance on resources available to transit agencies under FTA’s ER 

Program, including information about costs eligible for reimbursement, program requirements, 

and the application process. In reviewing available resources, this manual also discusses the 

relationships between FTA’s ER Program and some Federal Emergency Management Agency 

(FEMA) disaster relief programs. 

This manual is intended for use by transit agencies, State and local agencies that oversee or 

fund transit services, and private transit operators that are either affected by a declared 

emergency or disaster or provide assistance to others affected by a declared emergency or 

disaster. Although this manual contains information useful to transit agencies in advance of a 

disaster, it does not provide comprehensive guidance on emergency preparedness or 

emergency management, nor does it provide information for developing or executing 

emergency response plans or procedures. FTA provides separate publications on emergency 

preparedness and emergency management for transit agencies.2 

Similarly, although this manual provides guidance for applicants and recipients of FTA ER 

funds, it does not provide comprehensive guidance on FTA’s grant management procedures or 

cross-cutting program requirements. This information can be found in other FTA publications, 

including FTA.C.5010.1D, Grant Management Requirements, FTA.C.9030.1E, Urbanized Area 

Formula Program: Program Guidance and Application Instructions, and FTA.C.9040.1G, 

Formula Grants for Rural Areas: Program Guidance and Application Instructions. 

1.2. Statutory History, References, and Agreements 

Federal resources for emergency and disaster relief are authorized by Congress through 

several pieces of legislation and sections of statute. Of particular importance are the Robert 

Stafford Act, which establishes FEMA’s disaster assistance programs as well as a national 

1

 This document incorporates and revises information previously published in FTA’s 2013 resource document, Response and 

Recovery for Declared Emergencies and Disasters: A Resource for Transit Agencies, available here: 

http://www.fta.dot.gov/documents/Response_and_Recovery_for_Declared_Emergencies_and_Disasters_062813.pdf. 2 Additional FTA publications can be found at: http://www.fta.dot.gov/TSO/12537.html.

4 
                                                            

                                 

framework for emergency response; and Section 5324 of Title 49, U.S. Code (U.S.C.), which 

authorizes FTA’s ER Program. Implementation of the provisions of these laws is also informed 

through formal agreements among Federal agencies as described below. 

The Stafford Act 

In 1988, the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 

§§5121-5206) (Stafford Act) established the modern framework for the Federal government to 

respond to disasters in support of State, tribal, and local governments; defined two levels of 

adverse events - emergency and major disaster; and provided for the Federal Disaster Relief 

Fund. This law establishes the process for requesting and obtaining Presidential emergency 

and major disaster declarations, defines the type and scope of assistance available from the 

Federal government, and sets the conditions for obtaining that assistance. FEMA, part of the 

U.S. Department of Homeland Security (DHS), coordinates the response. Additional 

information on the types of assistance available through FEMA under the Stafford Act is 

available online from FEMA. 

3 

Memorandum of Understanding (MOU) with DHS 

In July 2007, the U.S. Department of Transportation (DOT) and DHS entered into an MOU that 

recognizes that DHS has primary responsibility for transportation emergency preparedness and 

response, and that DOT has a supporting role providing technical assistance. Specifically, 

DHS, through FEMA, has the authority to provide grants for planning mass evacuations and to 

coordinate all disaster assistance provided by the Federal government in support of State and 

local government agencies and private organizations, including precautionary evacuations. 

FEMA’s roles now include pre-positioning commodity transportation assets; moving 

commodities, goods, equipment and emergency response personnel; and planning and 

coordinating the evacuation of persons, including accounting for the needs of individuals with 

household pets and service animals before, during, and after an evacuation. The DOT’s 

supporting (technical assistance) roles include reporting damage to transportation infrastructure, 

coordinating alternate transportation services, and coordinating the restoration and recovery of 

the transportation infrastructure. As a component of DOT, FTA is governed by this MOU. 

Moving Ahead for Progress in the 21st Century (MAP-21) 

In 2012, MAP-21 established the authority for FTA to support public transportation agencies 

after an emergency or major disaster. The ER Program (49 U.S.C. 5324) helps States and 

public transportation systems pay for protecting, repairing, and/or replacing equipment and 

facilities that may suffer or have suffered serious damage as a result of an emergency, including 

natural disasters such as floods, hurricanes, and tornadoes. Eligible activities include capital 

projects to protect, repair, reconstruct, or replace public transportation equipment and facilities 

in danger of or having incurred serious damage as a result of an emergency. Operating costs 

related to evacuation, rescue operations, temporary public transportation service; and 

reestablishing, expanding or relocating public transportation route service before, during, or 

after an emergency are also eligible activities. These eligible activities also extend to tribal 

lands. 

Under MAP-21, transit systems affected by a disaster may also utilize funds apportioned under 

the Urbanized Area Formula Program (49 U.S.C. 5307) or the Formula Grants for Rural Area 

Program (49 U.S.C. 5311) under the terms of the ER Program. 

3 FEMA has published “A Guide to the Disaster Declaration Process and Federal Disaster Assistance” online at

https://www.fema.gov/media‐library/assets/documents/6094.

5 
 

Memorandum of Agreement (MOA) with FEMA 

In March 2013, DOT and FEMA signed an MOA that outlines the roles of both agencies in 

providing Federal assistance to repair and restore public transportation systems in those areas 

that the President has declared a major emergency or disaster. Under this MOA, FEMA 

maintains its primary Federal responsibility for emergency preparedness, response, and 

recovery in major emergencies and disasters. However, in the event Congress appropriates 

funds for FTA’s ER Program, FTA has the primary responsibility for reimbursing emergency 

response and recovery costs after an emergency or disaster that affects public transit and for 

helping to mitigate the impacts of future disasters. 

Unified Federal Review (UFR) Memorandum of Understanding (MOU) for coordinated 

environmental and historic preservation reviews in disaster recovery projects 

The Sandy Recovery Improvement Act of 2013 (SRIA) amended the Robert T. Stafford Disaster 

Relief and Emergency Assistance Act by adding Section 429, directing the Administration to 

“establish an expedited and unified interagency review process to ensure compliance with 

environmental and historic requirements under federal law relating to disaster recovery projects, 

in order to expedite the recovery process, consistent with applicable law.” This process aims to 

coordinate environmental and historic preservation reviews to expedite planning and decisionmaking for disaster recovery projects. This can improve the Federal government’s assistance to 

States, local and tribal governments, communities, families, and individual citizens as they 

recover from future presidentially declared disasters. Multiple Federal agencies involved in 

disaster recovery, including DOT, FEMA, and others, entered into an MOU in July 2014 to 

enhance their working relationship by committing to the use of existing and new tools to 

expedite and unify the process for completing environmental and historic preservation reviews 

required for disaster recovery projects, while maintaining the technical rigor and public 

participation associated with those reviews. 

1.3. Emergencies, Disasters, and the Federal Response Framework 

Under the Stafford Act, the Federal government is authorized to support national preparedness 

for disasters, coordinate disaster management and response activities, and assist in recovery 

efforts in the aftermath of a disaster. Different agencies, programs and authorities are 

responsible for this mission. This section describes the key concepts underlying Federal 

assistance, as well as the roles of Federal, State, and local entities in responding to and 

recovering from an emergency or disaster. 

Definition of “Declared Emergency” and “Declared Disaster” 

Traditionally, the term “disaster” describes a large-scale adverse event that overwhelms the 

resources of an affected community. The term “emergency” has multiple definitions, and 

sometimes refers to an adverse event of a less extensive scope, duration, or impact than a 

disaster. It is important to know that Federal programs may use these terms differently, as 

described below. 

The Stafford Act defines a federally declared “emergency” as: 

“any occasion or instance for which, in the determination of the President, Federal 

assistance is needed to supplement State and local efforts and capabilities to save lives 

and to protect property and public health and safety, or to lessen or avert the threat of a 

catastrophe in any part of the United States.” 

6 
 

 

                                                            

The Stafford Act defines a federally declared “major disaster” as: 

“any natural catastrophe..., or, regardless of cause, any fire, flood, or explosion, in any 

part of the United States, which in the determination of the President causes damage of 

sufficient severity and magnitude to warrant major disaster assistance under this Act to 

supplement the efforts and available resources of States, local governments, and 

disaster relief organizations in alleviating the damage, loss, hardship, or suffering 

caused thereby.” 

Section 5324 of Title 49, Chapter 53 (FTA’s ER Program), defines “emergency” as: 

“a natural disaster affecting a wide area (such as a flood, hurricane, tidal wave, 

earthquake, severe storm or landslide) or a catastrophic failure from any external cause, 

as a result of which the governor of a state has declared an emergency and the 

Secretary of Transportation has concurred; or the president has declared a major 

disaster under the Stafford Act.” 

Importantly, as used in this manual, a Federal or State declaration of an emergency or major 

disaster allows a transit agency to obtain additional resources and reimbursement for their 

participation in response and recovery. In the case of a State declaration, FTA must concur 

with the State emergency declaration. 

In the context of FTA’s ER Program, this manual may use the terms “emergency” and “disaster” 

interchangeably to describe a declared event for which FTA may award funding. When referring 

specifically to an “emergency” or “major disaster” under the terms of the Stafford Act, the 

specific context will be identified. 

Overall Federal Response Structure 

Current Federal policy for all-hazards preparedness and disaster management originates from 

Homeland Security Presidential Directive (HSPD) 5, “Management of Domestic Incidents,”4

 and 

Presidential Policy Directive/ PPD-8, “National Preparedness.”5

 HSPD 5 sets Federal policy for 

a structured national framework for disaster response at local, State, and Federal levels, and 

directs the Secretary of Homeland Security to develop and administer the system. PPD-8 sets 

Federal policy for preparing for national disasters and directs DHS to coordinate with other 

Federal agencies to develop and implement all-hazards preparedness in the United States. 

Per HSPD 5 and PPD-8, DHS is responsible for establishing a comprehensive, national, allhazards approach and guidance for preparing for and responding to major emergencies and 

disasters. Issued in 2008 by DHS, and revised in May 2013, the National Response Framework 

(NRF) provides the framework for Federal interaction with State, local, and tribal governments; 

the private sector; and non-governmental organizations (NGOs) during major emergencies and 

disasters. As a foundational document, it discusses resources available through the Stafford Act 

and establishes responsibilities, operational processes, and protocols. The National Disaster 

Recovery Framework, issued by DHS in 2011, provides similar information on roles, 

responsibilities, and processes for disaster recovery. 

DHS and many State governments organize their resources, as well as those of certain privatesector and NGOs, under 15 emergency support functions (ESFs) annexed to the NRF. These 

ESFs may be selectively activated for both Stafford Act and non-Stafford Act declared 

emergencies and disasters. 

4 The full text of HSPD 5 is available at http://www.dhs.gov/publication/homeland-security-presidential-directive-5#. 5 The full text of PPD-8 is available at http://www.dhs.gov/xabout/laws/gc_1215444247124.shtm. 

7 
                                                            

Generally funded by FEMA and led by DOT, Emergency Support Function # 1 – Transportation 

(ESF 1) is an annex to the NRF that provides the structure for coordinating transportation 

support for responses to declared disasters and emergencies. The scope of ESF 1 includes 

movement restrictions, transportation safety, damage and impact assessments, and restoration 

and recovery of transportation infrastructure. Implemented and accounted for at local, regional, 

State and Federal planning levels, ESF 1 ensures appropriate execution of transportation 

support for response and recovery for declared emergencies and disasters at all levels. 

Also issued by DHS in 2008, per HSPD 5, the National Incident Management System (NIMS) 

provides a consistent, coordinated, modular approach for Federal, State, and local governments 

to work efficiently and effectively together in managing disasters based on the incident 

command system (ICS). The NIMS also provides information on mutual aid and assistance 

agreements for local governments, and ICS features the flexibility to assign ESF 1 and other 

stakeholder resources according to their capabilities and response needs.6 

The Transportation Security Administration (TSA) and the Federal Bureau of Investigation have 

primary responsibility for countering a domestic terrorist attack. The TSA Administrator has 

authority under 49 U.S.C. 114(g)7

 to “coordinate” domestic transportation during an emergency 

and to “carry out such other duties, and exercise other such powers” as the Secretary of 

Homeland Security may prescribe. Such coordination has traditionally included the movement 

and routing of trains and traffic on the interstates. 

Disaster Relief Assistance 

Both FEMA and FTA are authorized to award disaster relief assistance to public transit agencies 

that have incurred emergency expenses as a result of a disaster. When and if funding is 

available for FTA’s ER Program, FTA has the primary responsibility of awarding disaster relief 

assistance. If funding is not available under FTA’s ER Program, FEMA has the authority to 

award disaster relief assistance to affected transit agencies. 

Additional information on disaster relief assistance is provided in Chapters 3 and 4 of this 

manual. 

Role of State Governments 

As primary recipients of FEMA funds under Stafford Act programs, State governments are 

responsible for ensuring that potential applicants are aware of the assistance programs; 

assessing applicants’ eligibility for FEMA funds; providing technical advice to eligible applicants; 

submitting necessary paperwork for grant awards; and notifying applicants that funds are 

available. 

States have significant resources to help local governments if they need assistance. These 

resources include emergency management and homeland security agencies, State police, 

health agencies, transportation agencies, incident management teams, specialized teams, and 

the National Guard. 

If a State needs additional resources to respond to an emergency, the State may request 

assistance from other States through interstate mutual aid and assistance agreements such as 

the Emergency Management Assistance Compact. If an emergency is beyond local and State 

capabilities, the Governor can seek Federal assistance. 

The State then collaborates with the impacted communities and the Federal government to 

provide the help needed. 

6

 Additional information on ESF 1 is available at http://www.fema.gov/media-library-data/20130726-1913-25045-

2201/final_esf_1_transportation_20130501.pdf. 7

 The TSA was authorized under 49 U.S.C. Part 114. Subpart 114(g) delineates the TSA’s National Emergency Responsibilities.
 

8 
 

Role of Metropolitan Planning Organizations (MPOs) 

The role of MPOs in regional emergency response planning varies from region to region and 

may include conducting vulnerability analyses on regional transportation facilities, analyzing 

transportation networks for redundancies in moving large numbers of people, and analyzing 

transportation networks for emergency route planning, including strategic gaps in the network 

and services. In addition, MPOs are concerned with ensuring that emergency transportation 

services are available to populations with special needs, such as the elderly, or those with 

disabilities; residents of institutionalized settings; children; those from diverse cultures, including 

individuals who have limited English proficiency or are non-English-speaking; or those who are 

transportation disadvantaged. 

Role of Local Governments 

Local governments (e.g., counties, cities, towns) plan for and respond to emergencies every day 

using their own resources. They also develop and rely on mutual aid and assistance 

agreements with neighboring jurisdictions when they need additional resources. When local 

jurisdictions cannot meet response needs with their own resources or with help from other local 

jurisdictions, they may ask the State for assistance. 

9 
 

Chapter 2: Disaster Preparation Considerations for Transit Agencies 

This chapter provides information and recommendations for practices that transit agencies may 

consider implementing in advance of an emergency or disaster to reduce the impacts (including 

costs and service disruptions) associated with disaster response. 

As explained earlier, transit agencies are responsible for ensuring their preparedness in 

advance of a disaster. In addition, a transit agency is generally the primary responder when a 

disaster threatens to, or directly affects, its system or operations. The recommendations below 

are categorized by the common business units to which they might apply, including planning 

and preparedness, operations, contracting, and capital asset management. 

2.1. Planning and Preparedness 

Develop recordkeeping policy and protocols 

Develop a policy and procedures to document hours of asset use as well as asset losses during 

declared emergencies. Documentation is essential for recovery funding under the Stafford Act 

and FTA’s ER Program. 

Develop and train staff on emergency management plans 

A transit agency’s emergency management plan should address various types and levels of 

emergencies and disasters. It should also address coordination with local governments and 

responders. 

Plan elements should include key personnel contact lists; communications protocols; checklists 

by functional area of actions to be taken; action timelines for before, during, and after an 

emergency; and emergency and disaster response policies, protocols, and procedures. 

Emergency management plans should also include protocols for parking and deploying bus and 

rail fleets and support vehicles during emergencies. These activities include fueling buses and 

support vehicles prior to emergency events; moving buses and support vehicles out of floodprone areas; splitting fleets between two or more locations to minimize loss and maximize 

availability; and parking vehicles in structurally safe facilities where available. 

Transit agencies should train staff and practice their emergency management plans to ensure 

they will be effective when emergencies arise. Transit agencies should conduct periodic 

training sufficient to ensure that all employees are familiar with the agencies’ emergency 

management plans and their own and others’ responsibilities and duties. Transit agencies 

should conduct training drills and exercises at the agency level, and should participate in local 

and State emergency operations center (EOC) exercises. Internal drills should be sufficient so 

that all employees can carry out their agency responsibilities. Through participation in local and 

State EOC exercises, transit agencies can assess whether their employees understand the 

relationships with community partners and passengers, including special-needs passengers. 

Transit agencies should also participate in the development of after action reports (AARs) based 

on their involvement and relationship with the local or regional organization responsible for the 

AAR. 

Most States have emergency management plans that establish a framework through which local 

governments prepare for, respond to, and recover from disasters that affect the residents of 

their jurisdictions. State plans normally address evacuations, sheltering, post-disaster response 

and recovery, deployment of resources, communications, and warning systems, and they define 

the responsibilities of local and State agencies and volunteer organizations. State plans 

describe the basic strategies, assumptions, and mechanisms through which the States mobilize 

resources and take actions to guide and support local emergency management. State plans 

10 
 

                                                            

                         

  

also normally call for annual exercises to determine the ability of State and local governments to 

respond to emergencies. Transit agencies should participate in these exercises. 

Additional information on the development and implementation of a security and emergency 

preparedness plan is available from the American Public Transportation Association’s (APTA’s) 

Recommended Practices program.8 

Develop policies to address personal belongings, pets, and service animals 

In an emergency, evacuees commonly want to bring their pets and personal belongings aboard 

evacuation vehicles. Transit agencies should have policies in place to inform riders about what 

they may carry with them when evacuating. Agencies with “no pet” rules must always allow 

persons with disabilities to ride with their service animals. 

Clarify staff responsibilities and duties 

Transit agencies should clarify the responsibilities and duties of employees during emergencies. 

If the responsibilities and duties are a mandatory part of a job, transit agencies should spell 

them out in job descriptions. If voluntary, transit agencies should obtain commitments from 

employees before assigning staff for emergency response and recovery actions. Transit 

agencies should also encourage employees to make plans with their families so that during 

emergencies the employees are free to perform the agency’s emergency response duties. 

Develop fair employee compensation policies 

Transit agencies should review and, as needed, amend their compensation policies to ensure 

that they do not penalize employees who respond during declared emergencies and disasters. 

For example, policies that do not include overtime pay for extended work hours during 

emergency evacuations may realize short-term economic savings, but may negatively impact 

employees’ willingness to respond in the future. As appropriate, compensation for employees 

volunteering during declared emergencies and disasters may be negotiated in advance with 

employee unions. 

Add volunteers to bus operations 

Transit agencies may consider allowing volunteer staff from other organizations to assist bus 

operations in loading and unloading evacuees and in communicating with pick-up points, 

shelters, and other locations during evacuations. If transit agencies allow volunteers from other 

organizations, these volunteers should participate in training, drills, and exercises sufficient to 

carry out their responsibilities. Transit agencies may also want to provide volunteers with 

suitable attire (e.g., vests) to identify them to both transit employees and evacuees. 

Provide employee support and assistance 

Transit agencies should evaluate the types of support that may be most useful and practicable, 

such as emergency shelter for family members, employee assistance programs, and day care. 

Educate passengers 

Transit agencies should provide passengers with both general preparedness information and 

specific directions for how to access transportation services during an emergency or other 

incident. Transit agencies should provide the information in formats suitable for the populations 

they serve, including special needs passengers. 

8 Additional details on APTA’s recommendations for emergency response planning are available at

http://www.apta.com/resources/standards/Documents/APTA‐SS‐SRM‐RP‐001‐09.pdf.

11 
 

                                                            

                         

Public information messages should be planned and coordinated with other local entities to 

ensure that people have access to emergency relief and essential services during and after an 

incident, not just access to and from transit stations or locations. 

Backup communication systems 

Transit agencies should prepare for disruptions in their communications systems by creating 

redundancies such as hard copies of communications protocols and contact information and 

backups of electronic versions of passenger records and manifests for scheduling and 

dispatching during paratransit operations. Power outages may also limit telephone 

communications, especially if they are routed through internal systems. Additional information 

on Emergency Communication Strategies for Transit Agencies is available from APTA’s 

Recommended Practices program. 

9 

Coordinate and pre-plan evacuation of special populations 

Working proactively with MPOs, local governments, and their local EOCs, transit agencies 

should, as needed, develop a plan to assist with evacuations for special needs populations. 

