Backup Documents 01/12/2016 Item #16C1 (Ceres) GINAL
CUMENTS CHECKLIST
NG
OR AC OMPAONY ALL ORIGINAL OC MEONTSISE 1' IN
THE BOARD OF COUNTY COMMISSIONERS OFFICE FOR SIGNATURE
JAN 13 2016
1>414-,,,,,,:2L 4,w lr. ,.�. _ �, i "5 i
Risk Manag- -
Routed by Procurement Services to the
Office Initials Date
Following Addressees) (In routing order)',
1. Risk Management Risk
gi_i , )-13-16
2. County Attorney Office County Attorney Office / )1/Z
1)/
)4
3. BCC Office Board of County -1>, \c'�
Commissioners \f 4/ \\\Z. e\1/4-0 j
4. Minutes and Records Clerk of Court's Office
5. Return to Procurement Services Procurement Services
Division Contact: Diana De Leon
PRIMARY CONTACT INFORMATION
Name of Primary Diana De Leon for Brenda Brilhart Phone Number 252-8375
Procurement Staff January 12,2016 i
Contact and Date
Agenda Date Item was January 12,2016 vi Agenda Item Number 16.C.1
Approved by the BCC
Type of Document Contract Number of Original 2
Attached Documents Attached
PO number or account N/A Solicitation/Contract 15-6365 Ceres
number if document is Number/Company
to be recorded Name
INSTRUCTIONS & CHECKLIST
Initialthe Yes column or mark"N/A"in the Not Applicable column,whichever is Yes N/A(Not
appropriate. (Initial) Applicable)
1. Does the document require the chairman's original signature? DD
2. Does the document need to be sent to another agency for additional signatures? If yes, N/A
provide the Contact Information(Name; Agency;Address;Phone)on an attached sheet. .
3. Original document has been signed/initialed for legal sufficiency. (All documents to be ,c
signed by the Chairman,with the exception of most letters,must be reviewed and signed
by the Office of the County Attorney.
4. All handwritten strike-through and revisions have been initialed by the County Attorney's N/A
Office and all other parties except the BCC Chairman and the Clerk to the Board
5. The Chairman's signature line date has been entered as the date of BCC approval of the N/A
document or the final negotiated contract date whichever is applicable.
6. "Sign here"tabs are placed on the appropriate pages indicating where the Chairman's DD
signature and initials are required.
7. In most cases(some contracts are an exception),an electronic copy of the document and DD
this routing slip should be provided to the County Attorney's Office before the item is
input into SIRE.
8. The document was approved by the BCC on the date above and all changes made DD
during the meeting have been incorporated in the attached document. The County
Attorney's Office has reviewed the changes,if applicable.
9. Initials of attorney verifying that the attached document is the version approved by the
BCC, all changes directed by the BC_C have been made,and the document is ready for the \)1 �n
Chairman's signature.
16C 1
MEMORANDUM
Date: January 21, 2016
To: Diana De Leon, Contracts Technician
Purchasing & General Services Department
From: Teresa Cannon, Deputy Clerk
Minutes & Records Department
Re: Contract #15-6365 —Disaster Debris Management, Removal and
Disposal Services
Contractor: Ceres Environmental Services, Inc.
Attached is an original of the contract referenced above, (Item #16C1) approved by the
Board of County Commissioners on Tuesday, January 12, 2016.
An original contract has been held by the Minutes and Records Department as part of
the Board's Official Record.
If you have any questions, please contact me at 252-8411.
Thank you.
Attachment
JOINT WRITItri ACTION OF TUE BOARD OF DIRECTORS AND
SHAREHOLDERS OF CERES ENVIRONIVIENTAL SERVICES,INC.
The undersigned, being the sole member of the Board of Directors and the sole
shareholder of Ceres Environmental Services, Inc., a Minnesota corporation (the
"Corporation"), does hereby adopt the following resolution in writing pursuant to
Minnesota Statutes Section 302A.239 and 302A.341 effective as of the 21st day of July,
2008:
WHEREAS, the Corporation desires to prepare and submit proposals and bids in
response to various government solicitations, requests for bids, and requests for proposals
and the Corporation desires to grant the authority to the Secretary of the Corporation,
Steven M. Johnson,to sign and submit such bids on behalf of the Corporation,
NOW, THEREFORE,IN CONSIDERATION OF THE FOREGOING,BE IT:
RESOLVED, that Ceres Environmental Services, Inc. grants Steven M. Johnson,
Secretary of the Corporation, the authority to sign and bind the Corporation in matters
related to the preparation and submittal of bids and responses to requests for proposals to
government entities and agencies.
IN WITNESS WHEREOF, the undersigned Board of Directors and Shareholders have
set their hands effective as of the day first written above.
r� F w�_
r/ '`` �!' r ��L '�-".
0:'r''" 'cIn``"f;4"-tdent Steven M. John •
Sole Director . • • Sole Shareholder Secretary of Corporation
1 6C 1
AGREEMENT15-6365
for
Disaster Debris Management,Removal and Disposal Services
THIS AGREEMENT, made and entered into on this lam day of JavuuQ 201 by
and between Ceres Environmental Services, Inc., authorized to do business inthe State of
Florida, whose business address is 6968 Professional Parkway East, Sarasota, Florida 34240,
(the "Contractor") and Collier County, a political subdivision of the State of Florida, (the
"County"):
WITNESSETH:
1. TERM AND COMMENCEMENT. The Contractor shall be for five (5) years with an
additional five (5) one (1) year renewal options. Prices shall remain firm for the initial
term of this contract. Requests for consideration of a price adjustment must be made on
contract anniversary date, in writing, to the Procurement Services Director. Price
adjustments are dependent upon budget availability and Program Manager's approval.
The County shall give the Contractor written notice of the County's intention to renew
the Agreement term not less than ten (10) days prior to the end of the Agreement term
then in effect.
The County Manager, or his designee, may, at his discretion, extend the Agreement
under all of the terms and conditions contained in this Agreement for up to one-
hundred and eighty (180) days. The County Manager, or his designee, shall give the
Contractor written notice of the County's intention to extend the Agreement term not
less than ten(10) days prior to the end of the Agreement term then in effect.
2. STATEMENT OF WORK. The Contractor shall provide Disaster Debris Management,
Removal and Disposal Services in accordance with the terms and conditions of RFP
#15-6365, and the Contractor's proposal referred to herein and made an integral part of
this agreement. This Agreement contains the entire understanding between the parties
and any modifications to this Agreement shall be mutually agreed upon in writing by
the Parties, in compliance with the County Procurement Ordinance, as amended, and
Procurement Procedures in effect at the time such services are authorized.
3. COMPENSATION. The County shall pay the Contractor for the performance of this
Agreement upon completion or partial completion of the work tasks, including if
applicable, the aggregate of units actually ordered and furnished at the prices pursuant
Page 1
#15-5365"Disaster Debris Management,Removal and Disposal Services"
Ceres Environmental Services,Inc.
C,
1 $ C1
to the Rate Schedule attached hereto as Exhibit "A," as accepted and approved by the
County Project Manager or his designee. Payment will be made upon receipt of a
proper invoice and in compliance with Chapter 218 Fla. Stats., otherwise known as the
"Local Government`Prompt Payment Act".
3.1 Payments will be made for services furnished, delivered, and accepted, upon
receipt and approval of invoices submitted on the date of services or within six (6)
months after completion of contract. Any untimely submission of invoices beyond the
specified deadline period is subject to non-payment under the legal doctrine of "laches"
as untimely submitted. Time shall be deemed of the essence with respect to the timely
submission of invoices under this agreement.
4. SALES TAX. Contractor shall pay all sales, consumer, use and other similar taxes
associated with the Work or portions thereof, which are applicable during the
performance of the Work. Collier County, Florida as a political subdivision of the State
of Florida, is exempt from the payment of Florida sales tax to its vendors under Chapter
212, Florida Statutes, Certificate of Exemption#85-8015966531C-2.
5. NOTICES. All notices from the County to the Contractor shall be deemed duly served
if mailed or faxed to the Contractor at the following Address:
Ceres Environmental Services, Inc.
6968 Professional Services Parkway East
Sarasota, Florida 34240
Attention: David A. Preus,Sr. Vice President
Telephone: 800-218-4424 / Facsimile: 866-228-5636
Email: d.a.vidpreus@ceresenv.com `2'`\1V
clav L.pr-CUSr1V/.COrr
All Notices from the Contractor to the County shall be deemed duly served if
mailed or faxed to the County to:
Collier County Government Center
Procurement Services Division
3327 Tamiami Trail, East
Naples, Florida 34112
Attention:Joanne Markiewicz, Director, Procurement Services Division
Telephone: 239-252-8407 / Facsimile: 239-252-6480
Email: joannemarkiewicz@colliergov.net
Page 2
#15-5365"Disaster Debris Management,Removal and Disposal Services"
Ceres Environmental Services,Inc.
16C1
The Contractor and the County may change the above mailing address at any time
upon giving the other party written notification. All notices under this Agreement
must be in writing.
6. NO PARTNERSHIP. Nothing herein contained shall create or be construed as
creating a partnership between the County and the Contractor or to constitute the
Contractor as an agent of the County.
7. PERMITS: LICENSES: TAXES. In compliance with Section 218.80, F.S., all
permits necessary for the prosecution of the Work shall be obtained by the
Contractor. The County will not be obligated to pay for any permits obtained by
Subcontractors. Payment for all such permits issued by the County shall be
processed internally by the County. All non-County permits necessary for the
prosecution of the Work shall be procured and paid for by the Contractor. The
Contractor shall also be solely responsible for payment of any and all taxes levied
on the Contractor. In addition, the Contractor shall comply with all rules,
regulations and laws of Collier County, the State of Florida, or the U. S.
Government now in force or hereafter adopted. The Contractor agrees to comply
with all laws governing the responsibility of an employer with respect to persons
employed by the Contractor.