Special paratransit scheduling software can facilitate evacuation planning for these populations. 

In addition, by working with community health and human service agencies, transit agencies 

and/or other government entities responsible for emergency management can identify 

individuals who need special transportation assistance at various locations and pre-establish 

pick-up locations for transport of these groups. 

Prior to emergencies, transit agencies should work in cooperation with the locally responsible 

emergency management agency to create agreements and coordinate information sharing with 

special needs facilities that have pre-planned destinations for their patients to facilities that can 

provide specialized care. Transit agencies can also plan in advance the scheduling, 

dispatching, and rider notification processes needed during an evacuation. Transit agencies 

should also proactively develop a plan for the evacuation of passengers who require pick-up at 

individual locations. 

In regions that provide fixed-route transit, portions of the regions’ populations use Americans 

with Disabilities Act (ADA) complementary paratransit systems. Transit agencies with ADA 

paratransit systems should assess their system’s capacity to provide emergency evacuation to 

paratransit users as well as other individuals with disabilities in the community. 

As possible, transit agencies and/or other government entities responsible for emergency 

management should work with local governments and non-government organizations to: 

	 Identify and address linguistic, institutional, cultural, economic, and historical barriers 

that may prevent special needs populations from participating in the agencies’ planning 

process; 

	 Identify areas with special needs populations (i.e., populations who may need additional 

response assistance, such as those with disabilities; in institutionalized settings; who are 

elderly; children; from diverse cultures; with limited English proficiency or are nonEnglish-speaking; or who are transportation disadvantaged); 

	 Partner with and provide emergency transportation plans and information to local socialservice, culture- and faith-based, and other nonprofit organizations so that these 

organizations can educate their transit-dependent constituents on transportation 

services available during emergencies; and 

9 Additional details on APTA’s recommendations for emergency communication strategies are available at

http://www.apta.com/resources/standards/Documents/APTA‐SS‐SEM‐RP‐009‐09.pdf.

12 
 

 

                                                            

             

	 Share information with partner agencies and organizations on coordinating vehicles, 

operators, dispatch, and technologies for passenger evacuation and transport. 

For more information on communication with special populations, see Transit Cooperative 

Research Program (TCRP) Report 150, “Communicating with Vulnerable Populations: A 

Transportation and Emergency Management Toolkit.”10

2.2. Operations 

Pre-establish alternate and/or evacuation routes 

For advance-notice emergencies (e.g., hurricanes, floods), transit agencies should, to the extent 

possible, pre-establish alternate and/or evacuation routes and vehicle assignments to facilitate 

quick response and expedite implementation of services, and to allow passengers, especially 

transit-dependent passengers, to be aware of these services. 

Identify pick-up point, shelter, and treatment center points of contact (POCs) and protocols 

The logistics of getting people to and from pick-up points, shelters, and treatment centers during 

emergencies may be challenging. Incomplete information or lack of a single POC for each 

point, shelter, or center can lead to inefficiencies. Transit agencies that are responsible for 

emergency evacuations should work with local first responders, EOCs, or other designated 

emergency coordination centers to establish POCs for each point, shelter, or center for 

accessing vehicles; coordinating arriving and departing vehicles; escorting passengers into 

processing areas; and arranging for return trips. 

Purchase and install batteries and electrical generators 

In anticipation of loss of electrical power, transit agencies should purchase extra batteries for 

portable radios and cell phones. Transit agencies should also purchase and install vehicular 

chargers for both radios and cell phones. 

Transit agencies should also purchase and install backup generators to allow critical emergency 

functions to resume as quickly as possible following an emergency. Ideally, the generators 

should power all transit facility functions. At a minimum, they should be able to power fueling 

systems; radio communications; computerized scheduling and dispatching systems; and lights, 

electrical outlets, and shop equipment to allow transit agencies to maintain service until normal 

power is restored. 

Fuel fleet and staff vehicles prior to an emergency when possible 

To ensure that fleet and support vehicles are fueled prior to an emergency, transit agencies 

should place fueling on the action checklists in their emergency response plans. 

Recommendations for bus contingency fleets 

Transit agencies may place buses in an inactive contingency fleet (stockpile) in preparation for 

emergencies. However, transit agencies may not stockpile buses acquired with FTA funding 

before they have reached the end of their minimum normal service life. Transit agencies must 

store and maintain the buses in their contingency fleet, and must document them in a 

contingency plan, updated as necessary, to support continuation of the fleet. 

Consider fare suspension 

Transit agencies should consider establishing no-fare policies and operational plans that could 

be implemented as part of emergency evacuations. Fare-suspension policies facilitate vehicle 

10 This report is available online at: http://onlinepubs.trb.org/onlinepubs/tcrp/tcrp_rpt_150.pdf.

13 
 

                                                            

                       

boarding, eliminate the money-handling and other security problems related to fare collection, 

and are user-friendly to first-time users. 

Coordinate with local human services organizations and schools 

In conjunction with Federal, State, local, and tribal emergency management structures, transit 

agencies should establish relationships with local human services and health care 

organizations, schools, and other NGOs (e.g., Red Cross, Salvation Army) that have access to 

transportation departments or other transportation resources (e.g., vehicles, drivers, fuel, 

maintenance facilities) available for emergency response. Availability of accessible, smaller, or 

specialized vehicles may be especially important. 

Establish a Continuity of Operations Plan (COOP) 

Transit agencies should consider establishing a continuity of operations plan (COOP) that 

details how an agency will respond to an incident that may interrupt existing business or service 

operations. In such cases, various levels of leadership or staff may not be able to carry out their 

typical functions. A COOP can ensure that an agency has clearly defined backup procedures 

that will enable an agency to continue to maintain and support its most critical functions. 

Additional information on COOP planning is available under APTA’s recommended practices 

program. 

11

2.3. Contracts 

Federal Contracting Provisions 

Federal procurement standards established in 2 CFR Part 220.317-326 permit the use of a 

noncompetitive procurement when the circumstances of an emergency (or public exigency) 

would not permit a delay resulting from competitive solicitation. Accordingly, based on the 

circumstances of a disaster, emergency preparation and response activities and temporary 

repairs conducted immediately preceding, during or after a disaster may not be required to 

conduct a competitive procurement or comply with relevant Federal contracting provisions. 

It is very important to document the emergency or exigent circumstances at the time of the 

procurement. Once the exigent or emergency circumstances no longer exist, agencies may 

need to competitively bid those contracts. 

In addition, under the regulations governing the ER Program, FTA may determine that Federal 

contracting requirements generally do not apply for certain emergency response costs incurred 

within a 45-day period after a declared disaster. FTA recognizes that timing is critical in the 

aftermath of a disaster and some work may need to be procured under expedited contracting 

procedures. However, recipients are advised that while immediate response and recovery costs 

may be permitted to use an expedited procurement process, this extended 45-day waiver period 

is not automatically granted. 

In the event FTA has not proactively waived certain requirements, recipients are encouraged to 

seek a waiver through the process outlined in 49 CFR part 601, as described in section 4.2.7 

and as included in Appendix B. 

Consider just-in-time contracts 

Transit agencies should consider just-in-time contracts as a way to aid continuation of service 

during emergencies. Agencies should consider including Federally required contract provisions 

11 Additional details on APTA’s recommendations for COOP planning are available at

http://www.apta.com/resources/standards/Documents/APTA‐SS‐SEM‐S‐001‐08.pdf

14 
                                                            

in these contracts in case they decide to submit these costs for subsequent Federal 

reimbursement either after the emergency waiver period or in case a waiver is not granted. 

Develop MOAs or mutual aid agreements 

Transit agencies should develop MOAs or mutual aid agreements with other relevant 

organizations and agencies in the same or adjoining communities or areas. These agreements 

should formalize and authorize assistance during emergencies, including addressing financial 

reimbursements to service providers. 

2.4. Capital Projects and Asset Management 

Incorporate asset resilience in transit asset management planning 

Transit agencies should consider current and future climate and weather-related hazards as 

part of their transit asset management processes and procedures. The projected impacts of 

climate change associated with greenhouse gases may include the increased frequency and 

severity of hazards such as heavy rainfalls, coastal and riverine flooding, heat waves, extreme 

cold, and wind events. These weather events and disasters may directly impact assets located 

in vulnerable areas, and may affect how an agency identifies and prioritizes necessary hazard 

mitigations, asset replacement schedules, or the expected useful service duration of capital 

assets. 

Consider climate-related hazards in capital project engineering and design 

When designing major capital projects, transit agencies should consider potential hazards that 

may affect an asset over the course of its anticipated useful lifetime, and they should develop 

and evaluate potential mitigations that would reduce possible damage to the newly constructed 

asset. Mitigations included in the initial design of new capital projects are typically much more 

cost effective than those designed and built after a project is completed. 

Develop and prioritize projects to harden assets to potential disasters 

As part of transit asset management planning, transit agencies should develop a list of potential 

hazard mitigation projects to physically protect existing assets from current and future 

vulnerabilities. These projects should be evaluated and prioritized using a hazard mitigation 

benefit cost analysis12 to achieve the greatest possible reduction in potential damages and 

service interruptions based on the amount of capital funding that may become available. FTA is 

aware that hazard mitigation projects must compete for funding with other needed investments, 

and recommends that transit agencies carefully evaluate the benefits and costs of such projects 

in order to properly understand the potential value of such projects when deciding what projects 

to fund. At a minimum, agencies should consider the criticality of vulnerable assets to the overall 

transit system, the vulnerability of such assets to various threats, and the costs associated with 

protecting or replacing the asset. 

Transit agencies should ensure that new transit facilities are designed to withstand natural 

disasters and other emergencies, and to provide shelter for agency personnel. Transit agencies 

should assess existing facilities to determine any practical proactive engineered retrofits and 

administrative actions, and implement retrofits as practicable. The cost for physically protecting 

transit facilities, also known as hardening, is an eligible expense in FTA grant applications. 

From time to time, FTA may make funding available under the ER Program for projects that 

12 For example, FTA developed a Hazard Mitigation Cost Effectiveness Tool for use by applicants for competitive resilience funding 

in response to Hurricane Sandy. Background information on this tool can be found at http://www.fta.dot.gov/emergencyrelief. 

Additional resources on this topic are available from FEMA at https://www.fema.gov/benefit-cost-analysis. 

15 
 

improve the resilience of transit systems, including hardening projects. Hardening projects may 

also be eligible for funding under FEMA’s Hazard Mitigation Grant Program. 

16 
                                                            

Chapter 3: Overview of Disaster Response and Recovery Funding and Resources 

This chapter provides an overview of disaster response and recovery assistance available 

through FTA, FEMA, and other sources. This assistance includes reimbursement for 

emergency-related expenses, support for emergency transit service, and technical support in 

responding to a disaster. 

Regardless of the source of emergency assistance, it is very important that a transit agency 

affected by a disaster keep clear and complete records of all resources spent and actions taken 

during disaster response. Without adequate recordkeeping from the very start, a transit agency 

may be unable to verify its eligible emergency-related expenditures. At a minimum, transit 

agencies should maintain the following records: 

 Mutual aid agreements 

 Service or resource requests and funds/resources expended in providing requested 

services. (Transit agencies should register service and resource requests with State 

and local EOCs.) 

 Physical assets, personnel, and supplies used in the emergency 

 Damage assessments for vehicles, facilities, and equipment, and estimates or costs of 

repair or replacement 

 Contracts and procurement documentation 

The remainder of this section explains the multiple Federal programs that are available for 

disaster relief and how they interrelate. 

3.1. Federal Transit Administration 

Although the Stafford Act is the most familiar mechanism by which the Federal government 

provides support to State and local governments, it is not the only one. Often, Federal 

assistance does not require coordination by DHS and can be provided without a Presidential 

major disaster or emergency declaration. In these instances, Federal departments and 

agencies provide assistance to States, as well as directly to local jurisdictions, consistent with 

their own authorities. This support is typically coordinated by the Federal agency with primary 

jurisdiction rather than DHS. 

In general, FTA has broad flexibility under its planning and capital funding programs for States, 

metropolitan planning authorities, and transit agencies to spend FTA funds for emergency 

preparedness and response planning and for capital security projects. FTA can also hire private 

sector contractors to provide assistance to transit agencies in disaster areas to support transit 

planning, operations and engineering, and project management. 

Although Federal transit law at 49 U.S.C. 5334(b)(1)13 prohibits FTA from regulating transit 

operations, the FTA may regulate the operation of federally funded transit systems (public 

transportation grantees) for national defense purposes or in the event of a national or regional 

emergency. 

Emergency program authority 

As established by MAP-21 and codified at 49 U.S.C. 5324, FTA has authority to develop and 

implement an ER Program to provide financial assistance to public transportation systems, 

including FTA grantees (grant recipients) and sub-grantees (subrecipients), in restoring public 

transportation services and in repairing and reconstructing public transit assets to a state of 

good repair following declared emergencies or disasters. In conjunction with repair and 

13 Section 5334 of Title 49 establishes general administrative provisions for the Federal transit program. 

17 
 

 

                                                            

                                         

                               

reconstruction, FTA may award funding for projects that increase the resilience of transit 

systems to future emergencies and disasters. 

Before FTA can award disaster assistance under the ER Program, Congress must first 

appropriate funding for the program. For example, Congress may appropriate funding as a 

general appropriation to the program or as a supplemental appropriation tied to a specific 

disaster. Should funding be available under the ER Program, FTA will be the primary Federal 

agency responsible for reimbursing affected transit agencies. If sufficient funding is not 

available under the ER Program, FEMA may provide disaster relief to affected transit agencies. 

Grantees should contact their FTA Regional Office to determine whether FTA ER funds are 

available and for information on how to proceed with requesting Federal disaster relief 

assistance. 

FTA funding may equal up to 80 percent of project costs for capital and operating projects. The 

FTA Administrator has the authority to waive the non-Federal share, and FTA may also defer 

the local share. FTA’s final rule, at 49 CFR Part 602, Emergency Relief, is reproduced in full in 

Appendix A. The final rule includes grant eligibility requirements and application procedures 

and explains pre-award authorities and the types of activities that are eligible for relief funding. 

Transit operators impacted by a disaster or emergency should contact their FTA Regional Office 

to determine whether ER funds are available. If FTA ER funds are available, grantees will work 

with FTA, not FEMA, for reimbursement of emergency-related expenses. This process is 

outlined in Figure 3-1. Grantees are advised that FTA and FEMA will ensure that emergency 

assistance is not duplicated under either program. 

If FTA ER funds are unavailable, grantees may pursue funding from FEMA and may also utilize 

formula funds apportioned for the Section 5307 or Section 5311 programs for costs eligible 

under the ER Program.14 

If a grantee draws down formula funds to reimburse emergency expenses, these funds may not 

be replaced or restored with ER funds if funding is subsequently made available under the ER 

Program. However, FTA may allow a grantee to use any unexpended formula funds awarded 

for emergency expenses for other purposes under the applicable formula program. FTA 

recommends that grantees follow both FTA and FEMA procedures until it is clear whether 

funding will be available for FTA’s ER program. 

FTA also has an ER docket to allow waivers from administrative requirements during declared 

emergencies and disasters. Appendix B describes procedures for FTA grantees and subgrantees in petitioning the FTA Administrator for temporary relief from the provisions of chapter 

53 of Title 49, U.S.C., as well as any FTA policy statement, circular, guidance document, or rule, 

as provided in 49 CFR Part 601, Subpart D. 

Funds for emergency transportation services under FTA’s ER Program 

Under FTA’s ER Program, grantees may be reimbursed for emergency transportation services. 

This includes any temporary service that is outside the scope of an affected transit system’s 

normal operations, including, but not limited to, evacuations; rescue operations; bus, rail or ferry 

service to replace inoperable rail service or to detour around damaged areas; additional service 

to accommodate an influx of passengers or evacuees; returning evacuees to their homes after 

the disaster or emergency; and the net project costs related to reestablishing, expanding, or 

relocating public transportation service before, during, or after an emergency or major disaster. 

14 Formula funds may be used for costs eligible under the ER Program, but continue to be subject to the program

and grant requirements of the program under which they were apportioned, unless otherwise determined by FTA.

18 
Figure 3-1 Federal Transit Administration's Emergency Relief Program Process 

19 
 

Funds for capital equipment and facility replacement under FTA’s ER Program 

For transit agencies whose vehicles, capital equipment, or facilities are damaged during a 

declared emergency or disaster, FTA’s ER Program will fund capital projects undertaken for the 

purpose of repairing, replacing or reconstructing seriously damaged public transportation 

system elements, including rolling stock, equipment, and facilities and infrastructure as 

necessary to restore the elements to a state of good repair. 

3.2. Federal Highway Administration 

Section 125 of Title 23, U.S.C., authorizes the FHWA ER Program to provide funds for the 

repair or reconstruction of Federal aid highways and roads on Federal lands that have suffered 

serious damage as the result of natural disasters or catastrophic failures from external causes. 

Overview of FHWA ER Program 

Historically, Congress appropriates approximately $100 million annually to the FHWA ER 

Program, and occasionally provides additional funds through supplemental appropriations. 

Typically, an incident must cause at least $700,000 in eligible damages for the incident to 

qualify for FHWA ER Program funding; damages less than that are generally considered to be 

heavy maintenance or routine repairs, which are ineligible for the program. By policy, a 

minimum of $5,000 per repair site is used to determine if sites are eligible for funding. By 

statute, the FHWA ER Program funding is limited to the cost of repair or reconstruction of a 

comparable facility. However, design and construction repairs should consider the long-term 

resilience of the facility using a risk-based analysis to ensure the repairs are cost-effective and 

reduce the potential for future losses. 

The FHWA ER Program funds two categories of work: emergency repairs and permanent 

repairs. Emergency repairs that restore essential travel, minimize the extent of damage, or 

protect remaining facilities and are accomplished in the first 180 days after the incident occurs 

are reimbursed at 100 percent Federal share. The 180-day limit may be extended if a State 

cannot access a site to evaluate damages and the cost of repairs. Permanent repairs to 

Interstates are reimbursed at a 90-percent Federal share; permanent repairs to all other 

Federal-aid roads are reimbursed at an 80-percent Federal share. State Departments of 

Transportation must submit a notice of intent to request ER Program funds to their FHWA 

Division Office located in their State to begin the application process. States must submit an 

application for FHWA ER Program funding within two calendar years of the date of the disaster. 

The application should include a comprehensive list of all project sites and repair costs. 

Funds for Transit Services 

In some cases, transit services may be eligible for reimbursement under the FHWA ER 

Program. For example, if a road or bridge has been damaged or destroyed by a disaster, and a 

temporary structure or alternate route is not practical as a temporary connection, additional 

detoured or temporary ferry or other transit services may be eligible for reimbursement under 

FHWA's ER Program. 

Eligible costs under such a scenario could include the cost of the ferryboat or transit vehicle, 

less salvage value; reasonable rental fee for the ferryboat or transit vehicle; maintenance and 

operation of the temporary ferry or transit service; and docking and loading facilities. 

When multiple Federal disaster funding programs are in effect, FTA coordinates closely with 

FHWA and FEMA to ensure eligibility of activities and to avoid duplication of resources. Transit 

systems are advised to contact their FTA Regional Office to determine whether funding may be 

20 
         

       

available under the FTA ER Program before seeking funding through the FHWA ER Program. If 

FTA funding is not anticipated, FTA may be available to assist transit systems in seeking 

funding under the FHWA ER Program. 

For additional information, please consult FHWA’s Emergency Relief Manual, which provides 

guidance for transit agencies on applying for emergency relief funds from FHWA 

(http://www.fhwa.dot.gov/reports/erm/er.pdf). 

3.3. Federal Emergency Management Agency 

FEMA is authorized under the Stafford Act to make funding for emergency- and disaster-related 

activities available through three major grant programs: Individual Assistance; Public 

Assistance (PA); and Hazard Mitigation Assistance. FEMA is responsible for educating States, 

the primary recipients of grant funding under the programs, about the programs and the 

procedures for applying for funds. 

Under the Stafford Act, FEMA coordinates Federal assistance to supplement State and local 

government response to declared emergencies and disasters. The NRF outlines the progress 

of events leading to a response by local, State, and Federal resources, as shown in Figure 3-2. 

EMAC: Emergency Management Assistance Compact

EOC: Emergency Operations Center

Figure 3-2 Overview of Stafford Act Support to States 

(Source: http://www.fema.gov/pdf/emergency/nrf/nrf-stafford.pdf) 

Under the Stafford Act, States can request assistance from FEMA to provide emergency transit 

services to assist a community or regional area to recover from the effects of a disaster. In 

21 
addition, FEMA assistance is available to transit agencies to help replace or repair vehicles, 

equipment, and facilities that are damaged or destroyed during a disaster, only if FTA does not 

have funds available. 