8. NO IMPROPER USE. The Contractor will not use, nor suffer or permit any
person to use in any manner whatsoever, County facilities for any improper,
immoral or offensive purpose, or for any purpose in violation of any federal, state,
county or municipal ordinance, rule, order or regulation, or of any governmental
rule or regulation now in effect or hereafter enacted or adopted. In the event of
such violation by the Contractor or if the County or its authorized representative
shall deem any conduct on the part of the Contractor to be objectionable or
improper, the County shall have the right to suspend the contract of the
Contractor. Should the Contractor fail to correct any such violation, conduct, or
practice to the satisfaction of the County within twenty-four (24) hours after
receiving notice of such violation, conduct, or practice, such suspension to
continue until the violation is cured. The Contractor further agrees not to
commence operation during the suspension period until the violation has been
corrected to the satisfaction of the County.
9. TERMINATION. Should the Contractor be found to have failed to perform his
services in a manner satisfactory to the County as per this Agreement, the County
may terminate said agreement for cause; further the County may terminate this
Page 3
#15-5365"Disaster Debris Management,Removal and Disposal Services"
Ceres Environmental Services,Inc.
C9
ioc
Agreement for convenience with a thirty (30) day written notice. The County shall
be sole judge of non-performance.
In the event that the County terminates this Agreement, Contractor's recovery
against the County shall be limited to that portion of the Contract Amount earned
through the date of termination. The Contractor shall not be entitled to any other
or further recovery against the County, including, but not limited to, any damages
or any anticipated profit on portions of the services not performed.
10. NO DISCRIMINATION. The Contractor agrees that there shall be no
discrimination as to race, sex, color, creed or national origin.
11. INSURANCE. The Contractor shall provide insurance as follows:
A. Commercial General Liability: Coverage shall have minimum limits of
$5,000,000 Per Occurrence, $2,000,000 aggregate for Bodily Injury Liability and
Property Damage Liability. This shall include Premises and Operations;
Independent Contractors; Products and Completed Operations and Contractual
Liability.
B. Business Auto Liability: Coverage shall have minimum limits of $2,000,000
Per Occurrence, Combined Single Limit for Bodily Injury Liability and Property
Damage Liability. This shall include: Owned Vehicles, Hired and Non-Owned
Vehicles and Employee Non-Ownership.
C. Workers' Compensation: Insurance covering all employees meeting Statutory
Limits in compliance with the applicable state and federal laws. The coverage
must include Employers' Liability with a minimum limit of $1,000,000 for each
accident.
D. Pollution Insurance: is required for the Contractor. The Contract shall
maintain Each Occurrence $2,000,000.00 Per Occurrence and:
1. Pollution and Remediation Liability Insurance including the cost of defense
during the term of this Agreement and for a period of five (5) years
following the completion of the Project as outlined in this Agreement. Such
coverage shall apply specifically to the contracting services / scope of work
as outlined in this Agreement and shall include, but not be limited to
Pollution Legal Liability (legal liability arising out of the discharge,
dispersal, release, seepage, migration or escape of smoke, vapors, soot,
Page 4
#15-5365"Disaster Debris Management,Removal and Disposal Services"
Ceres Environmental Services,Inc.
9�
loci
fumes, acids, alkalis, toxic chemicals, liquids or gasses,hazardous materials,
waste materials or other irritants, contaminates or pollutants into or upon
land, the atmosphere or any watercourse or body of water including
ground water at under or emanating from the project).
2. Remediation Legal Liability / Expense (expenses incurred for or in
connection to the investigation, monitoring, removal, disposal, treatment or
neutralization of a condition arising from the discharge, dispersal, release,
seepage, migration or escape of smoke, vapors, soot, fumes, acids, alkalis,
toxic chemicals, liquids or gasses, hazardous materials, waste materials or
other irritants, contaminates or pollutants into or upon land, the
atmosphere or any watercourse or body of water including ground water at
under or emanating from the project, as well as the cost to repair or replace
real, or personal property damaged during the course of Remediation
Expense in order to restore the property to the condition it was in prior to
the Remediation Expense to the extent required by Federal, State, Local or
Provincial laws, regulations or statutes or any subsequent amendments
thereof).
3. Transportation Legal Liability/Expense - Pollution Legal Liability or
Remediation Legal Liability/Expense arising out of the movement by the
Contract of product or waste of the Owner to its final delivery point
specified under this Agreement.
E. Other Insurance Requirements: Watercraft- $2,000,000.00 Per Occurrence;
Maritime Coverage (Jones Act)- $ 2,000,000.00 Per Occurrence; United States
Longshoreman's and Harborworker's Act - $ 2,000,000.00 Per Occurrence;
coverage shall be maintained where applicable to the completion of the work.
F. Performance and Payment Bonds [Exhibit Bi: May be required for projects in
excess of$200,000, bonds shall be submitted by Contractor and written for 100% of
the Contract award amount, the cost borne by the Contractor. The Performance
and Payment Bonds (Exhibit B) shall be underwritten by a surety authorized to do
business in the State of Florida and otherwise acceptable to Owner; provided,
however, the surety shall be rated as "A-" or better as to general policy holders
rating and Class V or higher rating as to financial size category and the amount
required shall not exceed 5% of the reported policy holders' surplus, all as
reported in the most current Best Key Rating Guide, published by A.M. Best
Company, Inc. of 75 Fulton Street, New York, New York 10038.
Page 5
#15-5365"Disaster Debris Management,Removal and Disposal Services"
Ceres Environmental Services,Inc.
16C 1
Special Requirements: Collier County Government shall be listed as the Certificate
Holder and included as an Additional Insured on the Comprehensive General
Liability Policy.
Current, valid insurance policies meeting the requirement herein identified shall
be maintained by Contractor during the duration of this Agreement. The
Contractor shall provide County with certificates of insurance meeting the
required insurance provisions. Renewal certificates shall be sent to the County ten
(10) days prior to any expiration date. Coverage afforded under the policies will
not be canceled or allowed to expire until the greater of: ten(10) days prior written
notice, or in accordance with policy provisions. Contractor shall also notify
County, in a like manner, within twenty-four (24) hours after receipt, of any
notices of expiration, cancellation, non-renewal or material change in coverage or
limits received by Contractor from its insurer, and nothing contained herein shall
relieve Contractor of this requirement to provide notice.
Contractor shall ensure that all subcontractors comply with the same insurance
requirements that he is required to meet.
12. INDEMNIFICATION. To the maximum extent permitted by Florida law,
Contractor shall indemnify and hold harmless Collier County, its officers and
employees from any and all liabilities, damages, losses and costs, including, but
not limited to, reasonable attorneys' fees and paralegals' fees, whether resulting
from any claimed breach of this Agreement by Contractor, any statutory or
regulatory violations, or from personal injury, property damage, direct or
consequential damages, or economic loss, to the extent caused by the negligence,
recklessness, or intentionally wrongful conduct of the Contractor or anyone
employed or utilized by the Contractor in the performance of this Agreement.
This indemnification obligation shall not be construed to negate, abridge or reduce
any other rights or remedies which otherwise may be available to an indemnified
party or person described in this paragraph.
This section does not pertain to any incident arising from the sole negligence of
Collier County.
12.1 The duty to defend under this Article 12 is independent and separate from
the duty to indemnify, and the duty to defend exists regardless of any ultimate
liability of the Contractor, County and any indemnified party. The duty to defend
arises immediately upon presentation of a claim by any party and written notice of
such claim being provided to Contractor. Contractor's obligation to indemnify
and defend under this Article 12 will survive the expiration or earlier termination
Page 6
#15-5365"Disaster Debris Management,Removal and Disposal Services"
Ceres Environmental Services,Inc.
i6 c
of this Agreement until it is determined by final judgment that an action against
the County or an indemnified party for the matter indemnified hereunder is fully
and finally barred by the applicable statute of limitations.
13. CONTRACT ADMINISTRATION. This Agreement shall be administered on
behalf of the County by the Solid Waste Division.
14. CONFLICT OF INTEREST. Contractor represents that it presently has no interest
and shall acquire no interest, either direct or indirect, which would conflict in any
manner with the performance of services required hereunder. Contractor further
represents that no persons having any such interest shall be employed to perform
those services.
15. COMPONENT PARTS OF THIS CONTRACT. This Contract consists of the
following component parts, all of which are as fully a part of the contract as if
herein set out verbatim: Contractor's Proposal, Insurance Certificate(s), Exhibit
"A" Rate Schedule, Exhibit "B" Performance and Payment Bonds, RFP #15-6365
"Disaster Debris Removal Management, Removal and Disposal Services" Scope of
Services,Addendum and Exhibit"C" Granting Agency Provisions.
16. SUBJECT TO APPROPRIATION. It is further understood and agreed by and
between the parties herein that this agreement is subject to appropriation by the
Board of County Commissioners.
17. PROHIBITION OF GIFTS TO COUNTY EMPLOYEES. No organization or
individual shall offer or give, either directly or indirectly, any favor, gift, loan, fee,
service or other item of value to any County employee, as set forth in Chapter 112,
Part III, Florida Statutes, Collier County Ethics Ordinance No. 2004-05, as
amended, and County Administrative Procedure 5311. Violation of this provision
may result in one or more of the following consequences: a. Prohibition by the
individual, firm, and/or any employee of the firm from contact with County staff
for a specified period of time; b. Prohibition by the individual and/or firm from
doing business with the County for a specified period of time, including but not
limited to: submitting bids, RFP, and/or quotes; and, c. immediate termination of
any contract held by the individual and/or firm for cause.
18. COMPLIANCE WITH LAWS. By executing and entering into this agreement, the
Contractor is formally acknowledging without exception or stipulation that it
agrees to comply, at its own expense, with all federal, state and local laws, codes,
statutes, ordinances, rules, regulations and requirements applicable to this
Agreement, including but not limited to those dealing with the Immigration
Page 7
#15-5365"Disaster Debris Management,Removal and Disposal Services"
Ceres Environmental Services,Inc.