Funds for emergency transportation services under the Stafford Act 

FEMA assistance is available for reimbursement of costs associated with evacuations and other 

emergency transportation needs. In addition, FEMA can directly provide (through contract or 

mission assignment) temporary public transportation services to meet emergency needs and 

provide transportation to government offices, employment centers, and other places, as 

necessary, to enable the community to resume its normal pattern of life as soon as possible. 

However, emergency public transportation service is intended to supplement, not replace, predisaster transportation facilities that remain operable after a major disaster. FEMA funding for 

such transportation is discontinued as soon as the emergency needs are met. Stafford Act 

assistance is generally provided at a 75 percent Federal share. 

Funds for capital equipment and facility replacement under the Stafford Act 

For transit agencies whose vehicles, capital equipment, or facilities are damaged during a 

declared emergency or disaster, the PA program under the Stafford Act makes provisions for 

Federal reimbursement for permanent work, including repairs, restoration, or replacement of the 

damaged assets. Stafford Act assistance is generally provided at a 75-percent Federal share. 

3.4. State, Regional, and Local Resources 

During Presidentially-declared emergencies and disasters, funds available through Stafford Act 

programs flow from FEMA to affected States, then grantees. The States identify potentially 

eligible projects; identify the local cost share (up to 25 percent); notify sub-grantees that funds 

are available; and disburse the funds. 

Transit agencies may receive FEMA funds directly from States or through lower-tier 

organizations or agencies, such as regional emergency management coordinating 

organizations, depending upon State and jurisdictional agreements. 

Transit agencies that receive funds under Stafford Act programs are accountable to States for 

use of the funds. They must provide documentation and personnel to work with FEMA and the 

State in assessing damages, completing application processes, and identifying all damages to 

the State and FEMA for reimbursement. 

3.5. Non-governmental and Nonprofit Organizations 

APTA 

APTA coordinates information about the availability of buses during declared emergencies and 

disasters. Through this coordination, available transit buses from cooperating transit agencies 

can be available nationwide to supplement emergency transit services. 

FTA partnered with APTA to develop the Emergency Response and Preparedness Program 

(ERPP), an online “mutual aid” tool (http://www.aptaerpp.com/) to assist transit systems and 

industry entities in accessing resources to prepare for or respond to an emergency or disaster. 

Community Transportation Association of America (CTAA) 

CTAA staff and members of its peer network may provide hands-on assistance in reestablishing 

disrupted transit service and providing consultants to transit agencies on a short-term basis. In 

addition, Community Transportation Lending Services, Inc. 

(http://web1.ctaa.org/webmodules/webarticles/anmviewer.asp?a=53&z=36) may provide shortterm financing for transit agencies affected by declared emergencies or disasters. 

22 
American Bus Association 

The American Bus Association provides coordination and assistance for intercity evacuations, 

as transit buses may be limited by fuel availability and range. 

23 
 

 

Chapter 4: Federal Transit Administration Emergency Relief Program Policies and 

Requirements 

This chapter provides detailed guidance for transit agencies seeking or receiving funding under 

FTA’s ER Program. 

4.1. Program Overview 

The ER Program was established to allow FTA to make grants to public transportation systems 

for costs associated with preparing for, responding to, or recovering from, declared emergencies 

or disasters. 

The policies and requirements that apply to recipients of ER funds are in some ways different 

than those that apply under other FTA grant programs. In some cases, when permitted under 

both law and program regulations, FTA may waive certain requirements or, if necessary, 

establish additional requirements for recipients of ER funding. Additional requirements may 

include increased milestone or financial reporting, reporting of insurance proceeds, enhanced 

project oversight, or other conditions that FTA determines are necessary. Any variation from 

the standard requirements listed in this manual will be published at the time funding is allocated 

in response to a declared emergency or disaster, and may be incorporated as part of the special 

conditions for a grant made under the ER Program. Any special requirements will be published 

as early as possible to ensure that affected recipients are able to retain eligibility for costs 

incurred as a result of a disaster. This section of the manual provides standard guidance that 

applies to the ER Program as a whole. 

The guidance provided in this chapter applies for funding allocated through the FTA ER 

Program, as well as for funds apportioned under 49 U.S.C. 5307 and 49 U.S.C. 5311 and 

awarded for ER under 49 U.S.C. 5324(d). 

4.1.1 Eligible Recipients 

Eligible recipients of FTA ER funding are entities that receive Federal transit funding directly 

from FTA, whether as a State, a designated recipient of 5307 Program funding, or as a direct 

recipient of program funds. Eligible recipients are typically States, local government authorities 

and public transit systems. Eligible recipients may apply for FTA ER Program funds on behalf of 

themselves and any subrecipients. 

Eligible subrecipients are entities that provide public transportation service, but do not receive 

funding directly from FTA. Eligible subrecipients may receive FTA ER funds as a subrecipient of 

an eligible recipient. Potential subrecipients should contact the appropriate FTA Regional Office 

for assistance in determining whether a direct FTA recipient in their geographic area may be 

willing to apply on their behalf. 

All recipients or subrecipients must be located in geographic areas for which an emergency or 

disaster has been declared (as defined in 49 U.S.C. 5324 and 49 CFR Part 602) in order to 

apply for FTA ER Program funds. A process for evaluating recipient eligibility is included in 

Figure 4-1. 

24 
Figure 4-1 Process for Evaluating Federal Transit Administration Emergency Relief 

Program Recipient Eligibility
 

4.1.2 Application Process and Allocation of Emergency Relief Funding 

In the event of an emergency or major disaster affecting public transportation systems, FTA will 

consult with the affected transit systems to determine the scope and extent of damage or the 

existence of other eligible costs. If a presidential or State declaration of an emergency or major 

25 
 

disaster is in effect, the affected transit systems may be eligible for reimbursement of eligible ER 

costs through FTA’s ER Program. 

Overview of the Allocation Process 

The availability of ER assistance under FTA’s ER Program is contingent upon a Congressional 

appropriation of funding to the program on a general basis or for a specific disaster. Affected 

transit systems should contact their respective FTA Regional Office to determine whether ER 

Program funds are available. If funds are limited or unavailable, the Regional Office may 

facilitate communication with other funding agencies. Please refer to Appendix D for FTA 

Regional Office contact information. 

If eligible ER costs have been identified, and funding is available for the ER Program, FTA will 

make ER funding available to affected transit systems by soliciting funding requests from 

affected transit systems. 

FTA will clearly identify what application requirements and supporting documentation is needed. 

FTA may require specific information to support that costs were incurred within the 45 day 

period following the emergency or major disaster, such as contracts, requests for proposals, or 

items to support force account costs. The type of documentation required will be identified in the 

specific solicitation of funding requests. 

If necessary, FTA may prioritize the types of projects to which funding is made available. The 

prioritization of funding may be based on the overall amount and character of eligible expenses, 

estimated damages, availability of program funds, and type of relief most needed. 

Preliminary Field Survey 

The first step in applying for FTA ER Program assistance is for the applicant to complete a 

preliminary field survey and submit a damage assessment report to FTA in accordance with 49 

CFR 602.17. Transit systems requesting ER funding are required to complete a preliminary field 

survey to determine the general type and extent of damages sustained as the result of an 

emergency or major disaster, and to submit this information to FTA as a damage assessment 

report. The field survey and damage assessments are intended to summarize the extent of 

damages caused by a disaster, and are not detailed cost estimates for subsequent repair 

projects. The field survey and damage assessment will be used to ascertain the extent of 

damage to transit infrastructure and the need to allocate ER funding in response to the 

emergency. Applicants have 60 days from the onset of the incident period to complete their 

preliminary field surveys and submit their damage assessment reports. 

The preliminary field survey should be made as soon as it is practical and safe to do so after an 

incident. If a Federal declaration is anticipated, transit agencies should contact their FTA 

Regional Office to coordinate their efforts with other local and State agencies and FEMA to 

reduce duplication of effort and to ensure that information is included in the joint FEMA-State 

preliminary damage assessments that inform the Federal declaration process. If the availability 

of FTA ER funding is not known in the immediate aftermath of the disaster, the transit agency 

should work closely with both FEMA and FTA to ensure the broadest eligibility for potential 

reimbursement. 

Preliminary field surveys are usually accomplished using a boots-on-the-ground approach, 

wherein the applicant’s personnel (or contractors) walk around the damaged site to record their 

observations in written notes and photographs and/or videos. Another approach is the 

“windshield” or “dashboard” method, during which an applicant’s personnel (or contractors) drive 

around the impacted area, usually two people to a vehicle, so that one person can take notes 

and pictures while the other drives. Aerial inspections can be used to estimate initial damages 

26 
followed by more detailed inspections, particularly if a geographic area is not immediately 

accessible after the event. 

Regional FTA personnel participate in preliminary field surveys, to the extent practicable, when 

the applicant requests technical assistance or if the Regional Office determines FTA personnel 

should participate in the inspection process. 

Damage Assessment Report 

After the preliminary field survey is complete, potential recipients are required to submit a 

damage assessment report to FTA. The damage assessment report will document the 

damages observed in the field and summarize the overall impact of the disaster for FTA, which 

will then determine whether public transportation assets sustained serious damage as a result 

of the emergency or disaster. Damage assessments should be organized by grant recipient, 

subrecipient, or, in the case of large complex recipients, by operating unit. A geographic 

breakdown by State or political subdivision may also be appropriate. 

FTA does not require that applicants use a standard format for the damage assessment report. 

However, each report should contain, at a minimum, the following information: 

1. Specific location, type of facility or equipment, nature and extent of damage 

2. The most feasible and practical method of repair or replacement 

3. A preliminary cost estimate to restore, replace, or reconstruct the damaged 

system/element, including any temporary repairs to return the system/element to 

operation or reduce further damage before permanent repairs are completed. 

4. A description of potential environmental and historic impacts from the disaster or as a 

result of the proposed repair or replacement 

5. Photographs showing the type and extent of damages and/or sketch maps depicting the 

damaged areas 

If available, the following information may also be included in the damage assessment report: 

1. Recommended resilience projects to protect equipment and facilities from future 

emergencies or major disasters 

2. Evaluation of reasonable alternatives (including change of location, addition of 

resilience/mitigation elements, and any other reasonable alternatives) for any damaged 

transit facility that has previously been damaged and repaired or replaced as a result of 

an emergency or major disaster. 

In addition to FTA Regional Office personnel, FEMA and FHWA personnel who are familiar with 

the field survey process may provide additional guidance and support in completing the surveys 

and the damage assessment reports. Damage assessment reports should be submitted to the 

FTA Regional Administrator by email, using the contact information available on FTA’s website. 

Allocation and Award Process 

After the applicant has submitted the damage assessment report to the appropriate FTA 

Regional Office, and has been notified that funding is available, either through an official notice 

or a letter of allocation, the applicant may then submit an application for recovery funding 

through FTA’s electronic award management system. A grant application in FTA’s electronic 

award management system must include detailed information about each eligible project activity 

and expense, as well as information indicating that all applicable FTA and cross-cutting Federal 

requirements have been met. 

27 
 

The FTA Regional Office may provide technical assistance to applicants in the preparation of 

grant applications. FTA personnel will review submitted grant applications for the eligibility of 

the submitted expenses and the consistency of the application with applicable rules and 

requirements. The timeline for review and approval of a grant application is dependent upon the 

scope and complexity of the proposed activities and expenses and the applicant’s previous 

familiarity with the grant application process. 

After FTA approval and obligation, and the recipient’s execution of the grant agreement, the 

recipient may draw down funding for reimbursement of eligible expenses using FTA’s electronic 

payment system. 

Grant Reporting Requirements 

Unless otherwise specified in the grant, FTA’s standard quarterly reporting requirements will 

apply. Grantees will be required to submit a quarterly Federal Financial Report (FFR) and a 

detailed milestone progress report identifying all activities undertaken in the previous quarter for 

each project. Under certain circumstances, more frequent reporting may be required. 

4.1.3 Eligible Projects and Costs 

ER Program funds may be used to repair, replace, or reconstruct public transportation assets 

that are in danger of being damaged, or have been seriously damaged by an emergency or 

disaster, and to reimburse affected transit systems for eligible operating costs. Specific 

information on eligible and ineligible expenses is addressed below. 

FTA will not award ER funding for costs that have been reimbursed by another Federal agency, 

that have been funded through insurance proceeds, or that are already funded in an existing 

FTA grant. See Section 4.3 of this chapter for additional guidance on the allocation and 

treatment of insurance proceeds. 

The categories of projects that are eligible for funding under FTA’s ER Program include: 

Emergency Operations 

Emergency operations include temporary services carried out by public transportation providers 

that fall outside the scope of their normal operations, and may be undertaken to prepare for or 

respond to an emergency or disaster. The costs of emergency operations are considered 

operating expenses. 

Examples of emergency operations include: 

i. evacuations 

ii. rescue operations 

iii. temporary bus, ferry, or rail service to replace an inoperable service or to detour around 

damaged areas 

iv. temporary service to accommodate increased numbers of passengers or evacuees 

resulting from the event 

v. returning evacuees to their homes after the emergency or disaster 

vi. reestablishing, expanding, or relocating public transportation service before, during, or 

after an emergency or major disaster 

vii. relocating rolling stock or spare parts necessary for system operation from a threatened 

or impacted area to a safer area to protect it from (additional) damage. 

Emergency Protective Measures 

28 
Emergency protective measures are capital expenses incurred immediately before, during, or 

after an emergency to protect public health and safety or property. These projects lessen or 

eliminate an immediate threat to public health or safety, or eliminate or lessen the immediate 

threat of significant damage or additional damage to the applicant’s real property or other assets 

in a cost-effective manner. 

Examples of emergency protective measures include, but are not limited to, the capital costs 

associated with: 

i. Emergency communications – In some cases, regular means of communications used 

by a public transportation agency might be damaged by the emergency or major disaster 

such that the agency cannot carry out its duties to respond to the disaster and/or provide 

essential community services. A temporary communication system might be needed to 

supplement the portion of the communication system that remains operable to facilitate 

the agency’s emergency operations. Only measures that are taken to supplement the 

inoperable portions of the system are eligible for reimbursement; the emergency system 

should not expand beyond the capabilities of the existing (but temporarily inoperable) 

system. 

ii. Security forces – Additional police and security personnel may be needed at public 

transportation facilities in the disaster area to keep people safe and/or to protect transit 

assets. 

iii. Sandbagging – Sandbags might be filled and placed in a manner to protect an 

applicant’s assets. 

iv. Bracing/shoring damaged structures – Structures that are damaged as a result of the 

emergency or major disaster may need to be temporarily secured by physical means to 

protect them from further damage and to protect public welfare. In some instances, 

demolition of severely damaged or destroyed buildings or structures might be necessary 

if they pose an immediate threat to public health and safety. 

v. Debris removal – Debris typically includes trees, limbs, other vegetative materials, sand, 

mud, silt, rocks, gravel, etc., as well as damaged building materials. Debris removal 

generally is limited to the extent that is required to minimize damage, protect facilities, or 

restore essential services. Removal of debris from a public transportation provider’s 

property that resulted from the incident and is considered a health and safety hazard 

may also be eligible for funding. 

vi. Dewatering – If an asset is inundated by water as a result of a qualifying event, the costs 

associated with removing the water from the asset may be eligible for funding. 

vii. Removal of health and safety hazards – Conditions resulting from the emergency or 

major disaster could pose a threat to public health and safety, requiring public 

transportation agencies to remove or assist with removing them. 

Emergency Repairs 

Emergency repairs are capital projects that are undertaken within a short time period after an 

emergency to minimize the extent of damage, restore service, or ensure that service can 

continue until such time as necessary permanent repairs can be made. Emergency repairs may 

be temporary measures that are intended to last from a period of weeks to several years and 

can include permanent repairs implemented within a short timeframe. 

Emergency repairs typically require little preliminary engineering or engineering reviews. The 

scope of emergency repairs is generally limited to the extent necessary to allow a safe 

resumption of regular service. Emergency repairs can be constructed using an agency’s own 

29 
 

labor forces, without the requirement for a force account plan, or with emergency contract labor, 

equipment, and materials. 

Emergency repairs are generally eligible for reimbursement under pre-award authority. 

Emergency repairs do not require inclusion in the Metropolitan Transportation Improvement 

Program (TIP) or the Statewide Transportation Improvement Program (STIP), unless they 

include substantial functional, locational, or capacity changes. 

In some cases, it may be most effective to accomplish some permanent repairs while 

completing emergency repairs. An example might be a washout of a section of track where 

constructing a detour would be more costly and time-consuming than repairing the track. In this 

case, the repair, if limited to repair or replacement of what previously existed without 

incorporating any resilience measures or other upgrades (i.e., one-for-one replacement), would 

be considered equivalent to an emergency repair. 

The cost of materials, equipment, contractor resources, and an agency’s own labor forces 

associated with accomplishing emergency repairs and emergency protective measures 

generally is eligible for funding under FTA’s ER Program. 

In some cases, responding to an emergency might overwhelm the capabilities or resources of 

an affected transit agency, and additional resources might be required. In such cases, the 

affected transit agency may choose to activate an existing MOA with another transit agency to 

request assistance. The process whereby one transit agency provides support to another 

agency during an emergency or major disaster is commonly called mutual aid. If an affected 

transit system owner requests and receives mutual aid through an existing agreement with 

another transit system owner, the requesting agency should pay the providing agency for the 

assistance provided according to the terms and conditions set forth in the MOA. The requesting 

agency then can seek reimbursement for this assistance through FTA’s ER Program. 

Permanent repairs 

Permanent repairs are capital projects that are undertaken after an emergency or major disaster 

to permanently repair, replace, or reconstruct seriously damaged public transportation system 

elements, including rolling stock, equipment, facilities, infrastructure, and other assets to a 

satisfactory operable condition. 

FTA understands that it may not always be feasible or advisable to replace damaged assets 

with identical facilities, vehicles, or equipment. As a result, projects to repair, replace, or 

reconstruct assets may include improvements and upgrades as necessary to meet current 

safety and design standards, including the ADA, or that will reduce the risk of similar damage 

from future disasters. 

Specifically, recipients may replace damaged or destroyed vehicles, equipment, and facilities 

with new assets; relocate assets at risk of future damage, and for which repair at the current 

location is not practical or feasible; replace obsolete equipment with equipment that is fully 

compliant with current safety and design standards, including existing agency-specific 

operational specifications; and incorporate cost-effective resilience measures into replacement 

and repair projects. 

Permanent repairs are generally eligible for reimbursement under pre-award authority. 

Expenses for permanent repairs that are incurred within one year of the date of a declared 

disaster do not need to be included in the TIP and STIP, unless they include changes to the 

function, location or capacity of the underlying infrastructure. 

30 
Force account labor costs for permanent repairs are eligible for reimbursement if the affected 

agency develops a force account plan in accordance with the requirements of FTA Circular 

5010. 

Transit agencies are encouraged to consider current and future conditions and hazards when 

identifying and scoping disaster recovery projects. For example, it may be both cost-effective 

and resilient to replace flood-damaged equipment with elevated or waterproof equipment. 

Funding awarded for recovery expenses may not be used for functionally independent resilience 

projects or to alter the function or capacity of the original infrastructure without prior FTA 

approval. Funding for larger-scale resilience improvements or standalone resilience projects is 

discussed under “resilience projects” below. A recipient is encouraged to contact FTA if the 

eligibility of an improvement for recovery funding is unclear. 

Permanent repairs may also include repairs undertaken as a result of damages that were not 

identified in the immediate aftermath of an emergency (latent damages). For example, exposure 

to salt water may cause damages that are only identified months after the initial exposure. 

Resilience projects 

Resilience projects are capital projects, or functionally independent elements of capital projects, 

that are designed and built specifically to address existing and future vulnerabilities to a public 

transportation facility or system as a result of a probable occurrence or recurrence of an 

emergency or major disaster in the geographic area where the public transportation system is 

located. For example, a functionally independent resilience element of a capital project might 

consist of a floodwall constructed as part of a rebuilt facility. Resilience projects may incorporate 

consideration of projected changes in development patterns, demographics, or climate change 

and extreme weather patterns. 

The availability of funding for resilience projects will be determined on an incident-by-incident 

basis. Unlike repair and recovery projects, unless otherwise provided, resilience projects are not 

eligible for reimbursement under pre-award authority in the aftermath of a disaster. Once 

authorized for reimbursement, resilience projects must be included in the TIP and STIP prior to 

incurring costs. 

A grantee should contact their FTA Regional Office if they are unsure whether a resilience 

improvement should be considered part of a permanent repair project, and therefore eligible for 

pre-award authority, or as a functionally independent resilience project. 

Force account labor costs for resilience projects are eligible for reimbursement if the affected 

agency develops a force account plan in accordance with the requirements of FTA Circular 

5010. 

Potential grantees are advised that if funding for resilience projects is made available, FTA may 

require prior approval of resilience projects before a grantee may begin incurring costs. FTA 

reserves the right to request additional documentation and justification for the approval of 

resilience projects. 

Spare parts 

It is common for transit agencies to maintain a stock of spare parts and other maintenance 

items that are needed to keep the public transportation system operating. Spare parts that are 

the property of an affected transit system and held in the normal course of business and are 

damaged or destroyed are eligible for funding under the FTA ER Program. In the event that a 

transit agency has utilized its existing supplies to respond to a major emergency or disaster, the 

agency may apply for reimbursement through the ER Program to replace these items. 

31 
4.1.4 Ineligible Expenses 

The following categories of expenses are not eligible for reimbursement under the ER Program: 

Heavy maintenance 

Heavy maintenance includes work that would usually be done by a public transit agency to 

repair damage normally expected from seasonal and occasionally unnatural conditions or 

occurrences, such as snow removal, debris removal from seasonal thunderstorms, and major 

repairs required as a result of deferred maintenance. Heavy maintenance may include work 

required as a direct result of a disaster, but that can reasonably be accommodated by a transit 

system’s routine maintenance, emergency or contingency program, and does not rise to the 

level of serious damage. 

If the total extent of repairs and other work associated with a disaster exceeds the definition of 

heavy maintenance, FTA will not exclude individual costs from eligibility for reimbursement. The 

threshold for heavy maintenance will be determined case by case based on the scale and scope 

of repairs and other work required, relative to the agency’s annual maintenance and 

contingency budget. 

Project costs for which the recipient has received funding from another source 

FTA funds may not be used to reimburse project costs for which a transit system has received 

funding from another Federal agency or from payments from insurance policies. If a transit 

system has requested or sought funding from another Federal agency, FTA will confirm that the 

transit system has withdrawn the request prior to payment before approving a grant award. If a 

transit system has submitted an insurance claim or has requested or received reimbursement 

from an insurance policy, FTA may withhold funding until such payments have been applied to 

eligible expenses, as necessary, to determine the amount of remaining unfunded recovery 

expenses. 

Except for FTA-Approved Resilience Projects, Projects that change the function of the original 

infrastructure 

Projects that change the function of the original infrastructure and that FTA has not approved in 

advance as resilience projects are not eligible for funding through the FTA ER Program. For 

example, an affected transit system may not use ER funds to convert a damaged light rail 

system into a bus rapid transit system, or to convert a passenger facility into a maintenance 

facility. 

Although FTA ER Program funds cannot be used for these types of projects, other formula 

funds may be used in conjunction with FTA ER Program funds to alter the function of damaged 

infrastructure. For example, FTA ER Program funds could be used to replace damaged or 

destroyed diesel buses with liquid natural gas buses, and formula funds could be used to 

convert a fueling facility from diesel to liquid natural gas to accommodate the replacement 

buses. Potential recipients are strongly advised to consult with their FTA Regional Office if a 

repair project is likely to have an impact on the function of the original infrastructure. 

Projects for which funds were obligated in an FTA grant prior to the declared emergency or 

major disaster 

If FTA grant funds were obligated to a project prior to the occurrence of an emergency or major 

disaster, those funds may not be supplanted with ER Program funds; however, ER funds may 

be used to fund recovery expenses associated with the project that were incurred as a result of 

the emergency or major disaster. 

32 
Reimbursements for lost revenue due to service disruptions caused by an emergency or major 

disaster 

FTA will not reimburse affected transit operators for lost revenue as a result of suspended 

operations, inoperable assets, or ensuing reduced ridership due to an emergency or major 

disaster. Lost revenue does not qualify as either an eligible operating expense or as a 

temporary or permanent repair project. 

Project costs associated with replacement or replenishment of damaged or lost material that is 

not the property of the affected applicant and not incorporated into a public transportation 

system, such as stockpiled materials or items awaiting installation. 

When transit agencies hire contractors to implement capital improvement projects, the 

contractors may maintain an on-site stockpile of materials needed to complete the project. 

Likewise, the contractor may have equipment on-site to install the stockpiled material and 

otherwise construct the project. These materials and equipment are the property of the 

contractor, and should be covered under a contractor’s private insurance policy. Accordingly, 

FTA will not reimburse a transit agency for damaged or lost materials that have not yet been 

incorporated into the public transportation system. 

Catastrophic failures from internal causes 

Some catastrophic failures may not be the result of an external cause such as an emergency or 

major disaster, but rather may result from an internal cause such as lack of proper maintenance, 

progressive deterioration, or a design flaw. Closures of system elements because of imminent 

danger of collapse and/or repairs to system elements because of internal causes of failure are 

not eligible for grant funding through the FTA ER Program. 

Other project costs FTA determines are not appropriate for the FTA ER Program 

In the process of working with a transit agency affected by an emergency or disaster to assess 

damages and eligible emergency operating expenses, FTA may identify specific project costs 

that are not appropriate for reimbursement through FTA’s ER Program. 

4.2. Program Policies and Grant Requirements 

This section addresses key policies for FTA’s ER Program, as well as specific requirements that 

apply to recipients of funding under this program. 

4.2.1 Pre-Award Authority 

Pre-award authority allows eligible recipients to respond to critical needs in preparation for an 

impending disaster or for disaster response and recovery, and allows those expenses to be 

eligible for reimbursement before funding is approved through the FTA ER Program. Grantees 

do not require prior approval from FTA to incur costs under pre-award authority, but are advised 

that pre-award authority does not guarantee the eligibility of the expenses incurred nor the 

eventual reimbursement of those costs under FTA’s ER Program. 

Costs incurred under pre-award authority must comply with all applicable Federal and FTAspecific requirements, and are always incurred at the potential recipient’s own risk. Eligible 

costs incurred under pre-award authority may be reimbursable under the FTA ER Program, 

subject to availability of funds. 

Pre-award authority will be effective on the first day of the incident period, or may be utilized in 

advance of an event under the conditions specified below. 

Pre-Award Authority in Advance of an Event 

33 
Actions taken by public transportation agencies to protect assets in advance of a serious 

weather event can have substantial financial benefits. For example, moving rolling stock to 

higher ground to protect it from storm surges can save millions of dollars. Further, actions taken 

during a weather event and in its immediate aftermath, including debris removal and 

dewatering, can prevent further damage to public transportation assets. It is in FTA’s and the 

Federal taxpayer’s interest to reimburse the cost of these activities. 

Public transportation agencies are an integral part of the communities they serve, and these 

agencies will often assist with evacuations, rescue operations, and transportation of utility 

workers and other first responders, often without regard to the expense of those services. In 

addition, reestablishing public transportation service after an emergency or major disaster may 

cause a public transportation agency to incur extraordinary costs that are not in the agency’s 

budget. 

If a weather event occurs with adequate warning so that protective measures can be 

implemented, pre-award authority for emergency operations and emergency protective 

measures undertaken in advance of the event may be reimbursable if: 

a. The Governor of the State declares a state of emergency and requests concurrence 

from the U.S. Secretary of Transportation, or requests an emergency declaration from 

the President in advance of the event; 

b. The Governor takes appropriate action under State law and directs implementation of 

the State Emergency Plan; 

c. The activities undertaken by the transit agency are required in anticipation of the impacts 

of the event; and 

d. Assistance for a pre-disaster emergency declaration is limited to emergency protective 

measures and emergency operations. 

Additional Considerations for the Use of Pre-Award Authority 

Affected transit systems may seek reimbursement of eligible emergency expenses under the 

terms of FTA’s ER Program from funds apportioned under FTA’s Section 5307 Urbanized Area 

Formula Program or FTA’s Section 5311 Formula Grants for Rural Areas Program. Certain 

emergency expenses may also be eligible under the terms of the formula program for which the 

funding was originally apportioned. 

If a transit system intends to request reimbursement of emergency-related expenses under the 

terms of FTA’s ER Program, regardless of the source of funds, the guidance in this manual 

applies. If a transit system intends to request reimbursement under the terms of one of FTA’s 

formula programs, the policies in effect for the formula program will apply. 

If a grantee draws down formula funds to reimburse emergency expenses, these funds may not 

be replaced or restored with ER funds if funding is subsequently made available under the ER 

Program. However, FTA may allow a grantee to use any unexpended formula funds awarded 

for emergency expenses for other purposes under the applicable formula program. 

Pre-award authority may be limited to a maximum amount determined by FTA based on 

estimates of immediate financial need, the results of field surveys, available FTA ER Program 

funds, and other criteria to be determined. 

If FTA awards funds to the applicant for the project, the amount of expenses incurred under preaward authority must be reported as part of the grantee’s initial FFR in FTA’s electronic grants 

management system. 

4.2.2 Federal/Local Cost Sharing 

34 
 

FTA’s Section 5324 generally requires applicants to match FTA ER Program funding with a 

minimum local cost share. Unless otherwise specified, the following cost sharing requirements 

will be in effect: 

a. FTA will fund up to 80 percent of any eligible expenses for operating and capital projects 

reimbursed with FTA ER Program funds. 

b. FTA will fund up to 80 percent of the net project cost for capital projects and up to 50 

percent of the net project cost for operating projects when FTA formula funds are used 

(Sections 5307 or 5311). 

The Secretary is authorized to waive, in whole or part, the non-Federal share. For this reason, 

FTA may set a different local cost share percentage for ER Program funds based on the 

circumstances of a particular disaster, and will notify potential recipients of the applicable 

matching rate prior to allocating funds. 

The affected transit system must certify that it has or will promptly have available the 

proportionate amount of local share as project costs are incurred or become due, except to the 

extent that FTA determines in writing that the local share may be deferred. 

The local cost share may be provided from an undistributed cash surplus, a replacement or 

depreciation cash fund or reserve, or new capital. In addition, Community Development Block 

Grant (CDBG) funds may be used as the non-Federal share when such funds are available for 

transportation purposes. Local funds that are spent on eligible expenses under pre-award 

authority, including CDBG funds, may count towards the local cost share requirement on a 

subsequent grant. 

Transportation Development Credits may be used as a local match; however, grant applicants 

are advised that this may reduce the overall funding available for ER projects, because FTA 

funds must be applied to 100 percent of the net project cost. 

In addition to the above, sources for the local match may include: 

a. Cash from non-Federal sources other than revenues from providing public transportation 

services 

b. Non-farebox revenues from the operation of public transportation service 

c. Amounts received under a service agreement with a State or local social service agency 

or private social service organization 

d. Amounts appropriated or otherwise made available to a department or agency of the 

government (other than the DOT) that are eligible to be expended for transportation 

e. In-kind contributions integral to the project such as real estate property needed to carry 

out the scope of the approved project 

Additional sources of local match may be used subject to specific requirements. Consult FTA 

Circular 9030.1, Urbanized Area Formula Program: Program Guidance and Application 

Instructions, for additional information. 

4.2.3 Floodplain Management 

All FTA ER Program recipients must comply with Executive Order 11988, as amended, 

Floodplain Management. To ensure compliance, FTA’s Emergency Relief Rule specifically 

states, “recipients shall not use grant funds for any activity in an area delineated as a ‘special 

flood hazard area’ or equivalent...[unless,] prior to seeking FTA funding for such action, the 

recipient designs or modifies its actions in order to minimize potential harm to or within the 

floodplain.” See 49 CFR 602.15. Further, recipients are advised that FTA is in the process of 

35 
updating its guidance on floodplain management applicable to all FTA programs in accordance 

with Executive Order 13690, Establishing a Federal Flood Risk Management Standard. Any 

changes to FTA requirements based on that Executive Order will be incorporated in a 

subsequent version of this manual, but may take effect before a subsequent version is released. 

A Special Flood Hazard Area (SFHA) is an area that is subject to a 1-percent or greater chance 

of flooding in any given year, and therefore is often misleadingly referred to as the 100-year 

flood zone. SFHAs are mapped in zones commonly designated as Zone A or AE (in the 1-

percent-annual-chance floodplain), or Zone V or VE (an area in the 1-percent-annual-chance 

floodplain with additional hazards from velocity wave action) on flood hazard maps. However, 

other flood zone designations are also used to designate SFHAs. 

Grant recipients must use the best available information as identified by FEMA to determine 

whether a project is located in an SFHA. Best available information includes Advisory Base 

Flood Elevations, preliminary or final Flood Insurance Rate Maps (FIRMs), or Flood Insurance 

Studies. Flood information is available through FEMA’s website www.fema.gov. Most flood 

maps are available electronically through FEMA’s Map Service Center website 

www.msc.fema.gov and through www.floodsmart.gov. Applicants who are uncertain about the 

flood zone designation where their project is located can contact their State Floodplain Manager 

or FEMA Regional Office to obtain assistance and additional information (see Appendices E and 

F). 

If FTA and the applicant mutually determine that FEMA information is unavailable or 

insufficiently detailed, the applicant may use other Federal, State, or local data as best available 

information to comply with Executive Order 11988, as amended by EO 13690. The best 

available information will be used to establish the Base Flood Elevation (BFE), which is the 

elevation floodwater is expected to reach during the 1-percent-annual-chance flood. The BFE is 

used to establish reconstruction requirements such as a project’s minimum elevation. If a BFE 

from an interim, preliminary, or non-FEMA source is lower than the BFE on the current FIRM, 

the BFE on the current FIRM applies. At its discretion, or as required by future policy, guidance 

or regulations, FTA may require higher minimum elevations than the published BFE for 

Emergency Relief projects. 

Some State and local building codes require higher minimum elevations than FEMA requires. If 

the State or locality where the applicant’s project is located has adopted higher minimum 

elevation requirements, the higher of the competing minimums applies. This also applies if a 

local government authority, such as a transit agency, has adopted a higher minimum elevation. 

4.2.4 National Environmental Policy Act Review Process 

Prior to awarding FTA funding, FTA is required to consider a project’s potential impacts on the 

environment. These environmental reviews are conducted under the National Environmental 

Policy Act Review Process (NEPA) and related Federal environmental laws, such as the 

National Historic Preservation Act, regulations, and executive orders. The amount of resources 

required to complete this process (time, documentation, consultant services, etc.) will vary 

depending on the type of project and its potential to impact the human and natural environment. 

Many emergency relief activities will qualify for an expedited review as a categorical exclusion, 

as described below. 

This section identifies and briefly describes various levels of environmental review that may 

apply to a project. 

C-List Categorical Exclusion (CE) (23 CFR 771.118(c)) 

36 
Projects that historically do not result in significant environmental impacts may qualify as a CE 

and would require little to no documentation as described further in 23 CFR 771.118. Examples 

of this type of project are buying a bus or construction of transit facilities primarily within the 

transportation right-of-way. 

The actions related to transportation facilities damaged by a qualifying emergency or major 

disaster are listed in 23 CFR 771.118(11), and include: 

A. Emergency repairs accomplished under 49 U.S.C. 5324 

B. Repair, reconstruction, restoration, retrofitting, or replacement of any road, highway, 

bridge, tunnel, or transit facility (such as a ferry dock or bus transfer station), including 

ancillary transportation facilities (such as pedestrian/bicycle paths and bike lanes), that 

are in operation or under construction when damaged and the action: 

a. Occurs within the existing right-of-way and in a manner that substantially conforms to 

the pre-existing design, function, and location of the original (which may include 

upgrades to meet existing codes and standards, as well as upgrades to address 

conditions that have changed since the original construction); and 

b. Is commenced within a 2-year period beginning on the date of the declaration. 

FTA Regional Offices can advise applicants further on projects that meet the requirements for 

FTA’s categorical exclusions from NEPA. 

It is important to note that projects that are categorically excluded from FTA’s NEPA review 

process might not be excluded from other required reviews or from reviews by other Federal 

agencies if FTA funds will be supplemented by funds from other Federal disaster relief 

programs. The Environmental and Historic Preservation (EHP) reviews must be completed by 

the funding agency or through the Unified Federal Review (UFR) process, whichever is 

applicable, before a project can be funded. Each Federal agency that takes an action in relation 

to a project (e.g. to issue an approval or provide funding) may need to demonstrate compliance 

with applicable environmental and historic preservation requirements. The UFR process has 

been set up to help coordinate those reviews in the most efficient manner. Applicants can 

request additional information from the FTA Regional Office, which can provide technical 

assistance and help coordinate any required EHP (or UFR) reviews. 

D-List Documented Categorical Exclusion (DCE) (23 CFR 771.118(d)) 

Certain actions that do not meet the requirements for a c-list CE in 23 CFR 771.118(c) may still 

meet the criteria for a CE as demonstrated by limited documentation on the environmental 

impacts of the project. Examples of this type of project may include, but are not limited to, real 

property acquisition or construction of transit facilities with features located primarily outside of 

the transportation right-of-way. 

Environmental Assessment (EA) and Environmental Impact Statement (EIS) 

For actions that do not qualify as CEs and do not clearly require the preparation of an EIS, 

preparation of an EA is normally required. This level of environmental review provides the public 

an opportunity to comment and will ultimately determine whether or not the project will result in 

any significant impacts. If the analysis in an EA concludes that the project will result in 

significant impacts, or if from the early planning stages it is determined that the size and scope 

of the project will result in significant impacts, an EIS will be required. Most grantees typically 

need to enlist consultant services when preparing an EA or EIS. 

37 
                   

        

     

       

       

         

         

       

         

      

     

         

     

         

Grantees should consult with FTA early in the grant application process, and prior to expending 

funds for a planned project for which Federal funds are requested, to confirm the appropriate 

level of environmental review. 

Further detail and explanation on the different levels of environmental review can be found in 23 

CFR 771, FTA’s Environmental Impact and Related Procedures. Grantees must receive 

confirmation that their proposed FTA-funded project has complied with the policies and 

procedures provided in 23 CFR 771 before FTA can approve the grant application and obligate 

funds. 

4.2.5 Metropolitan & Statewide Planning Requirements 

While most projects that receive funding from FTA must be listed on the TIP and STIP prior to 

incurring costs, Federal planning regulations at 23 CFR 450.324(c)(5) make an exception for 

emergency relief projects. FTA has interpreted this exception to apply to emergency repairs and 

permanent repair costs incurred within one year of the date of the declared disaster. However, if 

an emergency or permanent repair project involves functional, locational, or capacity changes, it 

must be included in the TIP/STIP prior to incurring costs. 

Resilience projects must be included in the TIP/STIP prior to incurring costs. 

Table 4-1 Planning Requirements and Section 5324 Emergency Relief Projects 

Type of Project Required to be in

TIP/STIP

Eligible for Pre‐Award

Authority

Emergency Repair (no functional,

location, capacity change)

NO YES

Emergency Repair (with functional,

location or capacity change)

YES YES, with prior approval by

FTA

Permanent Repair within 12 months

(no functional, location, capacity

change)

NO YES

Permanent Repair within 12 months

(with functional, location,

or capacity change)

YES YES, with prior approval by

FTA

Permanent Repair ‐ after 12 months YES YES

Resiliency/Enhancement Project YES NO, unless otherwise

authorized

4.2.6 Special Grant Conditions 

As permitted under statute or regulation, FTA reserves the right to impose special grant 

conditions on ER grants. 

For example, FTA may require: 

1. More frequent submissions of Federal financial reports 

2. More frequent submissions of milestone progress reporting 

38 
3. Drawdown limitations or advance notification requirements on drawdowns over a certain 

amount 

4. Other requirements as determined necessary by FTA 

Such requirements will be incorporated into the grant agreement, and may be applied using a 

risk-based evaluation method based on characteristics of the grantee or the projects being 

funded. 

4.2.7 Part 601 and 602 Waivers of Requirements/Emergency Relief Docket 

Under 49 CFR Part 602.15(b), the FTA Administrator shall determine the terms and conditions 

for Emergency Relief grants based on the circumstances of a specific emergency or major 

disaster for which funding is available under the Emergency Relief Program. 

In general, projects funded under the Emergency Relief Program shall be subject to the 

requirements of chapter 53 of title 49, United States Code, as well as cross-cutting 

requirements, including but not limited to those outlined in FTA's Master Agreement. 

These requirements allow for limited exceptions to procurement and planning requirements for 

activities undertaken in response to an emergency. Specifically, non-competitive procurement 

practices are authorized in emergency circumstances when the amount of time required for a 

competitive procurement would not allow for a timely response. This includes emergency 

preparation and response activities and temporary repairs undertaken immediately preceding, 

during or immediately after an emergency. Additionally, as discussed in sections 4.1.3 and 

4.2.5, certain emergency response and repair activities are not required to be included in the 

Metropolitan and Statewide Transportation Improvement Programs (TIP and STIP). 

However, the FTA Administrator may determine that certain requirements associated with public 

transportation programs are inapplicable as necessary and appropriate for emergency repairs, 

permanent repairs, emergency protective measures and emergency operating expenses that 

are incurred within 45 days of the emergency or major disaster, or longer as determined by 

FTA. If the FTA Administrator determines any requirement is inapplicable, the determination 

shall apply to all eligible activities undertaken with funds authorized under 49 U.S.C. 5324 within 

the 45-day period, as well as funds authorized under 49 U.S.C. 5307 and 5311 and used for 

eligible emergency relief activities. 