16C 1
Reform and Control Act of 1986 as located at 8 U.S.C. 1324, et seq. and regulations
relating thereto, as either may be amended; taxation, workers' compensation,
equal employment and safety (including, but not limited to, the Trench Safety Act,
Chapter 553, Florida Statutes), and the Florida Public Records Law Chapter 119,
including specifically those contractual requirements at F.S. § 119.0701(2)(a)-(d)
and (3) stated as follows:
(2) In addition to other contract requirements provided by law, each
public agency contract for services must include a provision that requires
the contractor to comply with public records laws, specifically to:
(a) Keep and maintain public records that ordinarily and necessarily
would be required by the public agency in order to perform the service.
(b) Provide the public with access to public records on the same terms
and conditions that the public agency would provide the records and at a
cost that does not exceed the cost provided in this chapter or as otherwise
provided by law.
(c) Ensure that public records that are exempt or confidential and
exempt from public records disclosure requirements are not disclosed
except as authorized by law.
(d) Meet all requirements for retaining public records and transfer, at no
cost, to the public agency all public records in possession of the contractor
upon termination of the contract and destroy any duplicate public records
that are exempt or confidential and exempt from public records disclosure
requirements. All records stored electronically must be provided to the
public agency in a format that is compatible with the information
technology systems of the public agency.
(3) If a contractor does not comply with a public records request, the
public agency shall enforce the contract provisions in accordance with the
contract.
If Contractor observes that the Contract Documents are at variance therewith, it
shall promptly notify the County in writing. Failure by the Contractor to comply
with the laws referenced herein shall constitute a breach of this agreement and the
County shall have the discretion to unilaterally terminate this agreement
immediately.
Page 8
#15-5365"Disaster Debris Management,Removal and Disposal Services"
Ceres Environmental Services,Inc.
CA(,
16c1
19. OFFER EXTENDED TO OTHER GOVERNMENTAL ENTITIES. Collier County
encourages and agrees to the successful proposer extending the pricing, terms and
conditions of this solicitation or resultant contract to other governmental entities at
the discretion of the successful proposer.
20. AGREEMENT TERMS. If any portion of this Agreement is held to be void,
invalid, or otherwise unenforceable, in whole or in part, the remaining portion of
this Agreement shall remain in effect.
21. ADDITIONAL ITEMS/SERVICES. Additional items and/or services may be
added to this contract in compliance with the Procurement Ordinance, as
amended, and Procurement Procedures.
22. DISPUTE RESOLUTION. Prior to the initiation of any action or proceeding
permitted by this Agreement to resolve disputes between the parties, the parties
shall make a good faith effort to resolve any such disputes by negotiation. The
negotiation shall be attended by representatives of Contractor with full decision-
making authority and by County's staff person who would make the presentation
of any settlement reached during negotiations to County for approval. Failing
resolution, and prior to the commencement of depositions in any litigation
between the parties arising out of this Agreement, the parties shall attempt to
resolve the dispute through Mediation before an agreed-upon Circuit Court
Mediator certified by the State of Florida. The mediation shall be attended by
representatives of Contractor with full decision-making authority and by County's
staff person who would make the presentation of any settlement reached at
mediation to County's board for approval. Should either party fail to submit to
mediation as required hereunder, the other party may obtain a court order
requiring mediation under section 44.102, Fla. Stat.
23. VENUE. Any suit or action brought by either party to this Agreement against the
other party relating to or arising out of this Agreement must be brought in the
appropriate federal or state courts in Collier County, Florida, which courts have
sole and exclusive jurisdiction on all such matters.
24. KEY PERSONNEL/PROTECT STAFFING. The Contractor's personnel and
management to be utilized for this project shall be knowledgeable in their areas of
expertise. The County reserves the right to perform investigations as may be
deemed necessary to ensure that competent persons will be utilized in the
performance of the contract. The Contractor shall assign as many people as
necessary to complete the services on a timely basis, and each person assigned
Page 9
#15-5365"Disaster Debris Management,Removal and Disposal Services"
Ceres Environmental Services,Inc.
16c1
shall be available for an amount of time adequate to meet dates set forth in the
Project Schedule. The Contractor shall not change Key Personnel unless the
following conditions are met: (1) Proposed replacements have substantially the
same or better qualifications and/or experience. (2) that the County is notified in
writing as far in advance as possible. The Contractor shall make commercially
reasonable efforts to notify Collier County within seven(7) days of the change. The
County retains final approval of proposed replacement personnel.
25. ORDER OF PRECEDENCE. In the event of any conflict between or among the
terms of any of the Contract Documents and/or the County's Board approved
Executive Summary, the terms of the Agreement shall take precedence over the
terms of all other Contract Documents, except the terms of any Supplemental
Conditions shall take precedence over the Agreement. To the extent any conflict in
the terms of the Contract Documents cannot be resolved by application of the
Supplemental Conditions, if any, or the Agreement, the conflict shall be resolved
by imposing the more strict or costly obligation under the Contract Documents
upon the Contractor at Owner's discretion.
26. ASSIGNMENT. Contractor shall not assign this Agreement or any part thereof,
without the prior consent in writing of the County. Any attempt to assign or
otherwise transfer this Agreement, or any part herein, without the County's
consent, shall be void. If Contractor does, with approval, assign this Agreement or
any part thereof, it shall require that its assignee be bound to it and to assume
toward Contractor all of the obligations and responsibilities that Contractor has
assumed toward the County.
Page 10
#15-5365"Disaster Debris Management,Removal and Disposal Services"
Ceres Environmental Services,Inc. (r
6c
IN WITNESS WHEREOF, the parties hereto, have each, respectively, by an authorized
person or agent,have executed this Agreement on the date and year first written above.
BOARD OF COUNTY COMMISSIONERS
ATTEST: COLLIER COUNTY,FLORIDA
Dwi ht E. Brock, erk of Cour
By:
1 Tom, Chairman
c�. f 'ohvt . �c4(q
Dated:. �;
est as%ca �fm� S
cignattlt*bt311o'` Ceres Environmental Services, Inc.
Contractor
�/11 95/anSC ' B
y' 11091
First Witness ,/ Signature
fF t►`)_ /t<4 hs com cS?e-vc'-A/ /l - Ji tin/,row y
TType/print witness name TType/print signature and titleT
/ r
6(1,4_)
Segund Wi■ ess
.00t06 brOW )
TType/print witness nameT
pproved as For ant Legality: Item#m# 6
I C(
f- Agenda 1.13
Assis rt-County...Attorney Dote
De l" Ck. I tt, Date
rint Name Recd �a
(9-
Deputy Clerk
Page 11
#15-5365"Disaster Debris Management,Removal and Disposal Services" `
Ceres Environmental Services,Inc.
7rJ
16C
Exhibit A- Rate Schedule
(following this page)
Page 12
#15-5365"Disaster Debris Management,Removal and Disposal Services"
Ceres Environmental Services,Inc.
C'
Collier 1 1
Co er County .
RFP 15-6365, Disaster Debris Management, Removal Disposal Services
Description Unit
Project Manager Hourly $ 75.00
Superintendent with Cell/Truck Hourly $ 69.00
Foreman with Cell/Truck Hourly $ 55.00
Supervisor with Cell/Truck Hourly $ 61.00
Inspector with Check/Vehicle Hourly $ 64.00
Health/Safety or QC Manager with Truck Hourly $ 72.00
Safety Superintendent Hourly $ 62.00
Mechanic with Truck&Tools Hourly $ 49.00
Climber with Gear Hourly $ 55.00
Labor/Operator with Chainsaw/Tools Hourly $ 42.00
Laborer with Tools Hourly $ 39.00
Traffic Control Personnel Hourly $ 39.00
Ticket Writers Hourly $ 32.00
Survey Personnel with Vehicle Hourly $ 30.00
Project Engineer Hourly $ 75.00
Equipment Operator Hourly $ 46.00
Truck Driver Hourly $ 43.00
Security Person (UNARMED) Hourly $ 38.50
Security Person (ARMED) Hourly $ 56.00
Ceres Environmental Services, Inc.
Page 10
1 60 1
Collier County
RFP 15-6365, Disaster Debris Management, Removal Disposal Services
Administrative Assistant Hourly $ 34.00
Clerical Hourly $ 34.00
0-15.9 Miles Veg from Right of Way(ROW)to Debris
Management Site(DMS) Vegetative collect and removal for a
haul distance up to 15.9 miles. CY $ 7.42
16-30.9 Miles Veg from Right of Way(ROW)to Debris
Management Site(DMS) Vegetative collect and removal for a CY $ 8.28
Management Site(DMS) Vegetative collect and removal for a
haul distance between 31 and 60.9 miles. CY $ 9.24
Site(DMS) Vegetative collect and removal for a haul distance
greater than 61 miles. Note:Price not designated for direct haul CY $ 10.24
Grinding Grinding/chipping vegetative debris. CY $ 1.99
Air Curtain Burning Air Curtain Burning vegetative debris. CY $ 1.34
Open Burning Open Burning vegetative debris. CY $ 0.84
Compacting Compacting vegetative debris. CY $ 1.24
Debris Management and Site Management Preparation,
management, and segregating at debris management site. CY $ 1.82
Ceres Environmental Services,Inc.