In addition to any FTA determination regarding terms and conditions applicable to Emergency 

Relief grants within or after the 45 day period after a disaster, FTA may waive Chapter 53 

requirements if the requirement(s) limit an applicant’s ability to respond to an emergency or 

major disaster. FTA has established an ER docket that allows applicants and/or recipients to 

request waivers for temporary relief from administrative requirements in response to declared 

emergencies and disasters. Applicants may petition FTA for temporary relief from Chapter 53 

requirements as well as the provisions of any FTA policy statement, circular, guidance 

document, or rule by following the procedures described in 49 CFR Part 601, Subpart D, which 

is included in this document as Appendix B. 

The applicant should specify if the petition for relief is one-time or ongoing, and if ongoing 

identify the time period for which the relief is requested. The time period may not exceed 3 

months; however, additional time may be requested through a second petition for relief. 

Applicants should not proceed with projects assuming that requests for waivers will be granted. 

39 
In particular, applicants requesting waivers from complying with Federal procurement 

requirements should not assume that these waivers will be authorized. 

4.3. Policies Regarding Insurance 

This section provides detailed guidance on FTA policies regarding insurance, including the 

requirement that certain assets be insured against flood hazards, and how reimbursements 

received from insurance policies must be applied when FTA is providing disaster relief 

assistance. 

4.3.1 Requirements for Insuring Assets in the Floodplain 

In accordance with the Flood Disaster Protection Act of 1973 and FTA’s Master Agreement, 

transit buildings located in an SFHA must be insured against flood damage. Section 102 of the 

Flood Disaster Protection Act of 1973 (42 U.S.C. 4012a(a)) provides that Federal agencies may 

not provide any financial assistance for the acquisition, construction, reconstruction, repair, or 

improvement of a building in an SFHA unless the recipient has first acquired flood insurance to 

cover the buildings and contents constructed or repaired with Federal funds, in an amount at 

least equal to the Federal investment (less land cost) or to the maximum limit of coverage made 

available under the National Flood Insurance Act of 1968, whichever is less. 

	 “Building” means, for insurance purposes, a structure with two or more outside rigid 

walls and a fully secured roof that is affixed to a permanent site. This includes 

manufactured or modular office trailers that are built on a permanent chassis, 

transported to a site in one or more sections, and affixed to a permanent foundation. 

	 “Contents coverage” means, for insurance purposes, personal property within a building, 

including fixtures, machinery, equipment, and supplies. In addition to the costs to repair 

or replace, contents insurance coverage shall include the cost of debris removal and the 

reasonable cost of removal of contents to minimize damage. 

	 National Flood Insurance Program (NFIP) Limits. Current NFIP limits are $500,000 for 

buildings and $500,000 for contents. This means grantees must insure buildings and 

contents to an amount at least equal to the Federal investment (less land cost), or 

$500,000 for each building and $500,000 for the contents of each building, whichever is 

less. 

Transit facilities to which this applies are buildings located in SFHAs and include maintenance 

facilities, storage facilities, and above-ground stations and terminals. Where transit facilities 

include above and below-ground components, the flood insurance requirement applies when at 

least 51 percent of the cash value of the facility, less land value, is above ground. 

Flood insurance is not required for underground subway stations, track, tunnels, ferry docks, or 

for any transit facilities located outside of an SFHA. 

	 Uninsured buildings in SFHAs. FTA will provide assistance for uninsured transit facilities 

that have previously received Federal funding only after the maximum limit of coverage 

made available under the NFIP or the amount of Federal investment in the property prior 

to the emergency, whichever is less, is subtracted from the total cost to repair or rebuild. 

	 Obtain and maintain. Grant recipients must obtain and maintain flood insurance on 

those buildings and contents for which FTA has provided funds. 

40 
 

 

 

4.3.2 Treatment of Insurance Proceeds 

Under existing FTA guidance in Circular 5010.1D, if a grantee receives insurance proceeds 

when project property has been lost or damaged by fire, casualty, or natural disaster, the 

grantee agrees to: 

(a) Apply those proceeds to the cost of replacing the damaged or destroyed project property 

taken out of service up to the amount equivalent to the remaining Federal interest in the 

asset (listed below are two examples of the application of insurance proceeds), or 

(b) Return to FTA an amount equal to the remaining Federal interest in the lost, damaged, 

or destroyed project property. 

For projects where FTA awards funding under the ER Program, if a grantee receives insurance 

proceeds when project property has been lost or damaged as a result of a declared disaster, the 

grantee agrees to: 

(a) Apply the insurance proceeds attributable to the lost asset to the net project cost of 

repairing or replacing that asset, with the resulting net project cost eligible for 

reimbursement under the ER Program at the applicable Federal share, or 

(b) Return to FTA an amount equal to the remaining Federal interest in the lost, 

damaged, or destroyed project property. 

If insurance proceeds are insufficient to cover the costs of disaster recovery work, and FTA ER 

Program funding is unavailable or insufficient, a transit agency may pursue FEMA funding for 

specific projects under FEMA’s disaster assistance policies. Affected agencies are advised that 

FEMA will only allocate funding for eligible disaster relief expenses in excess of reasonably 

anticipated insurance proceeds and funds available from other sources. In circumstances when 

FTA ER funding is available but insufficient, grantees are advised to inform both FEMA and FTA 

immediately of their intention to pursue funding from both agencies. 

Application of Insurance Proceeds: 

Example 1: 

Insurance Proceeds Greater than the Remaining Federal Interest in the Damaged or Destroyed 

Property. 

A transit asset with a replacement value of $6,000 has been damaged or destroyed. The 

remaining Federal interest in the damaged or destroyed property is $1,800. The grantee receives 

insurance proceeds in the amount of $2,500. If FTA awards funds for the repair or replacement of 

the damaged or destroyed asset through the ER Program, the full $2,500 must be used to reduce 

the net project cost of that award. 

An damaged asset with a replacement 

cost of $6,000, with remaining Federal 

interest of $1,800, and insurance 

proceeds in the amount of $2,500 is 

calculated as follows: 

Repair/Replacement Project: $6,000 

41 
 

 

 

 

Insurance Proceeds ($2,500) 

Net Project Cost: $3,500 

FTA ER Program Grant $2,800 

Grantee Local Share $700 

Under the scenario above, the grantee must apply the entire $2,500 received towards the net 

project cost of repairing or replacing the asset. The resulting net project cost is $3,500. The 

Federal share of an ER Program award, at an 80% Federal share, would be $2,800, with a local 

share of $700. 

If the grantee does not receive ER funds for the repair or replacement, the provisions of FTA 

Circular 5010 will apply, which means that $1,800 of the insurance proceeds must be used either 

for the repair or replacement of the asset or must be returned to FTA. The remaining $700 in 

insurance proceeds may be used locally or as local share for other FTA grants. 

Example 2: 

Insurance Proceeds Less than the Remaining Federal Interest in the Damaged or Destroyed 

Property. 

A transit asset with a replacement value of $6,000 has been damaged or destroyed. The 

remaining Federal interest in the damaged or destroyed property is $1,800. The grantee receives 

insurance proceeds in the amount of only $500. 

If FTA awards an ER Program grant for the repair or replacement of the asset, the grantee is 

required to apply an amount no less than the remaining Federal interest towards reducing the 

net project cost of the repair or replacement project. Because the insurance proceeds are 

insufficient for the remaining Federal interest, the recipient must also contribute $1,300 in nonFederal funds towards reducing the net project cost. 

A damaged asset with a replacement cost of $6,000, with 

remaining Federal interest of $1,800 and insurance proceeds 

in the amount of $500 is calculated as follows: 

Repair/Replacement Project: $6,000 

Value of Remaining Federal Interest ($1,800) 

Insurance Proceeds ($500) 

Local Funds ($1,300) 

Net Project Cost: $4,200 

FTA ER Program Grant $3,360 

Grantee Local Share $840 

Under the scenario above, the net project cost for repairing or replacing the asset must be 

reduced by $1,800, resulting in a net project cost of $4,200. The Federal share of an ER 

Program award would be $3,360 with an additional local share of $840. When combined with 

the $1,300 required to reimburse the remaining Federal interest, the total local funding required 

for the project would be $2,140. 

42 
 

 

 

 

If the grantee does not receive ER funds for the repair or replacement, the provisions of FTA 

Circular 5010 will apply. The amount of the remaining Federal interest, including both insurance 

proceeds and additional local funds, must be used either for the repair or replacement of the asset, 

or must be returned to FTA. 

Example 3: 

In the event FTA waives the Federal interest in the damaged/destroyed asset: 

Agency X receives an insurance payment of $5 million under a limited insurance policy for a 

damaged station that will cost $10 million to repair. The remaining $5 million not covered by 

insurance is eligible for FTA assistance at an 80-percent share. FTA may fund 80 percent of the 

total project cost prior to the receipt of the insurance payment. At the time the payment is 

received, Agency X must reimburse FTA for 80 percent of the amount applied to the project, so 

that FTA’s participation in the project will not exceed $4 million. 

4.3.3 Policy on Unallocated Insurance Proceeds 

Some disasters will result in substantial damage to transit assets such that the insurance 

companies will settle claims based on policy maximums or settlement agreements, which are 

not attributable, in whole or in part, to specific assets that were damaged. As a result, FTA has 

established a policy guiding the application of these insurance proceeds to eligible transit 

projects. 

An appropriate share of any insurance proceeds received by a grantee must be applied to the 

repair, reconstruction, or restoration of transit assets for which FTA provides financial 

assistance under the FTA ER Program. 

Implementation. If a grantee receives insurance proceeds that are directly attributable to 

specific assets, the provisions of section 4.3.2 of this chapter will apply. A grantee that receives 

an insurance settlement for damage to both transit and non-transit assets, or receives a 

settlement that does not include amounts attributable to specific assets, will be required to work 

with FTA as outlined in the steps below. FTA will review the allocation and application of 

insurance proceeds through standard oversight meetings and reviews. 

Step One: 

If a grantee receives an insurance settlement for transit assets only, but for which specific 

assets are not identified, Step One is not required, and FTA will begin with Step Two. 

When a grantee has both transit and non-transit insured losses, FTA will work with the grantee 

to identify the share of the insurance settlement attributable to transit losses. The insurance 

settlement must be allocated to eligible FTA ER projects in the proportion that insured losses 

eligible under FTA’s ER Program bear to total insured losses, including those ineligible for 

assistance under the ER Program. 

EXAMPLE: 

Based on a review of damage assessments and estimates of the cost of rebuilding, FTA 

determines that Agency Y suffered $100 million in insurable losses due to a hurricane. 

Insurable losses included transit assets ($70 million), non-transit assets ($20 million), 

and revenue loss associated with both transit operations ($5 million) and non-transit 

operations ($5 million). Of the $100 million in assessed insurable damage, only the $70 

million for transit assets (70%) is eligible for the ER Program. Hence, if the grantee 

receives a lump sum insurance settlement of $50 million, FTA will require that no less 

than 70% of the settlement ($35 million) be applied to projects eligible under the ER 

43 
 

Program. The grantee may allocate the remaining $15 million without obligation to FTA, 

including as a local share for FTA grants. 

FTA will work with the grantee and other appropriate agencies, including FEMA if applicable, to 

identify the share of damage attributable to transit and non-transit losses. Documentation of 

insured losses may include insurance claims; documentation of the insurance settlement; the 

grantee’s insurance policy documents; damage assessments prepared in cooperation with FTA, 

FEMA, or another Federal agency; FEMA project worksheets; or other satisfactory 

documentation of the extent of insured damage. 

FTA and the grantee will document the amount of insurance proceeds attributable to transit 

losses, and this information must be attached to any ER grant awarded after the insurance 

proceeds are received. 

Step Two: 

FTA and the grantee will work together to identify specific transit projects to which the insurance 

proceeds will be applied. 

FTA will allow a grantee flexibility in identifying the specific project(s) to which the insurance 

proceeds will be applied. Possible alternatives include: 

(1) Assigning an equal portion of the attributable insurance proceeds to all transit recovery 

projects. For example, if the grantee has documented $100 million in damages and had 

an insurance policy for $50 million, FTA would reduce the Federal participation in each 

project by 50 percent; 

(2) Assigning the attributable insurance proceeds equally to a defined set of transit recovery 

projects. For example, if the grantee has received $7 million in insurance proceeds, the 

grantee may elect to apply $1 million each to seven projects; or 

(3) Assigning the attributable insurance proceeds to one or more individual transit recovery 

projects. For example, if the grantee receives $20 million in insurance proceeds and 

two projects will cost $20 million, the grantee may apply all of the insurance proceeds to 

those two projects, and FTA will not participate in those projects. 

FTA will consider alternative approaches upon request. 

A grantee must be aware that if it chooses to fund a recovery project entirely from insurance 

proceeds without FTA assistance, that recovery project would only be eligible for future FTA 

assistance (e.g., for cost overruns) provided that all Federal requirements are met prior to 

incurring costs on the project. In this case, FTA will require additional documentation of how the 

attributable insurance proceeds are used. 

Once insurance proceeds are applied to a specific transit recovery project, FTA will deduct the 

amount of the applied insurance proceeds from the net project cost and account for this in the 

recovery grant. The application of transit-attributable insurance proceeds to recovery projects 

will be documented by FTA as an attachment to any ER grant to which insurance proceeds are 

applied. If the insurance proceeds are applied to a disaster relief project for which FTA has 

already awarded funds, the grantee must reimburse FTA for the resulting difference in the 

Federal cost share. 

If the amount of insurance proceeds attributable to transit losses is greater than the remaining 

unfunded cost of disaster recovery projects, FTA will reduce the grantee’s emergency relief 

allocation so that the ER allocation plus the attributable insurance proceeds are equal to the 

total estimated cost of disaster recovery. FTA will not allocate recovery funding in an amount 

greater than the total cost of disaster recovery less insurance proceeds attributable to transit 

44 
 

losses, as determined in Step One. FTA may only allocate funding for resilience improvements 

in excess of the estimated total cost of disaster recovery, including insurance proceeds. 

A grantee may request that FTA update the total estimated cost of disaster recovery. In this 

case, the grantee must provide documentation and an explanation of increased recovery costs, 

or previously unknown damage. 

4.4. Recipient Oversight and Reviews 

FTA oversees a continuing and broad-based oversight program that is described below. 

Recipients of funding under FTA’s ER Program may be subject to the following oversight 

activities. 

Triennial / State Management Review 

FTA performs a triennial or State management review at least once every 3 years to evaluate 

the performance of each recipient of FTA funds. FTA must ensure that the recipient is carrying 

out its program in compliance with Federal statutory and administrative requirements. Triennial 

and State management reviews of recipient performance allow FTA to determine if the recipient 

is complying with the certifications it has made. Most recipients of FTA ER funds are subject to 

a triennial or State management review, which include special guidance on funding received 

under the ER program. 

Specialized Reviews 

FTA may also conduct procurement, financial management, civil rights, drug and alcohol, 

safety, security, project management oversight, and other compliance reviews and audits, in 

addition to the triennial or State management review. When FTA evaluations or independent 

audits identify compliance deficiencies, FTA provides technical assistance to the recipient to 

facilitate compliance with Federal requirements. FTA may reduce or withdraw financial 

assistance as a result of review findings or withhold further grants until the grantee comes into 

compliance. 

Single Audit Act 

The Single Audit Act of 1984, as amended in 1996 (31 U.S.C. 7501 et seq.), and 2 CFR 200 

subpart F – Audit Requirements provide audit requirements for ensuring that funds granted by 

the Federal government to non-Federal entities are expended properly. 

All non-Federal entities that expend $750,000 or more in Federal awards in a non-Federal 

entity’s fiscal year are required to obtain an annual audit in accordance with the Single Audit Act 

Amendments of 1996, (31 U.S.C. 7502), 2 CFR 200 subpart F – Audit Requirements, the OMB 

Circular Compliance Supplement and Government Auditing Standards. A single audit is 

intended to provide a cost-effective audit for non-Federal entities in that one audit is conducted 

in lieu of multiple audits of individual programs. 

Additional Oversight Activities 

As permitted by statute (49 U.S.C. 5324(d)(1)), FTA will determine the terms and conditions that 

apply to grants awarded under the ER Program. Accordingly, FTA may institute additional 

oversight requirements in addition to the standard oversight program described in this section. 

For example, these may consist of grantee or project-specific risk assessments used to inform 

FTA’s management and oversight of ER funding or the requirement to utilize independent 

integrity monitors. 

45 
Appendices            – References and Resource Documents

A. Emergency Relief Program Final Rule: 49 CFR Part 602—Emergency Relief 

§ 602.1 Purpose. 

This part establishes the procedures and eligibility requirements for the administration of 

emergency relief funds for emergency public transportation services, and the protection, 

replacement, repair or reconstruction of public transportation equipment and facilities which are 

found to have suffered or are in danger of suffering serious damage resulting from a natural 

disaster affecting a wide area or a catastrophic failure from an external cause. 

§ 602.3 Applicability. 

This part applies to entities that provide public transportation services and that are impacted by 

emergencies and major disasters. 

§ 602.5 Definitions. 

The following definitions apply to this part: 

Affected recipient. A recipient or subrecipient that operates public transportation service in an 

area impacted by an emergency or major disaster. 

Applicant. An entity that operates or allocates funds to an entity to operate public transportation 

service and that applies for a grant under 49 U.S.C. 5324. 

Building. For insurance purposes, a structure with two or more outside rigid walls and a fully 

secured roof, that is affixed to a permanent site. This includes manufactured or modular office 

trailers that are built on a permanent chassis, transported to a site in one or more sections, and 

affixed to a permanent foundation. 

Catastrophic failure. The sudden failure of a major element or segment of the public 

transportation system due to an external cause. The failure must not be primarily attributable to 

gradual and progressive deterioration, lack of proper maintenance or a design flaw. 

Contents coverage. For insurance purposes, contents are personal property within a building, 

including fixtures, machinery, equipment and supplies. In addition to the costs to repair or 

replace, contents insurance coverage shall include the cost of debris removal and the 

reasonable cost of removal of contents to minimize damage. 

Emergency. A natural disaster affecting a wide area (such as a flood, hurricane, tidal wave, 

earthquake, severe storm or landslide) or a catastrophic failure from any external cause, as a 

result of which: 

(1) The Governor of a State has declared an emergency and the Secretary of Transportation 

has concurred; or 

46 
 

(2) The President has declared a major disaster under the Robert T. Stafford Disaster Relief 

and Emergency Assistance Act (42 U.S.C. 5170). 

Emergency operations. The net project cost of temporary service that is outside the scope of an 

affected recipient's normal operations, including but not limited to: evacuations; rescue 

operations; bus, ferry, or rail service to replace inoperable service or to detour around damaged 

areas; additional service to accommodate an influx of passengers or evacuees; returning 

evacuees to their homes after the disaster or emergency; and the net project costs related to 

reestablishing, expanding, or relocating public transportation service before, during, or after an 

emergency or major disaster. 

Emergency protective measures. (1) Projects undertaken immediately before, during or 

following the emergency or major disaster for the purpose of protecting public health and safety 

or for protecting property. Such projects: 

(i) Eliminate or lessen immediate threats to public health or safety; or 

(ii) Eliminate or lessen immediate threats of significant damage or additional damage to an 

affected recipient's property through measures that are cost effective. 

(2) Examples of such projects include, but are not limited to: 

(i) Moving rolling stock in order to protect it from damage, e.g., to higher ground in order to 

protect it from storm surges; 

(ii) Emergency communications; 

(iii) Security measures; 

(iv) Sandbagging; 

(v) Bracing/shoring damaged structures; 

(vi) Debris removal; 

(vii) Dewatering; and 

(viii) Removal of health and safety hazards. 

Emergency repairs. Capital projects undertaken following the emergency or major disaster, until 

such time as permanent repairs can be undertaken, for the purpose of: 

(1) Minimizing the extent of the damage, 

(2) Restoring service, or 

(3) Ensuring service can continue to be provided until permanent repairs are made. 

47 
External cause. An outside force or phenomenon that is separate from the damaged element 

and not primarily the result of existing conditions. 

Heavy maintenance. Work usually done by a recipient or subrecipient in repairing damage 

normally expected from seasonal and occasionally unusual natural conditions or occurrences, 

such as routine snow removal, debris removal from seasonal thunderstorms, or heavy repairs 

necessitated by excessive deferred maintenance. This may include work required as a direct 

result of a disaster, but which can reasonably be accommodated by a recipient or subrecipient's 

routine maintenance, emergency or contingency program. 

Incident period. The time interval during which the emergency-causing incident occurs. FTA will 

not approve pre-award authority for projects unless the damage to be alleviated resulted from 

the emergency-causing incident during the incident period or was incurred in anticipation of that 

incident. For each Stafford Act incident, FTA will adopt the incident period established by FEMA. 

Major disaster. Any natural catastrophe (including any hurricane, tornado, storm, high water, 

wind-driven water, tidal wave, tsunami, earthquake, volcanic eruption, landslide, mudslide, 

snowstorm, or drought), or, regardless of cause, any fire, flood, or explosion, in any part of the 

United States, which in the determination of the President causes damage of sufficient severity 

and magnitude to warrant major disaster assistance under the Stafford Act to supplement the 

efforts and available resources of States, local governments, and disaster relief organizations in 

alleviating the damage, loss, hardship, or suffering caused thereby. 42 U.S.C. 5122. 

Net project cost. The part of a project that reasonably cannot be financed from revenues. 49 

U.S.C. 5302. 

Permanent repairs. Capital projects undertaken following the emergency or major disaster for 

the purpose of repairing, replacing or reconstructing seriously damaged public transportation 

system elements, including rolling stock, equipment, facilities and infrastructure, as necessary to 

restore the elements to a state of good repair. 

Recipient. An entity that operates public transportation service and receives Federal transit 

funds directly from FTA. 

Resilience. The ability to anticipate, prepare for, and adapt to changing conditions and 

withstand, respond to, and recover rapidly from disruptions such as significant multi-hazard 

threats with minimum damage to social well-being, the economy, and the environment. 

Resilience project. A project designed and built to address existing and future vulnerabilities to a 

public transportation facility or system due to a probable occurrence or recurrence of an 

emergency or major disaster in the geographic area in which the public transportation system is 

located, and which may include the consideration of projected changes in development 

patterns, demographics, or climate change and extreme weather patterns. A resilience project 

may be a stand-alone project or may be completed at the same time as permanent repairs. 

Serious damage. Heavy, major or unusual damage to a public transportation facility which 

severely impairs the safety or usefulness of the facility. Serious damage must be beyond the 

scope of heavy maintenance. 

48 
State. A State of the United States, the District of Columbia, Puerto Rico, the Northern Mariana 

Islands, Guam, American Samoa, and the Virgin Islands. 

Subrecipient. An entity that operates public transportation service and receives FTA funding 

through a recipient. 

§ 602.7 Policy. 

(a) The Emergency Relief Program is intended to aid recipients and subrecipients in restoring 

public transportation service and in repairing and reconstructing public transportation assets to a 

state of good repair as expeditiously as possible following an emergency or major disaster. 

(b) Emergency relief funds are not intended to supplant other Federal funds for the correction of 

preexisting, non-disaster related deficiencies. 

(c) Following an emergency, affected recipients may include projects that increase the resilience 

of affected public transportation systems to protect the systems from the effects of future 

emergencies and major disasters. 

(d) The expenditure of emergency relief funds for emergency repair shall be in such a manner 

so as to reduce, to the greatest extent feasible, the cost of permanent restoration work 

completed after the emergency or major disaster. 

(e) Emergency relief funds, or funds made available under 49 U.S.C. 5307 (Urbanized Area 

Formula Program) or 49 U.S.C. 5311 (Rural Area Formula Program) awarded for emergency 

relief purposes shall not duplicate assistance under another Federal program or compensation 

from insurance or any other source. Partial compensation for a loss by other sources will not 

preclude FTA emergency relief fund assistance for the part of such loss not compensated 

otherwise. Any compensation for damages or insurance proceeds for repair or replacement of 

the public transit equipment or facility must be used upon receipt to reduce FTA's emergency 

relief fund participation in the project. 

(1) If a recipient receives insurance proceeds that are directly attributable to specific assets, the 

recipient must: 

(i) Apply those proceeds to the cost of replacing or repairing the damaged or destroyed project 

property; or 

(ii) Return to FTA an amount equal to the remaining Federal interest in the lost, damaged, or 

destroyed project property. 

(2) If under the terms of its policy a recipient receives insurance proceeds that are not 

attributable to specific assets, such as blanket, lump-sum, or unallocated proceeds, FTA, in 

consultation with the recipient, will determine the portion of such proceeds that the recipient 

must attribute to transit assets. 

(3) Any insurance proceeds not attributable to transit assets may be used for other purposes 

without obligation to FTA, including as local share for FTA grants. 

49 
(f) The Flood Disaster Protection Act of 1973 (42 U.S.C. 4001 et seq.) provides that Federal 

agencies may not provide any financial assistance for the acquisition, construction, 

reconstruction, repair, or improvement of a building in a special flood hazard area (100-year 

flood zone) unless the recipient has first acquired flood insurance to cover the buildings and 

contents constructed or repaired with Federal funds, in an amount at least equal to the Federal 

investment (less land cost) or to the maximum limit of coverage made available under the 

National Flood Insurance Act of 1968, whichever is less. 

(1) Transit facilities to which this paragraph (f) applies are buildings located in special flood 

hazard areas and include but are not limited to maintenance facilities, storage facilities, aboveground stations and terminals, and manufactured or modular office trailers. 

(2) Flood insurance is not required for underground subway stations, track, tunnels, ferry docks, 

or to any transit facilities located outside of a special flood hazard area. 

(g) Recipients must obtain and maintain flood insurance on those buildings and contents for 

which FTA has provided funds. 

§ 602.9 Federal share. 

(a) A grant, contract, or other agreement for emergency operations, emergency protective 

measures, emergency repairs, permanent repairs and resilience projects under 49 U.S.C. 5324 

shall be for up to 80 percent of the net project cost. 

(b) A grant made available under 49 U.S.C. 5307 or 49 U.S.C. 5311 to address an emergency 

shall be for up to 80 percent of the net project cost for capital projects, and up to 50 percent of 

the net project cost for operations projects. 

(c) The FTA Administrator may waive, in whole or part, the non-Federal share required under 

paragraphs (a) and (b) of this section. 

§ 602.11 Pre-award authority. 

(a) Except as provided in paragraph (c) of this section, pre-award authority for the Emergency 

Relief Program shall be effective beginning on the first day of the incident period, subject to the 

appropriation of Emergency Relief Program funds. 

(b) Recipients may use section 5307 or section 5311 formula funds to address an emergency, 

and, except as provided in paragraph (c) of this section, pre-award authority shall be effective 

beginning on the first day of the incident period of the emergency or major disaster. 

(c) For expected weather events, pre-award authority for evacuations and activities to protect 

public transportation vehicles, equipment and facilities, shall be effective in advance of the event 

under the following conditions: 

(1) The Governor of a State declares a state of emergency and requests concurrence by the 

Secretary of Transportation or makes a request to the President for an emergency declaration, 

in advance or anticipation of the impact of an incident that threatens such damage as could 

result in a major disaster; 

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(2) The Governor takes appropriate action under State law and directs execution of the State 

emergency plan; 

(3) The activities are required in anticipation of the event; and 

(4) Assistance for a pre-disaster emergency declaration is limited to Emergency Protective 

Measures and Emergency Operations. 

(d) Pre-award authority shall be subject to a maximum amount determined by FTA based on 

estimates of immediate financial need, preliminary damage assessments, available Emergency 

Relief funds and other criteria to be determined in response to a particular event. 

(e) Pre-award authority is not a legal or implied commitment that the subject project will be 

approved for FTA assistance or that FTA will obligate Federal funds. Furthermore, it is not a 

legal or implied commitment that all activities undertaken by the applicant will be eligible for 

inclusion in the project(s). 

(f) Except as provided in § 602.15, all FTA statutory, procedural, and contractual requirements 

must be met. 

(g) The recipient must take no action that prejudices the legal and administrative findings that 

the FTA Regional Administrator must make in order to approve a project. 

(h) The Federal amount of any future FTA assistance awarded to the recipient for the project will 

be determined on the basis of the overall scope of activities and the prevailing statutory 

provisions with respect to the Federal/non-Federal match ratio at the time the funds are 

obligated. 

(i) When FTA subsequently awards a grant for the project, the Financial Status Report in FTA's 

electronic grants management system must indicate the use of pre-award authority. 

§ 602.13 Eligible activities. 

(a) An affected recipient may apply for emergency relief funds on behalf of itself as well as 

affected subrecipients. 

(b) Eligible uses of Emergency Relief funds include: 

(1) Emergency operations; 

(2) Emergency protective measures; 

(3) Emergency repairs; 

(4) Permanent repairs; 

(5) Actual engineering and construction costs on approved projects; 

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(6) Repair or replacement of spare parts that are the property of an affected recipient or 

subrecipient and held in the normal course of business that are damaged or destroyed; and 

(7) Resilience projects. 

(c) Ineligible uses of Emergency Relief funds include: 

(1) Heavy maintenance; 

(2) Project costs for which the recipient has received funding from another Federal agency; 

(3) Project costs for which the recipient has received funding through payments from insurance 

policies; 

(4) Except for resilience projects that have been approved in advance, projects that change the 

function of the original infrastructure; 

(5) Projects for which funds were obligated in an FTA grant prior to the declared emergency or 

major disaster; 

(6) Reimbursements for lost revenue due to service disruptions caused by an emergency or 

major disaster; 

(7) Project costs associated with the replacement or replenishment of damaged or lost material 

that are not the property of the affected recipient and not incorporated into a public 

transportation system such as stockpiled materials or items awaiting installation; and 

(8) Other project costs FTA determines are not appropriate for the Emergency Relief Program. 

§ 602.15 Grant requirements. 

(a) Funding available under the Emergency Relief program is subject to the terms and 

conditions FTA determines are necessary. 

(b) The FTA Administrator shall determine the terms and conditions based on the circumstances 

of a specific emergency or major disaster for which funding is available under the Emergency 

Relief Program. 

(1) In general, projects funded under the Emergency Relief Program shall be subject to the 

requirements of chapter 53 of title 49, United States Code, as well as cross-cutting 

requirements, including but not limited to those outlined in FTA's Master Agreement. 

(2) The FTA Administrator may determine that certain requirements associated with public 

transportation programs are inapplicable as necessary and appropriate for emergency repairs, 

permanent repairs, emergency protective measures and emergency operating expenses that 

are incurred within 45 days of the emergency or major disaster, or longer as determined by 

FTA. If the FTA Administrator determines any requirement is inapplicable, the determination 

shall apply to all eligible activities undertaken with funds authorized under 49 U.S.C. 5324 within 

52 
the 45-day period, as well as funds authorized under 49 U.S.C. 5307 and 5311 and used for 

eligible emergency relief activities. 

(3) FTA shall publish a notice on its Web site and in the emergency relief docket established 

under 49 CFR part 601 regarding the grant requirements for a particular emergency or major 

disaster. 

(c) In the event an affected recipient or subrecipient believes an FTA requirement limits its 

ability to respond to the emergency or major disaster, the recipient or subrecipient may request 

that the requirement be waived in accordance with the emergency relief docket process as 

outlined in 49 CFR part 601, subpart D. Applicants should not proceed on projects assuming 

that requests for such waivers will be granted. 

(d) In accordance with Executive Order 11988, Floodplain Management, recipients shall not use 

grant funds for any activity in an area delineated as a special flood hazard area or equivalent, as 

labeled in the Federal Emergency Management Agency's (FEMA) Flood Insurance Rate Maps 

(FIRMs). If there are no alternatives but to locate the action in a floodplain, prior to seeking FTA 

funding for such action, the recipient shall design or modify its actions in order to minimize 

potential harm to or within the floodplain. 

(1) Except as otherwise provided in this subparagraph, recipients shall use the “best available 

information” as identified by FEMA, which includes advisory data (such as Advisory Base Flood 

Elevations (ABFEs)), preliminary and final Flood Insurance Rate Maps, or Flood Insurance 

Studies (FISs). 

(2) If FEMA data is mutually determined by FTA and the recipient to be unavailable or 

insufficiently detailed, other Federal, State, or local data may be used as “best available 

information” in accordance with Executive Order 11988. 

(3) The final determination on “best available information” shall be used to establish such 

reconstruction requirements as a project's minimum elevation. 

(4) Where higher minimum elevations are required by either State or locally adopted building 

codes or standards, the higher of the State or local minimums would apply. 

(5) A base flood elevation from an interim or preliminary or non-FEMA source may not be used 

if it is lower than the current FIRM. 

(6) Recipients shall also consider the best available data on sea-level rise, storm surge, 

scouring and erosion before rebuilding. 

§ 602.17 Application procedures. 

(a) As soon as practical after an emergency, major disaster or catastrophic failure, affected 

recipients shall make a preliminary field survey, working cooperatively with the appropriate FTA 

Regional Administrator and other governmental agencies with jurisdiction over affected public 

transportation systems. The preliminary field survey should be coordinated with the Federal 

Emergency Management Agency, if applicable, to eliminate duplication of effort. The purpose of 

this survey is to determine the general nature and extent of damage to eligible public 

transportation systems. 

53 
(1) The affected recipient shall prepare a damage assessment report. The purpose of the 

damage assessment report is to provide a factual basis for the FTA Regional Administrator's 

finding that serious damage to one or more public transportation systems has been caused by a 

natural disaster affecting a wide area, or a catastrophic failure. As appropriate, the damage 

assessment report should include by political subdivision or other generally recognized 

administrative or geographic boundaries— 

(i) The specific location, type of facility or equipment, nature and extent of damage; 

(ii) The most feasible and practical method of repair or replacement; 

(iii) A preliminary estimate of cost of restoration, replacement, or reconstruction for damaged 

systems in each jurisdiction. 

(iv) Potential environmental and historic impacts; 

(v) Photographs showing the kinds and extent of damage and sketch maps detailing the 

damaged areas; 

(vi) Recommended resilience projects to protect equipment and facilities from future 

emergencies or major disasters; and 

(vii) An evaluation of reasonable alternatives, including change of location, addition of 

resilience/mitigation elements, and any other alternative the recipient considered, for any 

damaged transit facility that has been previously repaired or reconstructed as a result of an 

emergency or major disaster. 

(2) Unless unusual circumstances prevail, the initial damage assessment report should be 

prepared within 60 days following the emergency, major disaster, or catastrophic failure. 

Affected recipients should update damage assessment reports as appropriate. 

(3) For large disasters where extensive damage to public transportation systems is readily 

evident, the FTA Regional Administrator may approve an application for assistance prior to 

submission of the damage assessment report. In these cases, the applicant shall prepare and 

submit to the FTA Regional Administrator an abbreviated or preliminary damage assessment 

report, summarizing eligible repair costs by jurisdiction, after the damage inspections have been 

completed. 

(b) Before funds can be made available, a grant application for emergency relief funds must be 

made to, and approved by, the appropriate FTA Regional Administrator. The application shall 

include: 

(1) A copy of the damage assessment report, as appropriate; 

(2) A list of projects, as documented in the damage assessment report, identifying emergency 

operations, emergency protective measures, and emergency repairs completed as well as 

permanent repairs needed to repair, reconstruct or replace the seriously damaged or destroyed 

rolling stock, equipment, facilities, and infrastructure to a state of good repair; and 

54 
 

(3) Supporting documentation showing other sources of funding available, including insurance 

policies, agreements with other Federal agencies, and any other source of funds available to 

address the damage resulting from the emergency or major disaster. 

(c) Applications for emergency operations must include the dates, hours, number of vehicles, 

and total fare revenues received for the emergency service. Only net project costs may be 

reimbursed. 

(d) Applicants that receive funding from another Federal agency for operating expenses and 

also seek funding from FTA for operating expenses must include: 

(1) A copy of the agreement with the other Federal agency, including the scope of the 

agreement, the amount funded, and the dates the other agency funded operating costs; and 

(2) The scope of service and dates for which the applicant is seeking FTA funding. 

(e) Applicants that receive funding from another Federal agency for emergency or permanent 

repairs or emergency protective measures and also seek funding from FTA for emergency or 

permanent repairs or emergency protective measures must include: 

(1) A copy of the agreement with the other Federal agency, including the scope of the 

agreement and the amount funded; and 

(2) A list of projects included in the other agency's application or equivalent document. 

(f) Applicants are responsible for preparing and submitting a grant application. The FTA regional 

office may provide technical assistance to the applicant in preparation of a program of projects. 

This work may involve joint site inspections to view damage and reach tentative agreement on 

the type of permanent repairs the applicant will undertake. Project information should be kept to 

a minimum, but should be sufficient to identify the approved disaster or catastrophe and to 

permit a determination of the eligibility of proposed work. If the appropriate FTA Regional 

Administrator determines the damage assessment report is of sufficient detail to meet these 

criteria, additional project information need not be submitted. 

(g) The appropriate FTA Regional Administrator's approval of the grant application constitutes a 

finding of eligibility under 49 U.S.C. 5324. 

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B. 49 CFR Part 601, Subpart D—Emergency Procedures for Public Transportation 

Systems 

Authority: 49 U.S.C. 5141 and 5334; 49 CFR §1.51. 

Source: 72 Federal Register (FR) 912, Jan. 9, 2007, unless otherwise noted. 

§ 601.40 Applicability 

This part prescribes procedures that apply to FTA grantees and sub-grantees when the 

President has declared a national or regional emergency, when a State Governor has declared 

a state of emergency, when the Mayor of the District of Columbia has declared a state of 

emergency, or in anticipation of such declarations. 

§ 601.41 Petitions for relief 

In the case of a national or regional emergency or disaster, or in anticipation of such a 

disaster, any FTA grantee or sub-grantee may petition the Administrator for temporary relief 

from the provisions of any policy statement, circular, guidance document or rule. 

§ 601.42 Emergency relief docket 

(a) By January 31st of each year, FTA shall establish an Emergency Relief Docket in the 

publicly accessible DOT Docket Management System (DMS) (http://dms.dot.gov). 

(b) FTA shall publish a notice in the Federal Register identifying, by docket number, the 

Emergency Relief Docket for that calendar year. A notice shall also be published in the 

previous year's Emergency Relief Docket identifying the new docket number. 

(c) If the Administrator, or his/her designee, determines that an emergency event has 

occurred, or in anticipation of such an event, FTA shall place a message on its web page 

(http://www.fta.dot.gov) indicating the Emergency Relief Docket has been opened and 

including the docket number. 

§ 601.43 Opening the docket 

(a) The Emergency Relief Docket shall be opened within two business days of an 

emergency or disaster declaration in which it appears FTA grantees or sub-grantees are 

or will be impacted. 

(b) In cases in which emergencies can be anticipated, such as hurricanes, FTA shall open 

the docket and place the message on the FTA web page in advance of the event. 

(c) In the event a grantee or sub-grantee believes the Emergency Relief Docket should be 

opened and it has not been opened, that grantee or sub-grantee may submit a petition in 

duplicate to the Administrator, via U.S. mail, to: Federal Transit Administration, 400 Seventh 

Street, SW., Washington, DC 20590; via telephone, at: (202) 366–4043; or via fax, at (202) 

366–3472, requesting opening of the Docket for that emergency and including the information 

56 
 

 

 

 

 

 

 

 

 

 

 

 

 

in §601.45. The Administrator in his/her sole discretion shall determine the need for opening 

the Emergency Relief Docket. 

§ 601.44 Posting to the docket 

(a) All petitions for relief must be posted in the docket in order to receive consideration by FTA. 

(b) The docket is publicly accessible and can be accessed 24 hours a day, seven days a week, 

via the Internet at the docket facility's Web site at http://dms.dot.gov. Petitions may also be 

submitted by U.S. mail or by hand delivery to the DOT Docket Management Facility, Room 

PL–401 (Plaza Level), 400 7th Street, SW, Washington, DC 20590. 

(c) In the event a grantee or sub-grantee needs to request immediate relief and does not 

have access to electronic means to request that relief, the grantee or sub-grantee may 

contact any FTA regional office or FTA headquarters and request that FTA staff submit the 

petition on their behalf. 

(d) Any grantee or sub-grantee submitting petitions for relief or comments to the docket must 

include the agency name (Federal Transit Administration) and that calendar year's docket 

number. Grantees and sub-grantees making submissions by mail or hand delivery should 

submit two copies. 

§ 601.45 Required information 

A petition for relief under this section shall: 

(a) Identify the grantee or sub-grantee and its geographic location; 

(b) Specifically address how an FTA requirement in a policy statement, circular, or agency 

guidance will limit a grantee's or sub-grantee's ability to respond to an emergency or disaster; 

(c) Identify the policy statement, circular, guidance document and/or rule from which the 

grantee or sub-grantee seeks relief; and 

(d) Specify if the petition for relief is one-time or ongoing, and if ongoing identify the time period 

for which the relief is requested. The time period may not exceed three months; however, 

additional time may be requested through a second petition for relief. 

§ 601.46 Processing of petitions 

(a) A petition for relief will be conditionally granted for a period of three (3) business days from 

the date it is submitted to the Emergency Relief Docket. 

(b) FTA will review the petition after the expiration of the three business days and review any 

comments submitted thereto. FTA may contact the grantee or sub-grantee that submitted the 

request for relief, or any party that submits comments to the docket, to obtain more information 

prior to making a decision. 