Page 2
Collier County
RFP 15-6365, Disaster Debris Management, Removal Disposal Services
0-15.9 Miles C&D from ROW to DMS C&D collect and removal
fora haul distance up to 15.9 miles. CY $ 7.70
16-30.9 Miles C&D from ROW to DMS C&D collect and removal
for a haul distance between 16 and 30.9 miles. CY $ 8.56
31-60.9 Miles C&D from ROW to DMS C&D collect and removal
for a haul distance between 31 and 60.9 miles. CY $ 9.52
haul distance greater than 61 miles. Note:Price not designated
for direct haul of C&D debris to final disposal and limited to DMS
locations within the County. CY $ 10.52
0-15.9 Miles Veg from Private Property to Debris Management
Site (DMS) Vegetative private property debris collect and
removal for a haul distance up to 15.9 miles. Only activated if
authorized by FEMA. CY $ 10.87
16-30,9 Miles Veg from Private Property to Debris Management
Site(DMS) Vegetative private property debris collect and
removal for a haul distance between 16 and 30.9 miles. Only
activated if authorized by FEMA. CY $ 11.73
31-60.9 Miles Veg from Private Property to Debris Management
Site(DMS) Vegetative private property debris collect and
removal for a haul distance between 31 and 60.9 miles. Only
activated if authorized by FEMA. CY $ 12.69
(DMS) Vegetative private property debris collect and removal for
a haul distance greater than 61 miles. Only activated if
authorized by FEMA. Note:Price not designated for direct haul
of vegetative debris to final disposal and limited to DMS CY $ 13.69
0-15.9 Miles C&D from Private Property to Debris Management
Site(DMS)C&D private property debris collect and removal for a
haul distance up to 15.9 miles. Only activated if authorized by
FEMA. CY $ 11.45
16-30.9 Miles C&D from Private Property to Debris Management
Site(DMS)C&D private property debris collect and removal for a
haul distance between 16 and 30.9 miles. Only activated if
authorized by FEMA. CY $ 12.31
31-60.9 Miles C&D from Private Property to Debris Management
Site(DMS)C&D private property debris collect and removal for a
haul distance between 31 and 60.9 miles. Only activated if
authorized by FEMA. CY $ 13.27
Ceres Environmental Services, Inc.
Page 3
Collier County 1 6 I
RFP 15-6365, Disaster Debris Management, Removal Disposal Services !� ����4,I/II
61+Miles C&D from Private Property to Debris Management
Site(DMS) C&D private property debris collect and removal for a
haul distance greater than 61 miles. Only activated if authorized
by FEMA. Note:Price not designated for direct haul of
vegetative debris to final disposal and limited to DMS locations
within the County. CY
$ 14.27
0-15.9 Miles from DMS to Final Disposal Transport processed
debris from DM5 to final disposal 0-15 miles. CY $ 3.88
16-30.9 Miles from DMS to Final Disposal Transport processed
debris from DMS to final disposal 16-30 miles. CY $ 4.48
31-60.9 Miles from DM5 to Final Disposal Transport processed
debris from DMS to final disposal 31-60 miles. CY $ 5.28
From DMS to Final Disposal at Okeechobee Landfill Transport
processed debris from DM5 to Okeechobee Landfill
approximately 144 miles. CY
$ 11.82
From DMS to Final Disposal at Pompano Beach Central Landfill
Transport processed debris from DMS to Pompano Beach
Central Landfill approximately 110 miles. CY $ 10.67
From DMS to Final Disposal at Medley Landfill Transport
processed debris from DMS to Medley Landfill approximately
110 miles. CY $ 10.67
From DMS to Final Disposal at Okeelanta Processing Plant
Transport processed debris from DM5 to Okeelanta Processing
Plant approximately 120 miles. CY - $ 10.75
$
0-15.9 Miles from DM5 to Final Disposal Transport processed
debris from DMS to final disposal 0-15 miles. CY $ 4.90
16-30.9 Miles from DMS to Final Disposal Transport processed
debris from DMS to final disposal 16-30 miles. CY $ 6.10
31-60.9 Miles from DMS to Final Disposal Transport processed
debris from DM5 to final disposal 31-60 miles. CY $ 8.27
From DMS to Final Disposal at Okeechobee Landfill Transport
processed debris from DMS to Okeechobee Landfill
approximately 144 miles. CY $ 14.56
From DMS to Final Disposal at Pompano Beach Central Landfill
Transport processed debris from DMS to Pompano Beach
Central Landfill approximately 110 miles. CY $ 12.10
From DMS to Final Disposal at Medley Landfill Transport
processed debris from DMS to Medley Landfill approximately
110 miles. CY $ 12.10
From DMS to Final Disposal at Okeelanta Processing Plant
Transport processed debris from DMS to Okeelanta Processing
Plant approximately 120 miles. CY $ 12.23
Ceres Environmental Services,Inc.
00>Page 4
1
I
1601
Collier County
RFP 15-6365, Disaster Debris Management, Removal Disposal Services
Hazardous Trees 6"-12" Hazardous tree removal for a 6-12 inch
. trunk diameter.Note:Resulting vegetative debris placed at
ROW and hauled in accordance with Vegeative Collect and Haul
line item pricing. Tree $ 81.00
Hazardous Trees 13"-24" Hazardous tree removal for a 13-24
inch trunk diameter.Note:Resulting vegetative debris placed at
ROW and hauled in accordance with Vegeative Collect and Haul
line item pricing. Tree $ 132.00
Hazardous Trees 25"-36" Hazardous tree removal for a 25-36 Tree $ 190.00 1
Hazardous Trees 37"-48" Hazardous tree removal for a 37-48
inch trunk diameter.Note:Resulting vegetative debris placed at
ROW and hauled in accordance with Vegeative Collect and Haul
line item pricing. Tree $ 235.00
Hazardous Trees 49"+Hazardous tree removal for a 49+inch
trunk diameter.Note:Resulting vegetative debris placed at
ROW and hauled in accordance with Vegeative Collect and Haul
line item pricing. Tree $ 315.00
Tress with Hazardous Limbs>2" Hazardous hanging limb
removal. Note:Resulting vegetative debris placed at ROW and
hauled in accordance with Vegeative Collect and Haul line item
pricing. Tree $ 81.00
Hazardous Stump>24"-36"Hazardous stump removal for 24-36 Stump $ 148.00
Hazardous Stump>37"-48"Hazardous stump removal 37"-48"
inch stump diameter. Stump $ 198.00
Hazardous Stumps>49"+ Hazardous stump removal 49+inch
stump diameter. Stump $ 258.00
Stump Fill Dirt Fill dirt for stump holes after removal. CY $ 23.95
Stumps placed at ROW by residents that are 24" or greater
Hauled utilizing the Stump Conversion Chart provided for in
FEMA DAP 9523.11 Hazardous Stump Extraction and Removal
Eligibility. CY $ 19.45
$ -
Waterway Debris Removal Debris Removal from canals, rivers,
creeks,streams, and ditches. CY $ 42.35
Sand Collection and Screening Pick up,screen, and return debris
laden sand/mud/dirt/rock. Note:The sand staging site shall be
within 10 miles of the sand origination point. Clean sand shall be
stockpiled back on the beach as directed by the County.At the
County's direction, Ceres shall grade clean sand to upper beach
profile for$2.90 per cubic yard. CY $ 17.28
Vehicle Removal Removal of eligible vehicle. Note:This does
not include the construction and management of a
vehicle/vessel aggregate site. Unit $ 218.00
Vessel Removal(Land)Removal of eligible vessel. Note:This
does not include the construction and management of a
vehicle/vessel aggregate site. LF $ 61.75
Ceres Environmental Services,Inc.
Page 5
Collier County 16C 1
RFP 15-6365, Disaster Debris Management, Removal Disposal Services
Vessel Removal(Marine)Removal of eligible vessel from
waterway. Note:This does not include the construction and
management of a vehicle/vessel aggregate site. LF $ 96.50
Carcass Removal Removal of debris that will decompose
(animals and organic fleshy matter). Pound $ 1.18
ROW White Goods Removal Pick up and haul of white goods to
disposal site. Unit $ 46.00
Freon Management Freon management and recycling. Unit $ 31.00
Demolition of Private Structure. Note:The price is inclusive of
non-RACM demolition. Resulting debris shall be placed at ROW
for collection and disposal in accordance with C&D Collect and
Haul line item prices. CY $ 17.65
Electronic Waste Removal of electronic debris that contain
hazardous materials.Such as cathode ray tubes. Includes
computers monitors and televisions. Unit $ 34.00
Silt Removal.Note:The price is for silt hauling up to 15.9 miles. $ 9.32
Putrescent Removal Removal of debris that will decompose or
rot(animals and organic fleshy matter). Pound $ 4.68
Biowaste Removal of waste capable of causing infection to
humans(animal waste, human blood,pathological waste). Pound $ 12.90
Household Hazardous Waste(HHW)HHW removal and disposal. Pound $ 4,68
$ -
Beach/Lake Restorations Berm/Beach Construction CY $ 20.18
Canal Shoreline Restoration LF $ 18.25
$ -
Debris Management Site Debris Monitors Hour $ 32.50
Debris Collection Site Debris Monitors (Field Monitors) Hour $ 31.00
Sr.Technician/Field Supervisor Hour $ 52.00
Clerical Staff Hour $ 32.00
Clerical Supervisor Hour $ 41.00
$ -
$
Equipment $ -
JD 544 Wheel Loader with Debris Grapple Hourly $ 130.63
JD 644 Wheel Loader with Debris Grapple Hourly $ 149.51
Extendaboom Forklift with Debris Grapple Hourly $ 80.70
Skid Steer, 1,000lb capacity Hourly $ 76.37
Skid Steer,2,000lb capacity Hourly $ 82.14
753 Bobcat Skid Steer Loader with Debris Grapple Hourly $ 82.14
753 Bobcat Skid Steer Loader with Bucket Hourly $ 78.89
753 Bobcat Skid Steer Loader with Street Sweeper Hourly $ 86.46
30-50HP Farm Tractor with Box Blade or Rake Hourly $ 100.87
CAT D3 Dozer Hourly $ 162.78
CAT D4 Dozer Hourly $ 168.01
Ceres Environmental Services,Inc.
Page 6
CO•
1601
Collier County
RFP 15-6365, Disaster Debris Management, Removal Disposal Services
CAT D5 Dozer Hourly $ 171.74
CAT D6 Dozer Hourly $ 177.34
CAT D7 Dozer Hourly $ 194.14
CAT D8 Dozer Hourly $ 216.54
Rubber Tired Excavator with Debris Grapple Hourly $ 194.14
JD 310 Rubber Tired Excavator with Debris Grapple Hourly $ 132.05
210 Prentice Knuckleboom with Debris Grapple Hourly $ 161.39
CAT 623 Self Loader Scraper Hourly $ 183.40
Hand Fed Debris Chipper Hourly $ 102.70
300-400 HP Grinder Hourly $ 369.09
800-1000 HP Grinder Hourly $ 462.50
15-Ton Crane Hourly $ 146.72
30-Ton Crane Hourly $ 212.74
50-Ton Crane Hourly $ 300.78
100-Ton Crane Hourly $ 425.49
40'-60' Bucket Truck Hourly $ 198.07
60' or Greater Bucket Truck Hourly $ 227.42
Crash Truck Hourly $ 96.84
Fuel/Service Truck Hourly $ 98.30
Water Truck 2000 Gallon Hourly $ 102.70
Vacuum Truck Hourly $ 227.42
Portable Light Plant Hourly $ 32.81
Scissor Lift,Telescoping Hourly $ 22.01
Lowboy Trailer with Tractor Hourly $ 102.70
Flatbed Truck Hourly $ 84.36
Pick Up Truck(Unmanned) Hourly $ 17.61
Self Loading Dump Truck with Debris Grapple Hourly $ 190.74
Single Axle Dump Truck 5-12CYs Hourly $ 82.53
Tandem Axle Dump Truck 16-20CYs Hourly $ 84.80
Tandem Axle Dump Truck 21-30CYs Hourly $ 88.03
Tandem Axle Dump Truck 31-50CYs Hourly $ 89.87
Tandem Axle Dump Truck 51-80CYs Hourly $ 92.43
Tandem Axle Dump Truck/Tractor Trailer Over 80CYs Hourly $ 94.63
Power Screen Hourly $ 124.71
Stacking Conveyor Hourly $ 26.41
Chainsaw Hourly $ 2.44
Air Curatin Incinerator,Self-Contained Hourly $ 150.65
Temporary Office Trailer Hourly $ 18.00
Response Trailer 20' Hourly $ 61.88
Response Trailer 36' Hourly $ 82.50
Mobile Command Center Hourly $ 103.13
$ -
Annual training Day $ 1,200.00
Debris Management Plan Review One-time Fee $ 2,800.00
Ceres Environmental Services, Inc.
Page 7
n
.a
0
; S
Exhibit B - Performance &Payment Bonds
(following this page)
Page 13
#15-5365"Disaster Debris Management,Removal and Disposal Services"
Ceres Environmental Services,Inc.
0
EXHIBIT B 1: PUBLIC PAYMENT BOND
Disaster Debris Management,Removal and Disposal Services
Bond No.
Contract No.15-6365
KNOW ALL MEN BY THESE PRESENTS: That
as Principal, and
, as Surety, located at
(Business Address) are held and
firmly bound to as Obligee in the sum of
($ ) for the payment
whereof we bind ourselves, our heirs, executors, personal representatives, successors and
assigns,jointly and severally.
WHEREAS, Principal has entered into a contract dated as of the day of
20 ,with Obligee for in
accordance with drawings and specifications, which contract is incorporated by reference and
made a part hereof,and is referred to herein as the Contract.
THE CONDITION OF THIS BOND is that if Principal:
Promptly makes payment to all claimants as defined in Section 255.05(1), Florida Statutes,
supplying Principal with labor, materials or supplies, used directly or indirectly by Principal in
the prosecution of the work provided for in the Contract, then this bond is void; otherwise it
remains in full force.
Any changes in or under the Contract and compliance or noncompliance with any formalities
connected with the Contract or the changes do not affect Sureties obligation under this Bond.
The provisions of this bond are subject to the time limitations of Section 255.05(2). In no event
will the Surety be liable in the aggregate to claimants for more than the penal sum of this
Payment Bond,regardless of the number of suits that may be filed by claimants.
IN WITNESS WHEREOF, the above parties have executed this instrument this day of
20 , the name of each party being affixed and these presents duly signed
by its under-signed representative,pursuant to authority of its governing body.
Page 14
#15-5365"Disaster Debris Management,Removal and Disposal Services"
Ceres Environmental Services,Inc.
1601
Signed,sealed and delivered
in the presence of:
PRINCIPAL
BY:
Witnesses as to Principal NAME:
ITS:
STATE OF
COUNTY OF
The foregoing instrument was acknowledged before me this day of 20_,by
as of
, a corporation, on behalf of the corporation.
He/she is personally known to me OR has produced as identification and did
(did not)take an oath.
My Commission Expires:
(Signature of Notary)
NAME:
(Legibly Printed)
(AFFIX OFFICIAL SEAL) Notary Public,State of
Commission No.:
ATTEST: SURETY:
(Printed Name)
(Business Address
(Authorized Signature)
Witnesses to Surety (Printed Name)
Page 15
#15-5365"Disaster Debris Management,Removal and Disposal Services"
Ceres Environmental Services,Inc.
��7
ioc
OR
As Attorney in Fact
(Attach Power of Attorney)
Witnesses (Printed Name)
(Business Address)
(Telephone Number)
STATE OF
COUNTY OF
The foregoing instrument was acknowledged before me this day of
20 , by , as of
Surety, on behalf of Surety. He/She is personally
known to me OR has produced as identification
and who did(did not) take an oath.
My Commission Expires:
(Signature)
Name:
(Legibly Printed)
(AFFIX OFFICIAL SEAL) Notary Public,State of:
Commission No.:
Page 16
#15-5365"Disaster Debris Management,Removal and Disposal Services"
Ceres Environmental Services,Inc.
160 1
EXHIBIT B 2:PUBLIC PERFORMANCE BOND
Disaster Debris Management,Removal and Disposal Services
Bond No.
Contract No.15-6365
KNOW ALL MEN BY THESE PRESENTS: That
as Principal, and
as Surety, located at
(Business
Address) are held and firmly bound to
as Obligee in the sum of
($ ) for the payment whereof we bond ourselves, our heirs, executors, personal
representatives,successors and assigns,jointly and severally.
WHEREAS, Principal has entered into a contract dated as of the day of
20 , with Obligee for
in accordance
with drawings and specifications, which contract is incorporated by reference and made a part
hereof,and is referred to herein as the Contract.
THE CONDITION OF THIS BOND is that if Principal:
1. Performs the Contract at the times and in the manner prescribed in the Contract;and
2. Pays Obligee any and all losses, damages,costs and attorneys' fees that Obligee sustains
because of any default by Principal under the Contract, including, but not limited to, all delay
damages,whether liquidated or actual,incurred by Obligee;and
3. Performs the guarantee of all work and materials furnished under the Contract for the
time specified in the Contract, then this bond is void; otherwise it remains in full force. Any
changes in or under the Contract and compliance or noncompliance with any formalities
connected with the Contract or the changes do not affect Sureties obligation under this Bond.
The Surety,for value received,hereby stipulates and agrees that no changes,extensions of time,
alterations or additions to the terms of the Contract or other work to be performed hereunder,
or the specifications referred to therein shall in anywise affect its obligations under this bond,
and it does hereby waive notice of any such changes,extensions of time,alterations or additions
to the terms of the Contract or to work or to the specifications.
This instrument shall be construed in all respects as a common law bond. It is expressly
understood that the time provisions and statute of limitations under Section 255.05, Florida
Statutes,shall not apply to this bond.
Page 17
#15-5365"Disaster Debris Management,Removal and Disposal Services"
Ceres Environmental Services,Inc.
16C1
In no event will the Surety be liable in the aggregate to Obligee for more than the penal sum of
this Performance Bond regardless of the number of suits that may be filed by Obligee.
IN WITNESS WHEREOF, the above parties have executed this instrument this day of
,20 , the name of each party being affixed and these presents duly signed
by its undersigned representative,pursuant to authority of its governing body.
Signed,sealed and delivered
in the presence of: PRINCIPAL
BY:
Witnesses as to Principal
NAME:
ITS:
STATE OF
COUNTY OF
The foregoing instrument was acknowledged before me this day of
20 by as
of a
corporation, on behalf of the corporation. He/she is personally
known to me OR has produced as
identification and did (did not) take an oath.
My Commission Expires:
(Signature)
Name:
(Legibly Printed)
(AFFIX OFFICIAL SEAL) Notary Public,State of:
Commission No.:
ATTEST: SURETY:
(Printed Name)
Page 18
#15-5365"Disaster Debris Management,Removal and Disposal Services"
Ceres Environmental Services,Inc.
i $ C1
(Business Address)
(Authorized Signature)
Witnesses as to Surety (Printed Name)
OR
As Attorney in Fact
(Attach Power of Attorney)
Witnesses (Printed Name)
(Business Address)
(Telephone Number)
STATE OF
COUNTY OF
The foregoing instrument was acknowledged before me this day of
20 ,by ,as of
,a Surety,on behalf of Surety.
He/She is personally known to me OR has produced as
identification and who did(did not)take an oath.
My Commission Expires:
(Signature)
Name:
(Legibly Printed)
(AFFIX OFFICIAL SEAL) Notary Public,State of:
Commission No.:
Page 19
#15-5365"Disaster Debris Management,Removal and Disposal Services"
Ceres Environmental Services,Inc.
16C1
Exhibit C - Grant Provisions
(following this page)
Page 20
#15-5365"Disaster Debris Management,Removal and Disposal Services"
Ceres Environmental Services,Inc.
16 C
I,
Exhibit C
Supplemental General Grant Terms and Conditions
The supplemental conditions contained in this section are intended to cooperate with, to supplement, and to modify
the general conditions and other specifications. In cases of disagreement with any other section of this contract, the
Supplemental Conditions shall govern.
Flow Down of Terms and Conditions from the Grant Agreement
Subcontracts: If the vendor subcontracts any of the work required under this Agreement, a copy of the signed
subcontract must be forwarded to the Department for review and approval. The vendor agrees to include in
the subcontract that (1) the subcontractors is bound by the terms of this Agreement, (ii) the subcontractor is
bound by all applicable state and federal laws and regulations, and (iii) the subcontractor shall hold the Department
and Recipient harmless against all claims of whatever nature arising out of the subcontractor's performance of work
under this Agreement, to the extent allowed and required by law. The recipient shall document in the quarterly
report the subcontractor's progress in performing its work under this agreement. For each subcontract, the
Recipient shall provide a written statement to the Department as to whether the subcontractor is a minority vendor
as defined in Section 288.703, Fla. Stat.