(c) FTA shall then post a decision to the Emergency Relief Docket. FTA's decision will be 

based on whether the petition meets the criteria for use of these emergency procedures, 

the substance of the request, and the comments submitted regarding the petition. 

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(d) If FTA fails to post a response to the request for relief to the docket within three business 

days, the grantee or sub-grantee may assume its petition is granted until and unless FTA 

states otherwise. 

§ 601.47 Review Procedures 

(a) FTA reserves the right to reopen any docket and reconsider any decision made pursuant to 

these emergency procedures based upon its own initiative, based upon information or 

comments received subsequent to the three business day comment period, or at the request of 

a grantee or sub-grantee upon denial of a request for relief. FTA shall notify the grantee or 

sub-grantee if it plans to reconsider a decision. 

(b) FTA decision letters, either granting or denying a petition, shall be posted in the appropriate 

Emergency Relief Docket and shall reference the document number of the petition to which it 

relates. 

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C. Frequently Asked Questions 

During disaster response and recovery, transit agencies primarily transport response and 

recovery personnel and support the evacuation of affected populations, including individuals 

with access and functional needs, children, and household pets and service animals. Transit 

agencies also manage transportation assets in coordination with federal, state, and local 

emergency operations centers and support transportation service restoration following a 

disaster. 

Answers to some frequently asked questions are organized and presented under the 

following topics: 

C1. Information for transit agencies directly impacted
 

C2. Restoration or addition of services
 

C3. Funding eligibility and reimbursement
 

C4. Assistance for evacuees 

C5. Assistance for special needs populations – ADA paratransit
 

C6. Charter service requirements 

C1. Information for Transit Agencies Directly Impacted 

1. Following a declared emergency or disaster, do transit agencies need to 

document damage to vehicles and facilities? 

Yes. Transit agencies should document the condition of the vehicles and facilities against 

the agencies’ written inventories. Transit agencies can contact their regional FTA office for 

further information. 

2. Following a declared emergency or disaster, can impacted transit agencies 

borrow vehicles from other FTA grantees without obtaining FTA 

determinations that the vehicles are for incidental use? Whose insurance 

covers the vehicle? 

Yes. FTA considers the loan of vehicles for this use to be a permissible “incidental use.” 

Transit agencies and other entities involved in borrowing and lending of vehicles should 

communicate with their insurance companies to determine insurance coverage. FTA 

encourages transit agencies to reach agreements with other public and private agencies 

that may have vehicles the agencies can borrow for emergency evacuations, in advance 

of emergencies. Transit agencies may contact APTA, which, through funding from FTA, 

is facilitating these agreements. 

3. If offices are damaged or destroyed, can transit agencies use FTA capital funds to 

establish temporary facilities and acquire office equipment? 

Yes. Transit agencies can use FTA capital formula funds to pay for the cost of leasing 

office space and furnishings. However, these costs may also be eligible for FTA ER 

Program funding or FEMA reimbursement. Transit agencies should contact their FTA 

regional office if they wish to use capital formula funds to pay for leasing costs or if they 

intend to apply for funding under FTA’s ER Program. Transit agencies should also contact 

their state emergency management office and FEMA to seek reimbursement for funds 

spent on leasing office space and furnishings. 

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4. If transit agencies are unable to provide service as a result of a declared 

emergency or disaster, can the agencies still use FTA funds to pay eligible 

salaries of staff that are not working? 

No. Salaries of employees who are engaged in work to restore service are eligible for FTA 

reimbursement as a normal operating expense. However, if a transit agency is not 

providing service, then the transit agency may not use FTA funds to pay employees who 

are not engaged in activities related to restoring service. However, these out-of-work 

employees may be eligible for Disaster Unemployment Assistance (see question 5 below). 

5. What can transit agencies do to assist employees who are out of work as a result of 

the declared emergency or disaster? 

Transit employees who lose their jobs as a result of a disaster, or who still have their jobs 

but are unable to work and not drawing paychecks, may apply for Disaster Unemployment 

Assistance (DUA). DUA provides weekly benefits to persons who are unemployed and not 

eligible for regular unemployment insurance compensation. Transit agencies should 

advise their out-of-work employees to call 1-800-621-FEMA or the local unemployment 

office for information. If transit employees are labor union members, they may also contact 

their union representatives to determine if additional assistance is available from the 

unions. 

6. If a transit agency is unable to provide normal service levels or has had to change 

service routes following a declared emergency or disaster, what should the 

agency do to stay in good standing with FTA with respect to funding? 

FTA will not take punitive actions against transit agencies that are unable to provide 

normal service because of a declared emergency or disaster. 

7. What happens if a transit agency can no longer carry out the purposes of an 

open grant? What happens to the funds the grantee has already spent? 

FTA will not take punitive actions against grantees that can no longer carry out the 

purposes of an open grant because of a declared emergency or disaster. FTA will help 

grantees determine opportunities to change the grants for other eligible purposes. 

Grantees should contact their regional FTA office to discuss possible options. 

C2. Restoration or addition of services 

1. What do transit agencies need to do to add new routes to assist relocated 

residents? 

Transit agencies may add new routes to assist relocated residents at their discretion. 

Transit agencies that receive funds through their state department of transportation should 

coordinate their plans to change service with their state transit office or local government, as 

appropriate. 

2. Can transit agencies provide service outside their normal service area in order to 

help affected people access local community services (e.g., medical offices, 

churches, social service agencies, grocery stores)? 

Yes. Transit agencies should contact their local transportation authorities about temporary 

changes in service areas to meet the needs of evacuees and relocated residents. 

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3. Can transit agencies keep a contingency fleet of vehicles to use in case of 

emergencies or disasters? 

Yes. Transit agencies may place buses in an inactive contingency fleet (stockpile) in 

preparation for emergencies. However, transit agencies may not stockpile buses before 

they have reached the end of their minimum normal service life. Transit agencies must 

store and maintain buses in a contingency fleet, and must document them in a 

contingency plan, updated as necessary, to support the continuation of the fleet. 

FTA may request information about a contingency fleet during application reviews. FTA 

may also review contingency plans during triennial reviews required for the Urbanized Area 

Formula Program. FTA will consider any buses not supported by a contingency plan as 

part of the active fleet. Because buses in a contingency fleet are not part of an active fleet, 

they do not count in the calculation of spare ratio. 

C3. Funding Eligibility and Reimbursement 

1. Following a declared emergency or disaster, how does an impacted transit agency 

get its damaged fleet and facilities replaced? Will FTA or FEMA pay? 

A transit agency may apply to FTA for ER Program funding, if available. If funding is not 

available under FTA’s ER program, FEMA’s Public Assistance Program may be able to 

assist in replacing damaged or destroyed property. Transit agencies should work with the 

state department of transportation (SDOT) or emergency management agency (EMA) per 

the state’s disaster recovery plan. Transit agencies should also contact their insurance 

companies regarding coverage. 

2. If a transit agency takes part in disaster response, how does the agency request 

and receive support or reimbursement for their efforts? 

If funding is available under the FTA ER Program, FTA may award funding for 

emergency operating expenses. If FTA ER funding is not available, a transit agency 

should contact state emergency management officials, which establish the process for 

disaster reimbursement applications, in coordination with FEMA. Reimbursements are 

eligible if the disaster is Presidentially-declared. 

3. Who is eligible for ER funding? 

Eligible recipients of FTA ER funding are entities that receive Federal transit funding directly 

from FTA, whether as a State, a designated recipient of 5307 Program funding, or as a 

direct recipient of other program funds. Eligible recipients are typically States and public 

transit systems. Eligible recipients may apply for FTA ER Program funds on behalf of 

themselves and any subrecipients. 

4. Are emergency repairs required to be included in the TIP/STIP? 

No, emergency or permanent repairs undertaken within one year of the date of a declared 

disaster do not need to be included in the TIP/STIP unless they involve substantial 

functional, locational, or capacity changes. Resilience projects must be included in the 

TIP/STIP. 

5. Can a transit agency be reimbursed for transit passes that it provides to 

evacuees? 

State emergency management offices manage FEMA reimbursements. Transit agencies 

should contact their state emergency management offices to determine whether these 

61 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

offices will consider the reimbursement of bus passes. Appendix F contains state 

emergency contacts links. See question 3 in section B4 for additional information. 

6. Are other resources available to pay for transit passes? 

Transit agencies should contact human resource partners in their communities to identify 

other opportunities for purchasing bus tokens or transit passes. The Federal Interagency 

Coordinating Council on Access and Mobility has identified 37 federal programs that will pay 

for gas, bus tokens, and transit passes. In most cases, decisions are made at the state or 

local level. 

C4. Assistance for Evacuees 

1. How can transit agencies help to meet the transportation needs of local 

evacuees? 

FTA encourages transit agencies to work with local government officials and human 

service agencies to identify individuals who need transportation services. 

2. How does a transit agency implement a transit pass program with evacuation 

shelters? 

Transit agencies may simply give individuals with evacuation shelter identification free 

access to the fixed routes within the transit system. Transit agencies that want to give 

paper passes or tokens may consider establishing distribution desks at shelters. Transit 

agencies should contact their state emergency management office and FEMA regional 

office to apply for reimbursement of transit passes as an eligible expense. 

3. Does federal law require transit agencies to charge fares for transportation 

services or assistance during declared emergencies or disasters? 

Federal law does not require transit agencies to charge fares. 

C5. Assistance for Special Needs Populations – ADA Paratransit 

1. How do transit agencies manage the increase in service requests for ADA 

complementary demand response service for individuals who cannot use the fixed 

route system? 

FTA encourages transit agencies to take a leadership role in convening a meeting of all 

human services and transportation providers in the community or area to identify the 

resources available to address the transportation needs of evacuees who require 

specialized transportation services. Potential transportation providers may include 

schools, senior centers, head start programs, health centers, churches, and other 

organizations that have vehicles typically used for transporting specific populations. 

Transportation resources can be matched at the types and levels of need identified by 

shelters and other social service agencies to provide a coordinated plan. 

2. If an individual seeks paratransit service but doesn’t have identification or 

verification of ADA eligibility, should transit agencies provide the service? 

FTA encourages transit agencies to provide service to all evacuees who request paratransit 

service, even if the individuals don’t have identification or documentation that they are 

eligible. Transit agencies can comply with federal requirements by granting visitor status for 

a reasonable time, which may exceed the 21 days provided for in the DOT ADA regulation. 

If an evacuee permanently relocates, use of the local eligibility process is appropriate to 

determine long-term eligibility for ADA services. 

62 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

3. If a transit agency provides fixed route service via new routes to serve affected 

persons, do ADA paratransit requirements apply to the new routes? What if the 

transit agency doesn’t have the additional capacity to provide ADA paratransit on 

the new routes? 

ADA paratransit requirements will apply to the new routes. However, FTA recognizes 

that the sudden influx of evacuees who need ADA paratransit service may place 

additional demands on a paratransit system, possibly resulting in unavoidable trip 

denials, long waits, or an inability to provide next-day service. In determining whether an 

ADA paratransit system is experiencing significant trip denials, missed trips, untimely 

pickups, or long trip times, FTA will consider whether these incidents are due to 

circumstances outside of the transit agency’s control. 

4. Will transit agencies be reimbursed by FTA or FEMA for extraordinary 

paratransit expenses? 

Maybe. Transit agencies should keep records of transportation services provided to 

evacuees and the cost of these services. Transit agencies should contact their state 

emergency management office to make the office aware of their expenses. 

5. How can transit agencies identify individuals who require transportation 

assistance before an emergency arises? 

Transit agencies can work with local government agencies and human services providers 

in advance of an emergency to obtain registries where individuals have voluntarily 

identified themselves as requiring transportation assistance. Transit agencies may also 

explore shared data use agreements with human services agencies to continue identifying 

those individuals who will require transportation assistance. 

6. How can transit agencies help individuals who require transportation assistance as 

an emergency occurs? 

During an emergency, FTA encourages transit agencies to work quickly to notify individuals 

who require transportation assistance of the time and place of pickup and to dispatch 

drivers in vehicles, including accessible vehicles. Transit agencies may also consider 

launching an emergency hotline regarding transportation evacuation information as well as 

posting information on websites and social media. 

C6. Charter Service Requirements 

1. During a declared emergency or disaster, must all transit service be “open door”? 

For example, does providing service to a group of shelter residents to a specific 

location trigger the charter rule? 

Transit agencies may take actions, such as providing service for evacuations, returning 

evacuees from shelters to their homes, transporting utility workers, and providing service to 

shelter residents, as long as these actions are directly related to an emergency declared by 

the President, governor, or mayor, or are directly related to an emergency requiring 

immediate action prior to a formal declaration. Transit agencies may provide such services 

for up to 45 days. If the declared emergency lasts more than 45 days, transit agencies 

must follow the procedures set out in 49 CFR Part 601, Subpart D – Emergency 

Procedures for Public Transportation Systems (see Appendix B). 

63 
D. FTA Regional Office Contact Information 

FTA Regional Offices. FTA regional contact information is available at
 

http://www.fta.dot.gov/12926.html. 

FTA Region I 

Connecticut, Maine, Massachusetts, New Hampshire, New Jersey, Rhode Island, 

Vermont 

Federal Transit Administration Transportation Systems Center Kendall Square 

55 Broadway, Suite 920 

Cambridge, MA 02142-1093 

Phone (617) 494-2055 

Fax (617) 494-2865 

FTA Region II 

New Jersey, New York
 

Federal Transit Administration 

One Bowling Green, Room 429 

New York, NY 10004-1415 

Phone (212) 668-2170 

Fax (212) 668-2136 

FTA Region III 

Delaware, Maryland, Pennsylvania, Virginia, West Virginia, and District of Columbia 

Federal Transit Administration 

1760 Market Street, Suite 500 

Philadelphia, PA 19103-4124 

Phone (215) 656-7100 

Fax (215) 656-7260 

FTA Region IV 

Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina, South Carolina, 

Tennessee 

Federal Transit Administration 

230 Peachtree, NW Suite 800 

Atlanta, GA 30303 

Phone (404) 865-5600 

Fax (404) 865-5606 

FTA Region V 

Illinois, Indiana, Ohio, Michigan, Minnesota, Wisconsin
 

Federal Transit Administration 

200 W Adams Street
 

Suite 320
 

Chicago, IL 60606 

Phone (312) 353-2789 

Fax (312) 886-0351 

64 
 

 

 

 

 

FTA Region VI
 

Arkansas, Louisiana, New Mexico, Oklahoma, Texas
 

Federal Transit Administration 

819 Taylor Street, Room 8A36
 

Fort Worth, TX 76102
 

Phone (817) 978-0550 

Fax (817) 978-0575 

FTA Region VII
 

Iowa, Kansas, Missouri, Nebraska
 

Federal Transit Administration 

901 Locust Street, Suite 404 

Kansas City, MO 64106
 

Phone (816) 329-3920 

Fax (816) 329-3921
 

FTA Region VIII
 

Colorado, Montana, Wyoming, North Dakota, South Dakota, Utah 

Federal Transit Administration 

12300 W Dakota Avenue
 

Suite 310
 

Phone (720) 963-3300 

Fax (720) 963-3333 

Lakewood, CO 80228-2583 

FTA Region IX
 

Arizona, California, Nevada 

Federal Transit Administration 

201 Mission Street, Suite 1650 

Phone (415) 744-3133 

Fax (415) 744-2726 

San Francisco, CA 94105-1839 

FTA Region X
 

Alaska, Idaho, Oregon, Washington 

Federal Transit Administration 

Jackson Federal Building 

915 Second Avenue, Suite 3142
 

Phone (206) 220-7954 

Fax (206) 220-7959 

Seattle, WA 98174-1002 

65 
 

 

E. FEMA Regional Office Contact Information 

Region 1 

Connecticut, Maine, Massachusetts, New 

Hampshire, Rhode Island, Vermont 

Federal Emergency Management Agency 

99 High Street, 6th Floor 

Boston, MA 02110-2320 (617) 956-7501 

Region 2 

New Jersey, New York, Puerto Rico, Virgin Islands 

Federal Emergency Management Agency 

26 Federal Plaza, Room 1337 

New York, NY 10278-0002 (212) 225-7209 

Region 3 

Delaware, District of Columbia, Maryland, 

Pennsylvania, Virginia, West Virginia Federal Emergency Management Agency One 

Independence Mall, 6th Floor 

615 Chestnut Street 

Philadelphia, PA 19106-4404 (215) 931-5608 

Region 4 

Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina, South Carolina, Tennessee 

Federal Emergency Management Agency 

3003 Chamblee-Tucker Road 

Atlanta, GA 30341 (770) 220-5200 

Region 5 

Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin 

Federal Emergency Management Agency 

536 South Clark Street, 6th Floor 

Chicago, IL 60605 (312) 408-5500 

Region 6 

Arkansas, Louisiana, New Mexico, Oklahoma, Texas 

Federal Emergency Management Agency 

Federal Regional Center 

800 N. Loop 288 

Denton, TX 76201-3698 (940) 898-5104 

Region 7 

Iowa, Kansas, Missouri, Nebraska 

Federal Emergency Management Agency 

9221 Ward Parkway, Suite 300 

Kansas City, MO 64114 (816) 283-7061 

66 
 

Region 8 

Colorado, Montana, North Dakota, South 

Dakota, Utah, Wyoming 

Federal Emergency Management Agency 

Denver Federal Center 

Building 710, Box 25267 

Denver, CO 80225-0267 (303) 235-4812 

Region 9 

American Samoa, Arizona, California, Guam, Hawaii, Nevada, Commonwealth of the Northern 

Mariana Islands, Federated States of Micronesia, Republic of the Marshall Islands 

Federal Emergency Management Agency 

1111 Broadway, Suite 1200 

Oakland, CA 94607-4052 (510) 627-7100 

Region 10 

Alaska, Idaho, Oregon, Washington 

Federal Emergency Management Agency 

Federal Regional Center 

130 228th Street, S.W. Bothell, WA 98021-9796 

(425) 487-4600 

67 
 

 

F. State Emergency Contact Information 

FEMA state offices and agencies of emergency management are available at
 

https://www.fema.gov/state-offices-and-agencies-emergency-management. 

Alabama Emergency Management Agency 

5898 County Road 41
 

P.O. Drawer 2160 

Clanton, Alabama 35046-2160 (205) 280-2200
 

(205) 280-2495 FAX 

ema.alabama.gov/ 

Alaska Division of Homeland Security and Emergency Management 

P.O. Box 5750 

Fort Richardson, Alaska 99505-5750 (907) 428-7000 

(907) 428-7009 FAX 

http://www.ready.alaska.gov/ 

American Samoa Territorial Emergency Management Coordination (TEMCO) American 

Samoa Government 

P.O. Box 1086 

Pago Pago, American Samoa 96799 

(011) (684) 699-6415 

(011) (684) 699-6414 FAX 

Arizona Division of Emergency Management 

5636 E. McDowell Road
 

Phoenix, Arizona 85008-3495 

(800) 411-2336 | (602) 244-0504 

(602) 464-6356 FAX 

www.dem.azdema.gov 

Arkansas Department of Emergency Management 

Bldg. # 9501 

Camp Joseph T. Robinson 

North Little Rock, Arkansas 72199-9600 

(501) 683-6700 

(501) 683-7890 FAX 

www.adem.arkansas.gov/ 

California Emergency Management Agency 

3650 Schriever Ave.
 

Mather, California 95655 

(916) 845-8506 

(916) 845-8511 (FAX) 

www.calema.ca.gov 

Colorado Division of Homeland Security and Emergency Management 

Department of Public Safety 

9195 East Mineral Avenue 

68 
 

 

 

 

Suite 200 

Centennial, Colorado 80112 

(720) 852-6600 

(720) 852-6750 Fax 

http://www.dhsem.state.co.us/ or www.coemergency.com 

Connecticut Office of Emergency Management 

Department of Emergency Management and Homeland Security 

25 Sigourney Street 6th floor 

Hartford, Connecticut 06106-5042 

(860) 256-0800 

(860) 256-0815 FAX 

www.ct.gov/demhs/ 

Delaware Emergency Management Agency 

165 Brick Store Landing Road 

Smyrna, Delaware 19977 

(302) 659-3362 

(302) 659-6855 FAX 

www.dema.delaware.gov 

District of Columbia Emergency Management Agency 

2720 Martin Luther King, Jr. Avenue, S.E. 

Second Floor 

Washington, D.C. 20032 

(202) 727-6161 

(202) 673-2290 FAX 

dcema.dc.gov 

Florida Division of Emergency Management 

2555 Shumard Oak Boulevard 

Tallahassee, Florida 32399-2100 

(850) 413-9969 

(850) 488-1016 FAX 

http://www.floridadisaster.org 

Georgia Emergency Management Agency 

935 East Confederate Ave SE 

P.O. Box 18055 

Atlanta, Georgia 30316-0055 

(404) 635-7000 

(404) 635-7205 FAX 

http://www.gema.ga.gov 

Guam Homeland Security/Office of Civil Defense 

221B Chalan Palasyo 

Agana Heights, Guam 96910 

(671) 475-9600 

(671) 477-3727 FAX 

http://ghs.guam.gov/ 

69 
 

Hawaii State Civil Defense 

3949 Diamond Head Road 

Honolulu, Hawaii 96816-4495 

(808) 733-4300 

(808) 733-4287 FAX 

www.scd.hawaii.gov 

Idaho Bureau of Homeland Security 

4040 Guard Street, Bldg. 600 

Boise, Idaho 83705-5004 

(208) 422-3040 

(208) 422-3044 FAX 

www.bhs.idaho.gov/ 

Illinois Emergency Management Agency 

2200 S. Dirksen Parkway 

Springfield, Illinois 62703 

(217) 782-2700 

(217) 557-1978 FAX www.state.il.us/iema 

Indiana Department of Homeland Security 

Indiana Government Center South 

302 West Washington Street, Room E208 

Indianapolis, Indiana 46204-2767 

(317) 232-3986 

(317) 232-3895 FAX 

http://www.in.gov/dhs/emermgtngpgm.htm 

Indiana State Emergency Management Agency 

302 West Washington Street 

Room E-208 A 

Indianapolis, Indiana 46204-2767 

(317) 232-3986 

(317) 232-3895 FAX 

www.ai.org/sema/index.html 

Iowa Homeland Security & Emergency Management Division 

7105 NW 70th Ave, Camp Dodge 

Building W-4 

Johnston, Iowa 50131 

(515) 725-3231 

(515) 281-3260 FAX 

www.iowahomelandsecurity.org 

Kansas Division of Emergency Management 

2800 S.W. Topeka Boulevard 

Topeka, Kansas 66611-1287 

(785) 274-1409 

(785) 274-1426 FAX 

www.kansastag.gov/kdem_default.asp 

70 
 

Kentucky Emergency Management 

EOC Building 

100 Minuteman Parkway Bldg. 100 

Frankfort, Kentucky 40601-6168 

(502) 607-1682 or (800) 255-2587 

(502) 607-1614 FAX 

www.kyem.ky.gov/ 

Louisiana Office of Emergency Preparedness 

7667 Independence Boulevard 

Baton Rouge, Louisiana 70806 

(225) 925-7500 

(225) 925-7501 FAX 

www.gohsep.la.gov 

Maine Emergency Management Agency 

#72 State House Station 

45 Commerce Drive, Suite #2 

Augusta, Maine 04333-

0072 (207) 624-4400 

(207) 287-3180 (FAX) 

www.maine.gov/mema 

CNMI Emergency Management Office 

Office of the Governor 

Commonwealth of the Northern Mariana Islands 

P.O. Box 10007 

Saipan, Mariana Islands 

96950 (670) 322-9529 

(670) 322-7743 FAX 

http://cnmihsem.gov.mp/ 

National Disaster Management Office 

Office of the Chief Secretary 

P.O. Box 15 

Majuro, Republic of the Marshall Islands 96960-0015 

(011) (692) 625-5181 

(011) (692) 625-6896 FAX 

Maryland Emergency Management Agency 

Camp Fretterd Military Reservation 

5401 Rue Saint Lo Drive 

Reisterstown, Maryland 

21136 (410) 517-3600 

(877) 636-2872 Toll-Free 

(410) 517-3610 FAX 

www.mema.state.md.us/ 

71 
 

Massachusetts Emergency Management Agency 

400 Worcester Road 

Framingham, Massachusetts 

01702-5399 (508) 820-2000 

(508) 820-2030 FAX 

www.state.ma.us/mema 

Homeland Security and Emergency Management Division 

Michigan Dept. of State Police 

4000 Collins Road 

Lansing, Michigan 48909-8136 

(517) 333-5042 

(517) 333-4987 FAX 

www.michigan.gov/emhsd 

National Disaster Control Officer 

Federated States of Micronesia 

P.O. Box PS-53 

Kolonia, Pohnpei – Micronesia 96941 

(011) (691) 320-8815 

(001) (691) 320-2785 FAX 

Minnesota Homeland Security and Emergency Management Division 

Minnesota Department of Public Safety 

444 Cedar Street, Suite 223 

St. Paul, MN 55101-6223 

(651) 201-7400 

(651) 296-0459 FAX 

www.hsem.state.mn.us 

Mississippi Emergency Management Agency 

P.O. Box 5644 

Pearl, MS 39288-5644 

(601) 933-6362 

(800) 442-6362 Toll Free 

(601) 933-6800 FAX 

www.msema.org 

Missouri Emergency Management Agency 

2302 Militia Drive 

P.O. Box 116 

Jefferson City, Missouri 65102 

(573) 526-9100 

(573) 634-7966 FAX 

sema.dps.mo.gov 

72 
 

 

Montana Division of Disaster & Emergency Services 

1956 Mt Majo Street 

PO Box 4789 

Fort Harrison, Montana 59636-4789 

(406) 324-4777 

(406) 324-4790 FAX 

http://montanadma.org/disaster-and-emergency-services 

Nebraska Emergency Management Agency 

1300 Military Road 

Lincoln, Nebraska 68508-1090 

(402) 471-7421 

(402) 471-7433 FAX 

www.nema.ne.gov 

Nevada Division of Emergency Management 

2478 Fairview Drive 

Carson City, Nevada 89701 

(775) 687-0300 

(775) 687-0330 FAX 

www.dem.state.nv.us/ 

New Hampshire Governor's Office of Emergency Management 

State Office Park South 

33 Hazen Drive 

Concord, New Hampshire 

03305 (603) 271-2231 

(603) 271-3609 FAX 

www.nh.gov/safety/divisions/bem 

New Jersey State Police 

New Jersey Office of Emergency Management 

P.O. Box 7068, River Rd. 

West Trenton, New Jersey 08628-0068 

(609) 538-6050 Monday-Friday 

(609) 963-6900 Emergency 

(609) 963-6208 Mitigation 

(609) 882-2000 Ext. 6214 State Training Officer
 

(609) 671-0160 FAX 

www.ready.nj.gov 

New Mexico Department of Homeland Security and Emergency Management (DHSEM) 

13 Bataan Boulevard 

P.O. Box 27111 

Santa Fe, New Mexico 87502 

(505) 476-9600/(505) 476-9635 Emergency 

(505) 476-9695 FAX 

www.nmdhsem.org/ 

73 
 

 

New York State Emergency Management Office 

1220 Washington Avenue 

Building 22, Suite 101 

Albany, New York 12226-2251 

(518) 292-2275 

(518) 322-4978 FAX 

www.dhses.ny.gov/oem/

North Carolina Division of Emergency Management 

1636 Gold Star Drive 

4713 Mail Service Center 

Raleigh, NC 27607-3371 

(919) 825-2500 

(800) 858-0368 24-hour operations 

www.ncem.org/ 

North Dakota Department of Emergency Services 

P.O. Box 5511 

Bismarck, North Dakota 58506-5511 

(701) 328-8100 

(701) 328-8181 FAX 

www.nd.gov/des 

Ohio Emergency Management Agency 

2855 West Dublin-Granville Road 

Columbus, Ohio 43235-2206 

(614) 889-7150 

(614) 889-7183 FAX 

http://ema.ohio.gov 

Oklahoma Department of Emergency Management 

2401 Lincoln Blvd Suite C51 

Oklahoma City, Oklahoma 73105 

(405) 521-2481 

(405) 521-4053 FAX 

http://www.ok.gov/OEM/ 

Oregon Emergency Management 

Oregon Military Department 

3225 State St 

Salem, Oregon 97301 

(503) 378-2911 

(503) 373-7833 FAX 

www.oregon.gov/OMD/OEM/index.shtml 

74 
 

 

 

Palau NEMO Coordinator 

Office of the President
 

P.O. Box 100 

Koror, Republic of Palau 96940 

(011) (680) 488-2422 

(011) (680) 488-3312 

Pennsylvania Emergency Management Agency 

2605 Interstate Drive 

Harrisburg, PA 17110-9463 

(717) 651-2001 

(717) 651-2040 FAX 

www.pema.state.pa.us/ 

Puerto Rico Emergency Management Agency 

P.O. Box 966597 

San Juan, Puerto Rico 00906-6597 (787) 724-0124 

(787) 725-4244 FAX 

http://www2.pr.gov/Directorios/Pages/InfoAgencia.aspx?PRIFA=021 

Rhode Island Emergency Management Agency 

645 New London Ave 

Cranston, Rhode Island 02920-3003 

(401) 946-9996 

(401) 944-1891 FAX 

www.riema.ri.gov 

South Carolina Emergency Management Division 

2779 Fish Hatchery Road 

West Columbia, South Carolina 29172 

(803) 737-8500 

(803) 737-8570 FAX 

www.scemd.org/ 

South Dakota Division of Emergency Management 

118 West Capitol 

Pierre, South Dakota 57501 

(605) 773-3231 

(605) 773-3580 FAX 

www.oem.sd.gov 

Tennessee Emergency Management Agency 

3041 Sidco Drive 

Nashville, Tennessee 37204-1502 

(615) 741-0001 

(615) 242-9635 FAX 

www.tnema.org 

Texas Division of Emergency Management 

5805 N. Lamar 

P.O. Box 4087 

75 
 

Austin, Texas 78773-0220 

(512) 424-2138 

(512) 424-2444 or 7160 FAX 

www.txdps.state.tx.us/dem/ 

Utah Division of Emergency Management 

1110 State Office Building 

P.O. Box 141710 

Salt Lake City, Utah 84114-1710 

(801) 538-3400 

(801) 538-3770 FAX 

http://publicsafety.utah.gov/emergencymanagement/ 

Vermont Emergency Management Agency 

Department of Public Safety 

Waterbury State Complex 

103 South Main Street 

Waterbury, Vermont 05671-2101 

(802) 244-8721 or (800) 347-0488 

(802) 244-8655 FAX 

http://dps.vermont.gov/demhs 

Virgin Islands Territorial Emergency Management – VITEMA 

2-C Contant, A-Q Building 

Virgin Islands 00820 

(340) 774-2244 

(340) 774-1491 

Virginia Department of Emergency Management 

10501 Trade Court 

Richmond, VA 23236-3713 

(804) 897-6500 

(804) 897-6556 FAX 

www.vaemergency.gov/ 

State of Washington Emergency Management Division 

Building 20, M/S: TA-20 

Camp Murray, Washington 98430-5122 

(253) 512-7000 

(800) 562-6108 

(253) 512-7200 FAX 

www.emd.wa.gov/ 

76 
 

   

West Virginia Office of Emergency Services 

Building 1, Room EB-80 

1900 Kanawha Boulevard, East 

Charleston, West Virginia 25305-0360 

(304) 558-5380 

(304) 344-4538 FAX 

http://www.dhsem.wv.gov/Pages/default.aspx 

Wisconsin Emergency Management 

2400 Wright Street 

P.O. Box 7865 

Madison, Wisconsin 53707-7865 

(608) 242-3232 

(608) 242-3247 FAX 

emergencymanagement.wi.gov/ 

Wyoming Office of Homeland Security 

5500 Bishop Blvd 

East Door 

Cheyenne, Wyoming 82002 (307) 777-4663 

(307) 777-4321 after hours 

(307) 635-6017 FAX 

wyohomelandsecurity.state.wy.us 

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G. Glossary of Common Emergency Relief Terms 

Regulatory definitions applicable for the FTA Emergency Relief Program are found in Appendix 

A, and in 49 CFR subpart 602.5. 

Other common emergency relief terms are defined below. These definitions were taken from the 

following sources: 

• DHS Risk Lexicon. September 2008. U.S. Department of Homeland Security. 

Available at http://www.dhs.gov/xlibrary/assets/dhs_risk_lexicon.pdf 

• An Introduction to All-Hazards Preparedness for Transit Agencies. May 2010. Federal 

Transit Administration. Available at http://transit-safety.fta.dot.gov/publications/ 

DocumentInfo.aspx?DocID=1122 

• National Disaster Recovery Framework. September 2011. Federal Emergency 

Management Agency. Available at http://www.fema.gov/pdf/recoveryframework/ndrf.pdf 

• National Incident Management System. December 2008. U.S. Department of 

Homeland Security. Available at http://www.fema.gov/pdf/emergency/nims/NIMS_core.pdf 

• National Infrastructure Protection Plan. 2009. U.S. Department of Homeland Security. 

Available at http://www.dhs.gov/xlibrary/assets/NIPP_Plan.pdf 

• National Preparedness Guidelines. September 2007. U.S. Department of Homeland 

Security. Available at http://www.fema.gov/library/viewRecord.do?id=3773 

• National Response Framework. January 2008. U.S. Department of Homeland 

Security. 

Available at http://www.fema.gov/pdf/emergency/nrf/nrf-core.pdf 

• The Public Transportation System Security and Emergency Preparedness Planning 

Guide. January 2003. Federal Transit Administration. DOT-FTA-MA-26-5019-03-01. 

DOT-VNTSC-FTA-03-01. Available at http://transitsafety.volpe.dot.gov/publications/security/PlanningGuide.pdf 

• Transit Security Update: A Synthesis of Practice. 2009. Transportation Research 

Board.
 

Transit Cooperative Research Program (TCRP) Synthesis 80. Available at
 

http://www.aptaerpp.com/tsyn80.pdf. 

All-hazards. 1) Integrated planning and capability building for safety, security, and 

emergency management to optimize and continuously improve the use of resources and the 

management of risks from hazards, threats, vulnerabilities, and adverse events or incidents.
 

Source: An Introduction to All-Hazards Preparedness for Transit Agencies (2010); 2) 

Describing an incident, natural or manmade, that warrants action to protect life, property,
 

environment, and public health or safety, and to minimize disruptions of government, social, 

or economic activities. Source: National Incident Management System (NIMS) (2008) and 

National Response Framework (NRF) Glossary and Acronyms. 

78 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Emergency. 1) A situation which is life threatening to passengers, employees, or other 

citizens, or which causes significant damage to any transit vehicle or facility that requires 

assessment and repair, or which reduces the ability of the system to fulfill its mission within 

its service area. Source: The Public Transportation Security and Emergency Preparedness 

Planning Guide (2003); 2) Any incident, whether natural or manmade, that requires 

responsive action to protect life or property. Source: NIMS (2008) and NRF Glossary and 

Acronyms (2008); 3) Any occasion or instance for which, in the determination of the 

President, [F]ederal assistance is needed to supplement [S]tate and local efforts and 

capabilities to save lives and to protect property and public health and safety, or to lessen or 

avert the threat of a catastrophe in any part of the United States. Source: Robert T. Stafford 

Disaster Relief and Emergency Assistance Act (42 U.S.C. 5122). 

Evacuation. 1) A condition requiring all passengers and employees to depart a transit 

vehicle and enter onto the transit right-of-way or roadway under emergency circumstances. 

Source: TCRP Synthesis 80, Transit Security Update (2009); 2) Organized, phased, and 

supervised withdrawal, dispersal, or removal of civilians from dangerous or potentially 

dangerous areas, and their reception and care in safe areas. Source: NIMS (2008) and NRF 

Glossary and Acronyms. 

Incident. An occurrence, natural or manmade, that requires a response to protect life or 

property. Incidents can, for example, include major disasters, emergencies, terrorist attacks, 

terrorist threats, civil unrest, wild-land and urban fires, floods, hazardous materials spills, 

nuclear accidents, aircraft accidents, earthquakes, hurricanes, tornadoes, tropical storms, 

tsunamis, war- related disasters, public health and medical emergencies, and other 

occurrences requiring an emergency response. Source: NIMS (2008) and NRF Glossary and 

Acronyms. 

Incident/Attack. 1) Occurrence, caused by either human action or natural phenomena, 

which may cause harm and may require action. Source: National Infrastructure Protection 

Plan (NIPP) (2009); 2) Occurrence, caused by either human action or natural phenomena, 

that may cause harm and that may require action. Source: DHS Risk Lexicon (2008); 3) 

Actual or potential emergency or all-hazards event that ranges from accident and natural 

disaster to actual or potential terrorist attack. Source: NRF (2008). 

Incident command system. A standardized on-scene emergency management 

construct specifically designed to provide an integrated organizational structure that 

reflects the complexity and demands of single or multiple incidents, without being 

hindered by jurisdictional boundaries. ICS is the combination of facilities, equipment, 

personnel, procedures, and communications operating within a common 

organizational structure, designed to aid in the management of resources during 

incidents. Source: NIMS (2008) and NRF Glossary and Acronyms. 

Major disaster. Any natural catastrophe or, regardless of cause, any fire, flood, or 

explosion, in any part of the United States, which[,] in the determination of the President[,] 

causes damage of sufficient severity and magnitude to warrant major disaster assistance 

under this act to supplement the efforts and available resources of [s]tates, local 

governments, and disaster relief organizations to alleviate the damage, loss, hardship, or 

suffering caused thereby. Source: Robert T. Stafford Disaster Relief and Emergency 

Assistance Act (42 U.S.C. 5122). 

79 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

National Incident Management System. A set of principles that provides a systematic, 

proactive approach guiding government agencies at all levels, nongovernmental 

organizations, and the private sector to work seamlessly to prevent, protect against, respond 

to, recover from, and mitigate the effects of incidents, regardless of cause, size, location, or 

complexity, in order to reduce the loss of life or property and harm to the environment. 

Source: NIMS (2008). 

National Response Framework. A guide to how the United States conducts allhazards response. Source: NIMS (2008). 

Recovery. 1) The development, coordination, and execution of service- and site-restoration 

plans; the reconstitution of government operations and services; individual, private-sector, 

nongovernmental, and public assistance programs to provide housing and to promote 

restoration; long-term care and treatment of affected persons; additional measures for social, 

political, environmental, and economic restoration; evaluation of the incident to identify 

lessons learned; post-incident reporting; and development of initiatives to mitigate the effects 

of future incidents. Source: NIMS (2008) and NRF Glossary and Acronyms; 2) Those 

capabilities necessary to assist communities affected by an incident to recover effectively, 

including but not limited to, rebuilding infrastructure systems; providing adequate interim and 

long-term housing for survivors; restoring health, social, and community services; promoting 

economic development; and restoring natural and cultural resources. Source: National 

Disaster Recovery Framework (NDRF) (2011). 

Reimbursement. A mechanism to recoup funds expended for incident-specific 

activities. Source: NIMS (2008). 

Resources. Personnel and major items of equipment, supplies, and facilities available or 

potentially available for assignment to incident operations and for which status is maintained. 

Source: NIMS (2008) and NRF Glossary and Acronyms. In NIMS (2008), resources are 

further “described by kind and type and may be used in operational support or supervisory 

capacities at an incident or at an Emergency Operations Center.” 

Response. 1) Activities that address the short-term, direct effects of an incident. Response 

includes immediate actions to save lives, protect property, and meet basic human needs. 

Response also includes the execution of emergency operations plans and of mitigation 

activities designed to limit the loss of life, personal injury, property damage, and other 

unfavorable outcomes. As indicated by the situation, response activities include applying 

intelligence and other information to lessen the effects or consequences of an incident; 

increased security operations; continuing investigations into nature and source of the threat; 

ongoing public health and agricultural surveillance and testing processes; immunizations, 

isolation, or quarantine; and specific law enforcement operations aimed at preempting, 

interdicting, or disrupting illegal activity, and apprehending actual perpetrators and bringing 

them to justice. Source: NIMS (2008); 2) Immediate actions to save lives, protect property 

and the environment, and meet basic human needs. Response also includes the execution 

of emergency plans and actions to support short-term recovery ( Source: NRF Glossary and 

Acronyms; 3). Those capabilities necessary to save lives, protect property and the 

environment, and meet basic human needs after an incident has occurred. Source NDRF 

(2011). 

Special needs population. A population whose members may have additional needs 

before, during, and after an incident in functional areas, including but not limited to: 

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maintaining independence, communication, transportation, supervision, and medical care. 

Individuals in need of additional response assistance may include those who have 

disabilities; who live in institutionalized settings; who are elderly; who are children; who are 

from diverse cultures; who have limited English proficiency or are non-English-speaking; or 

who are transportation disadvantaged. Source: NIMS (2008) and NRF Glossary and 

Acronyms. 

Terrorism. As defined in the Homeland Security Act of 2002, activity that involves an act 

that is dangerous to human life or potentially destructive of critical infrastructure or key 

resources; is a violation of the criminal laws of the United States or of any State or other 

subdivision of the United States; and appears to be intended to intimidate or coerce a civilian 

population, to influence the policy of a government by intimidation or coercion, or to affect the 

conduct of a government by mass destruction, assassination, or kidnapping. Source: NIMS 

(2008) and NRF Glossary and Acronyms. 

Terrorist activity/attack. Intentional act of violence with the intent to inflict significant 

damage to property, inflict casualties, and produce panic and fear. Source: TCRP Synthesis 

80, Transit Security Update (2009). 

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