16c1
Exhibit C
Supplemental General Grant Terms and Conditions
1. Administrative, contractual, or legal remedies Unless otherwise provided in this contract, all claims,
counter-claims, disputes and other matters in question between the local government and the contractor, arising
out of or relating to this contract, or the breach of it, will be decided by arbitration, if the parties mutually agree, or in
a Florida court of competent jurisdiction.
2. Energy Conservation Requirements - The Energy Conservation requirements are applicable to all
contracts and subcontracts. The Contractor shall comply with any mandatory standards and policies relating to
energy efficiency contained in the State Energy Conservation Plan issued in compliance with the Energy Policy and
Conservation Act(42 U.S.C. Section 6201)
3. Access to Records and Reports - The vendor agrees to maintain all books, records, accounts and reports
required under this contract for a period of not less than three years after the date of termination or expiration of this
contract, except in the event of litigation or settlement of claims arising from the performance of this contract, in
which case Vendor agrees to maintain same until the Purchaser, the Grantor Administrator, the Comptroller General,
or any of their duly authorized representatives, have disposed of all such litigation, appeals, claims or exceptions
related thereto.
4. No Government Obligation to Third Parties - Applies to all contracts. The Purchaser and Vendor
acknowledge and agree that, notwithstanding any concurrence by the Federal Government in or approval of the
solicitation or award of the underlying contract, absent the express written consent by the Federal Government, the
Federal Government is not a party to this contract and shall not be subject to any obligations or liabilities to the
Purchaser, Vendor, or any other party (whether or not a party to that contract) pertaining to any matter resulting from
the underlying contract. It is further agreed that the clause shall not be modified, except to identify the subcontract
who will be subject to its provisions.
5. Clean Air Act, Federal Water Pollution Control Act, Executive Order 11738, and US EPA
Regulations - Contracts and subgrants of amounts in excess of $100,000 shall contain a provision that requires the
Contractor or recipient to comply with all applicable standards, orders, or requirements issued pursuant to the Clean
Air Act (42 U.S.C. 7401-7671q) and the Federal Water Pollution Control Act as amended (33 U.S.C. 1251-1387).
Violations must be reported to the Federal awarding agency and the Regional Office of the Environmental Protection
Agency (EPA).
6. Energy Policy and Conservation Act - The contractor shall comply with any mandatory standards and
policies relating to energy efficiency which are contained in the Florida state energy conservation plan issued
in compliance with the Energy Policy and Conservation Act(Pub. L. 94-163, 89 Stat. 871).
7. Debarment and Suspension (Executive Orders 12549 and 12689) - Contract awards that exceed the
small purchase threshold and certain other contract awards shall not be made to parties listed on the government
wide Excluded Parties List System in the System for Award Management (SAM), in accordance with the OMB
guidelines at 2 CFR 180 that implement Executive Orders 12549 (3 CFR Part 1986 Comp., p. 189) and 12689 (3 CFR
Part 1989 Comp., p. 235), "Debarment and Suspension."The Excluded Parties List System in SAM contains the names
of parties debarred, suspended, or otherwise excluded by agencies, as well as parties declared ineligible under
statutory or regulatory authority other than Executive Order 12549.
8. Byrd Anti-Lobbying Amendment (31 U.S.C. 1352) - Vendors must certify it will not and has not used
Federal appropriated funds have been paid or will be paid, by or to any person or organization for influencing or
attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the
making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the
extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative
agreement. The certification includes any lobbying with non-Federal funds that takes place in connection with
obtaining any Federal award.
GP
1 60 1
Exhibit C
Supplemental General Grant Terms and Conditions
9. Procurement of Recovered Materials - (a) In accordance with Section 6002 of the Solid Waste Disposal
Act, as amended by the Resource Conservation and Recovery Act, the Contractor shall procure items designated in
guidelines of the Environmental Protection Agency (EPA) at 40 CFR Part 247 that contain the highest percentage of
recovered materials practicable, consistent with maintaining a satisfactory level of competition. The Contractor shall
procure items designated in the EPA guidelines that contain the highest percentage of recovered materials practicable
unless the Contractor determines that such items: (1) are not reasonably available in a reasonable period of time; (2)
fail to meet reasonable performance standards, which shall be determined on the basis of the guidelines of the
National Institute of Standards and Technology, if applicable to the item; or (3) are only available at an unreasonable
price. (b) Paragraph (a) of this clause shall apply to items purchased under this contract where: (1) the Contractor
purchases in excess of $10,000 of the item under this contract; or (2) during the preceding Federal fiscal year, the
Contractor: (i) purchased any amount of the items for use under a contract that was funded with Federal
appropriations and was with a Federal agency or a State agency or agency of a political subdivision of a State; and (ii)
purchased a total of in excess of$10,000 of the item both under and outside that contract.
10. Disadvantaged Business Enterprise (DBE) - Vendors shall not discriminate on the basis of race, color,
national origin, or sex in the performance of this contract. Vendors shall make a good faith effort to assure that
registered disadvantaged business enterprises are used as sources of supplies, equipment, construction, and services
as much as possible. Each vendor shall identify the anticipated level of participation by DBE's in the project and report
its actual DBE participation (if any)." The offeror will be required to report its DBE participation obtained through
race-neutral means throughout the period of performance and required to convey all changes in anticipated levels of
participation to the County in a timely manner. The vendor is required to pay its DBE subcontractors performing work
related to this contract for satisfactory performance of that work no later than 30 days after the vendor's receipt of
payment for that work from Collier County. In addition, the vendor is required to return any retainage payments to
those subcontractors within thirty (30) days after the subcontractor's work related to this contract is satisfactorily
completed. The vendor must promptly notify Collier County, whenever a DBE subcontractor performing work related
to this contract is terminated or fails to complete its work, and must make good faith efforts to engage another DBE
subcontractor to perform at least the same amount of work. The vendor may not terminate any DBE subcontractor
and perform that work through its own forces or those of an affiliate without prior written consent of Collier County.
11. Equal Employment Opportunity - Except as otherwise provided under 41 CFR Part 60, all contracts that
meet the definition of "federally assisted construction contract" in 41 CFR Part 60-1.3 must include the equal
opportunity clause provided under 41 CFR 60-1.4(b), in accordance with Executive Order 11246, "Equal Employment
Opportunity" (30 FR 12319, 12935, 3 CFR Part, 1964— 1965 Comp., p. 339), as amended by Executive Order 11375,
"Amending Executive Order 11246 Relating to Equal Employment Opportunity," and implementing regulations at 41
CFR part 60,"Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor."
12. Termination
1. TERMINATION FOR DEFAULT.
1. Contractor shall be considered in material default of the Agreement and such default shall be considered
cause for Owner to terminate the Agreement, in whole or in part, as further set forth in this Section, if Contractor: (1)
fails to begin the Work under the Contract Documents within the time specified herein; or (2) fails to properly and
timely perform the Work as directed by the Project Manager or as provided for in the approved Progress Schedule; or
(3) performs the Work unsuitably or neglects or refuses to remove materials or to correct or replace such Work as
may be rejected as unacceptable or unsuitable; or (4) discontinues the prosecution of the Work; or (5) fails to resume
Work which has been suspended within a reasonable time after being notified to do so; or (6) becomes insolvent or is
declared bankrupt, or commits any act of bankruptcy; or (7) allows any final judgment to stand against it unsatisfied
for more than ten (10) days; or (8) makes an assignment for the benefit of creditors; or (9) fails to obey any
applicable codes, laws, ordinances, rules or regulations with respect to the Work; or (10) materially breaches any
other provision of the Contract Documents.
2. Owner shall notify Contractor in writing of Contractor's default(s). If Owner determines that Contractor has
not remedied and cured the default(s) within seven (7) calendar days following receipt by Contractor of said written
notice or such longer period of time as may be consented to by Owner in writing and in its sole discretion, then
Owner, at its option, without releasing or waiving its rights and remedies against the Contractor's sureties and without
1 6 c
Exhibit C
Supplemental General Grant Terms and Conditions
prejudice to any other right or remedy it may be entitled to hereunder or by law, may terminate Contractor's right to
proceed under the Agreement, in whole or in part, and take possession of all or any portion of the Work and any
materials, tools, equipment, and appliances of Contractor, take assignments of any of Contractor's subcontracts and
purchase orders, and complete all or any portion of Contractor's Work by whatever means, method or agency which
Owner, in its sole discretion, may choose.
3. If Owner deems any of the foregoing remedies necessary, Contractor agrees that it shall not be entitled to
receive any further payments hereunder until after the Project is completed. All moneys expended and all of the
costs, losses, damages and extra expenses, including all management, administrative and other overhead and other
direct and indirect expenses (including Design Professional and attorneys' fees) or damages incurred by Owner
incident to such completion, shall be deducted from the Contract Amount, and if such expenditures exceed the unpaid
balance of the Contract Amount, Contractor agrees to pay promptly to Owner on demand the full amount of such
excess, including costs of collection, attorneys' fees (including appeals) and interest thereon at the maximum legal
rate of interest until paid. If the unpaid balance of the Contract Amount exceeds all such costs, expenditures and
damages incurred by the Owner to complete the Work, such excess shall be paid to the Contractor. The amount to be
paid to the Contractor or Owner, as the case may be, shall be approved by the Project Manager, upon application, and
this obligation for payment shall survive termination of the Agreement.
4. The liability of Contractor hereunder shall extend to and include the full amount of any and all sums paid,
expenses and losses incurred, damages sustained, and obligations assumed by Owner in good faith under the belief
that such payments or assumptions were necessary or required, in completing the Work and providing labor,
materials, equipment, supplies, and other items therefore or re-letting the Work, and in settlement, discharge or
compromise of any claims, demands, suits, and judgments pertaining to or arising out of the Work hereunder.
5. If, after notice of termination of Contractor's right to proceed pursuant to this Section, it is determined for any
reason that Contractor was not in default, or that its default was excusable, or that Owner is not entitled to the
remedies against Contractor provided herein, then the termination will be deemed a termination for convenience and
Contractor's remedies against Owner shall be the same as and limited to those afforded Contractor under Section 19
below.
6. In the event (i) Owner fails to make any undisputed payment to Contractor within thirty (30) days after such
payment is due or Owner otherwise persistently fails to fulfill some material obligation owed by Owner to Contractor
under this Agreement, and (ii) Owner has failed to cure such default within fourteen (14) days of receiving written
notice of same from Contractor, then Contractor may stop its performance under this Agreement until such default is
cured, after giving Owner a second fourteen (14) days written notice of Contractor's intention to stop performance
under the Agreement. If the Work is so stopped for a period of one hundred and twenty (120) consecutive days
through no act or fault of the Contractor or its Subcontractors or their agents or employees or any other persons
performing portions of the Work under contract with the Contractor or any Subcontractor, the Contractor may
terminate this Agreement by giving written notice to Owner of Contractor's intent to terminate this Agreement. If
Owner does not cure its default within fourteen (14) days after receipt of Contractor's written notice, Contractor may,
upon fourteen (14) additional days' written notice to the Owner, terminate the Agreement and recover from the
Owner payment for Work performed through the termination date, but in no event shall Contractor be entitled to
payment for Work not performed or any other damages from Owner.
2. TERMINATION FOR CONVENIENCE AND RIGHT OF SUSPENSION.
1. Owner shall have the right to terminate this Agreement without cause upon seven (7) calendar days written
notice to Contractor. In the event of such termination for convenience, Contractor's recovery against Owner shall be
limited to that portion of the Contract Amount earned through the date of termination, together with any retainage
withheld and reasonable termination expenses incurred, but Contractor shall not be entitled to any other or further
recovery against Owner, including, but not limited to, damages or any anticipated profit on portions of the Work not
performed.
16C1
Exhibit C
Supplemental General Grant Terms and Conditions
2. Owner shall have the right to suspend all or any portions of the Work upon giving Contractor not less than two
(2) calendar days' prior written notice of such suspension. If all or any portion of the Work is so suspended,
Contractor's sole and exclusive remedy shall be to seek an extension of time to its schedule in accordance with the
procedures set forth in the Contract Documents. In no event shall the Contractor be entitled to any additional
compensation or damages. Provided, however, if the ordered suspension exceeds six(6) months, the Contractor shall
have the right to terminate the Agreement with respect to that portion of the Work which is subject to the ordered
suspension.
;LoC1
Federal Emergency Management Agency, DHS §13.36
the current market value or proceeds not needed for any other federally
from sale by the awarding agency's sponsored programs or projects, the
share of the equipment. grantee or subgrantee shall corn-
(3) In cases where a grantee or sub- pensate the awarding agency for its
grantee fails to take appropriate dis- share.
position actions, the awarding agency
may direct the grantee or subgrantee §13.34 Copyrights.
to take excess and disposition actions. The Federal awarding agency re-
(f) Federal equipment. In the event a serves a royalty-free, nonexclusive, and
grantee or subgrantee is provided fed- irrevocable license to reproduce, pub-
erally-owned equipment: lish or otherwise use, and to authorize
(1) Title will remain vested in the others to use, for Federal Government
Federal Government. purposes:
(2) Grantees or subgrantees will man- (a) The copyright in any work devel-
age the equipment in accordance with oped under a grant, subgrant, or con-
Federal agency rules and procedures, tract under a grant or subgrant;and
and submit an annual inventory list- (b) Any rights of copyright to which
ing. a grantee, subgrantee or a contractor
(3) When the equipment is no longer purchases ownership with grant sup-
needed, the grantee or subgrantee will port.
request disposition instructions from
the Federal agency. §13.35 Subawards to debarred and
(g) Right to transfer title. The Federal suspended parties.
awarding agency may reserve the right
to transfer title to the Federal Govern- Grantees and subgrantees must not
ment or a third part named by the make any award or permit any award
awarding agency when such a third (subgrant or contract) at any tier to
party is otherwise eligible under exist- any party which is debarred or sus-
ing statutes. Such transfers shall be pended or is otherwise excluded from or
subject to the following standards: ineligible for participation in Federal
(1)The property shall be identified in assistance programs under Executive
the grant or otherwise made known to Order 12549, "Debarment and Suspen-
the grantee in writing. Sion."
(2) The Federal awarding agency
*13.36 Procurement.
shall issue disposition instruction
within 120 calendar days after the end (a) States. When procuring property
of the Federal support of the project and services under a grant,a State will
for which it was acquired. If the Fed- follow the same policies and procedures
eral awarding agency fails to issue dis- it uses for procurements from its non-
position instructions within the 120 Federal funds. The State will ensure
calendar-day period the grantee shall that every purchase order or other con-
follow§13.32(e). tract includes any clauses required by
(3) When title to equipment is trans- Federal statutes and executive orders
ferred, the grantee shall be paid an and their implementing regulations.
amount calculated by applying the per- Other grantees and subgrantees will
centage of participation in the pur- follow paragraphs (b) through (i) in
chase to the current fair market value this section.
of the property. (b) Procurement standards. (1) Grant-
ees and subgrantees will use their own
§13.33 Supplies. procurement procedures which reflect
(a) Title. Title to supplies acquired applicable State and local laws and
under a grant or subgrant will vest, regulations, provided that the procure-
upon acquisition, in the grantee or sub- ments conform to applicable Federal
grantee respectively, law and the standards identified in this
(b) Disposition. If there is a residual section.
inventory of unused supplies exceeding (2) Grantees and subgrantees will
$5,000 in total aggregate fair market maintain a contract administration
value upon termination or completion system which ensures that contractors
of the award, and if the supplies are perform in accordance with the terms,
131
GQ`
160 1
§13.36 44 CFR Ch. I (10-1-11 Edition)
conditions, and specifications of their for procurement or use of common
contracts or purchase orders. goods and services.
(3) Grantees and subgrantees will (6) Grantees and subgrantees are en-
maintain a written code of standards of couraged to use Federal excess and sur-
conduct governing the performance of plus property in lieu of purchasing new
their employees engaged in the award equipment and property whenever such
and administration of contracts. No use is feasible and reduces project
employee, officer or agent of the grant- costs.
ee or subgrantee shall participate in se- (7) Grantees and subgrantees are en-
lection, or in the award or administra- couraged to use value engineering
tion of a contract supported by Federal clauses in contracts for construction
funds if a conflict of interest, real or projects of sufficient size to offer rea-
apparent, would be involved. Such a sonable opportunities for cost reduc-
conflict would arise when: tions. Value engineering is a system-
(i)The employee, officer or agent, atic and creative analysis of each con-
(ii) Any member of his immediate tract item or task to ensure that its es-
family, sential function is provided at the
(iii)His or her partner,or overall lower cost.
(iv) An organization which employs, (8) Grantees and subgrantees will
or is about to employ, any of the make awards only to responsible con-
above, has a financial or other interest tractors possessing the ability to Per-
in the firm selected for award. The form successfully under the terms and
grantee's or subgrantee's officers, em- conditions of a proposed procurement.
ployees or agents will neither solicit Consideration will be given to such
nor accept gratuities, favors or any- matters as contractor integrity, corn-
thing of monetary value from contrac-
tors, potential contractors, or parties pliance with public policy, record of
to subagreements. Grantee and sub- past performance, and financial and
grantees may set minimum rules where technical resources.
the financial interest is not substantial (9) Grantees and subgrantees will
or the gift is an unsolicited item of maintain records sufficient to detail
nominal intrinsic value. To the extent the significant history of a procure
permitted by State or local law or reg- ment. These records will include, but
ulations, such standards or conduct are not necessarily limited to the fol-
will provide for penalties, sanctions, or lowing: rationale for the method of
other disciplinary actions for viola-
procurement, selection of contract
tions of such standards by the grant type, contractor selection or rejection,
ee's and subgrantee's officers, employ- and the basis for the contract price.
ees, or agents, or by contractors or (10) Grantees and subgrantees will
their agents. The awarding agency may use time and material type contracts
in regulation provide additional prohi- only—
bitions relative to real, apparent, or (i) After a determination that no
potential conflicts of interest. other contract is suitable,and
(4) Grantee and subgrantee proce- (ii) If the contract includes a ceiling
dures will provide for a review of pro- price that the contractor exceeds at its
posed procurements to avoid purchase own risk.
of unnecessary or duplicative items. (11) Grantees and subgrantees alone
Consideration should be given to con- will be responsible, in accordance with
solidating or breaking out procure- good administrative practice and sound
ments to obtain a more economical business judgment, for the settlement
purchase. Where appropriate, an anal- of all contractual and administrative
ysis will be made of lease versus pur- issues arcing out of procurements.
chase alternatives, and any other ap- These issues include, but are not lim-
propriate analysis to determine the ited to source evaluation, protests, dis-
most economical approach. putes, and claims. These standards do
(5) To foster greater economy and ef- not relieve the grantee or subgrantee
ficiency, grantees and subgrantees are of any contractual responsibilities
encouraged to enter into State and under its contracts. Federal agencies
local intergovernmental agreements will not substitute their judgment for
132
0
16C1
Federal Emergency Management Agency, DHS §13.36
that of the grantee or subgrantee un- evaluation of bids or proposals, except
less the matter is primarily a Federal in those cases where applicable Federal
concern. Violations of law will be re- statutes expressly mandate or encour-
ferred to the local, State, or Federal age geographic preference. Nothing in
authority having proper jurisdiction. this section preempts State licensing
(12) Grantees and subgrantees will laws. When contracting for architec-
have protest procedures to handle and tural and engineering (A/E) services,
resolve disputes relating to their pro- geographic location may be a selection
curements and shall in all instances criteria provided its application leaves
disclose information regarding the pro- an appropriate number of qualified
test to the awarding agency. A firms, given the nature and size of the
protestor must exhaust all administra- project, to compete for the contract.
tive remedies with the grantee and sub- (3) Grantees will have written selec-
grantee before pursuing a protest with tion procedures for procurement trans-
the Federal agency. Reviews of pro- actions. These procedures will ensure
tests by the Federal agency will be lim- that all solicitations:
ited to: (i) Incorporate a clear and accurate
(i) Violations of Federal law or regu- description of the technical require-
lations and the standards of this sec- ments for the material, product, or
tion (violations of State or local law service to be procured. Such descrip-
will be under the jurisdiction of State tion shall not, in competitive procure-
or local authorities)and ments, contain features which unduly
(ii)Violations of the grantee's or sub- restrict competition. The description
grantee's protest procedures for failure may include a statement of the quali-
to review a complaint or protest. Pro- tative nature of the material, product
tests received by the Federal agency or service to be procured, and when
other than those specified above will be necessary, shall set forth those min-
referred to the grantee or subgrantee. imum essential characteristics and
(c) Competition. (1) All procurement standards to which it must conform if
transactions will be conducted in a it is to satisfy its intended use. De-
manner providing full and open com-
petition consistent with the standards tailed product specifications should be
of section 13.36. Some of the situations avoided if at all possible. When it is
considered to be restrictive of competi- impractical or uneconomical to make a
tion include but are not limited to: clear and accurate description of the
(i) Placing unreasonable require- technical requirements, a"brand name
meats on firms in order for them to or equal" description may be used as a
qualify to do business, means to define the performance or
(ii)Requiring unnecessary experience other salient requirements of a pro-
and excessive bonding, curement. The specific features of the
(iii)Noncompetitive pricing practices named brand which must be met by
between firms or between affiliated offerors shall be clearly stated; and
companies, (ii) Identify all requirements which
(iv) Noncompetitive awards to con- the offerors must fulfill and all other
sultants that are on retainer contracts, factors to be used in evaluating bids or
(v) Organizational conflicts of inter- proposals.
est, (4) Grantees and subgrantees will en-
(vi) Specifying only a "brand name" sure that all prequalified lists of per-
product instead of allowing "an equal" sons, firms, or products which are used
product to be offered and describing in acquiring goods and services are cur-
the performance of other relevant re- rent and include enough qualified
quirements of the procurement, and sources to ensure maximum open and
(vii)Any arbitrary action in the pro- free competition. Also, grantees and
curement process. subgrantees will not preclude potential
(2) Grantees and subgrantees will bidders from qualifying during the so-
conduct procurements in a manner licitation period.
that prohibits the use of statutorily or (d) Methods of procurement to be fol-
administratively imposed in-State or lowed—(1)Procurement by small purchase
local geographical preferences in the procedures. Small purchase procedures
133
16C1
§13.36 44 CFR Ch. I (10-1-11 Edition)
are those relatively simple and infor- prior experience indicates that such
mal procurement methods for securing discounts are usually taken advantage
services, supplies, or other property of; and
that do not cost more than the sim- (E)Any or all bids may be rejected if
plified acquisition threshold fixed at 41 there is a sound documented reason.
U.S.C.403(11)(currently set at$100,000). (3) Procurement by competitive pro-
If small purchase procedures are used, posals. The technique of competitive
price or rate quotations shall be ob- proposals is normally conducted with
tained from an adequate number of more than one source submitting an
qualified sources. offer, and either a fixed-price or cost-
(2) Procurement by sealed bids (for- reimbursement type contract is award-
mal advertising). Bids are publicly so- ed.It is generally used when conditions
licited and a firm-fixed-price contract are not appropriate for the use of
(lump sum or unit price) is awarded to sealed bids. If this method is used, the
the responsible bidder whose bid, con- following requirements apply:
forming with all the material terms (i)Requests for proposals will be pub-
and conditions of the invitation for licized and identify all evaluation fac-
bids, is the lowest in price. The sealed tors and their relative importance.Any
bid method is the preferred method for response to publicized requests for pro-
procuring construction, if the condi- posals shall be honored to the max-
tions in§13.36(d)(2)(i)apply. imum extent practical;
(i) In order for sealed bidding to be (ii) Proposals will be solicited from
feasible, the following conditions
should be present: an adequate number of qualified
(A) A complete, adequate, and real- sources;
istic specification or purchase descrip- (iii) Grantees and subgrantees will
tion is available; have a method for conducting tech-
(B) Two or more responsible bidders nical evaluations of the proposals re-
are willing and able to compete effec-
tively and for the business;and (iv) Awards will be made to the re-
(C)The procurement lends itself to a sponsible firm whose proposal is most
firm fixed price contract and the selec- advantageous to the program, with
tion of the successful bidder can be price and other factors considered; and
made principally on the basis of price. (v) Grantees and subgrantees may
(ii) If sealed bids are used, the fol- use competitive proposal procedures
lowing requirements apply: for qualifications-based procurement of
(A) The invitation for bids will be architectural/engineering (A/E) profes-
publicly advertised and bids shall be sional services whereby competitors'
solicited from an adequate number of qualifications are evaluated and the
known suppliers, providing them suffi- most qualified competitor is selected,
cient time prior to the date set for subject to negotiation of fair and rea-
opening the bids; sonable compensation. The method,
(B) The invitation for bids, which where price is not used as a selection
will include any specifications and per- factor, can only be used in procure-
tinent attachments, shall define the ment of A/E professional services. It
items or services in order for the bidder cannot be used to purchase other types
to properly respond; of services though A/E firms are a po-
(C)All bids will be publicly opened at tential source to perform the proposed
the time and place prescribed in the in- effort.
vitation for bids; (4) Procurement by noncompetitive
(D)A firm fixed-price contract award proposals is procurement through solic-
will be made in writing to the lowest station of a proposal from only one
responsive and responsible bidder. source, or after solicitation of a num-
Where specified in bidding documents, ber of sources, competition is deter-
factors such as discounts, transpor- mined inadequate.
tation cost, and life cycle costs shall be (i) Procurement by noncompetitive
considered in determining which bid is proposals may be used only when the
lowest. Payment discounts will only be award of a contract is infeasible under
used to determine the low bid when small purchase procedures, sealed bids
134
GP
l6Ci
Federal Emergency Management Agency, DHS §13.36
or competitive proposals and one of the graphs (e)(2) (i) through (v) of this sec-
following circumstances applies: tion.
(A)The item is available only from a (f) Contract cost and price. (1) Grant-
single source; ees and subgrantees must perform a
(B)The public exigency or emergency cost or price analysis in connection
for the requirement will not permit a with every procurement action includ-
delay resulting from competitive solic- ing contract modifications. The meth-
itation; od and degree of analysis is dependent
(C) The awarding agency authorizes on the facts surrounding the particular
noncompetitive proposals; or procurement situation, but as a start-
(D) After solicitation of a number of ing point, grantees must make inde-
sources, competition is determined in- pendent estimates before receiving bids
adequate. or proposals. A cost analysis must be
(ii) Cost analysis, i.e., verifying the performed when the offeror is required
proposed cost data, the projections of to submit the elements of his esti-
the data, and the evaluation of the spe-
cific elements of costs and profits, is consulting, and architectural engineer-
required. ing services contracts. A cost analysis
(iii) Grantees and subgrantees may will be necessary when adequate price
be required to submit the proposed pro- competition is lacking, and for sole
curement to the awarding agency for source procurements, including con
pre-award review in accordance with tract modifications or change orders,
paragraph(g)of this section. unless price resonableness can be es-
(e) Contracting with small and minority tablished on the basis of a catalog or
firms, women's business enterprise and smarket price of a commercial product
labor surplus area firms. (1) The grantee generalold in substantial or based quantities seto the
and subgrantee will take all necessary public or on prices by
affirmative steps to assure that minor- belaw or regulation. A price analysis will
ity firms, women's business enter- mine used inallb instances toh pro-
prises, and labor surplus area firms are the reasonableness of the pro
Posed contract price.
used when possible.
(2)Affirmative steps shall include: go(2) toGprofitantees and separatesubgranteestwill not
f
(i)Placing qualified small and minor- eiate profit as a ontraelement h
the price for each contract in which
ity businesses and women's business there is no price competition and in all
enterprises on solicitation lists; cases where cost analysis is performed.
(ii)Assuring that small and minority To establish a fair and reasonable prof-
businesses, and women's business en- it, consideration will be given to the
terprises are solicited whenever they complexity of the work to be per-
are potential sources; formed, the risk borne by the con-
(iii) Dividing total requirements, tractor, the contractor's investment,
when economically feasible,into small- the amount of subcontracting, the
er tasks or quantities to permit max- quality of its record of past perform-
imum participation by small and mi- ance, and industry profit rates in the
nority business, and women's business surrounding geographical area for
enterprises; similar work.
(iv) Establishing delivery schedules, (3)Costs or prices based on estimated
where the requirement permits, which costs for contracts under grants will be
encourage participation by small and allowable only to the extent that costs
minority business, and women's busi- incurred or cost estimates included in
ness enterprises; negotiated prices are consistent with
(v) Using the services and assistance Federal cost principles (see §13.22).
of the Small Business Administration, Grantees may reference their own cost
and the Minority Business Develop- principles that comply with the appli-
ment Agency of the Department of cable Federal cost principles.
Commerce; and (4)The cost plus a percentage of cost
(vi) Requiring the prime contractor, and percentage of construction cost
if subcontracts are to be let, to take methods of contracting shall not be
the affirmative steps listed in para- used.
135
1 601
§13.36 44 CFR Ch. I (10-1-11 Edition)
(g) Awarding agency review. (1) Grant- these standards in order for its system
ees and subgrantees must make avail- to be certified. Generally, these re-
able, upon request of the awarding views shall occur where there is a con-
agency, technical specifications on pro- tinuous high-dollar funding, and third-
posed procurements where the award- party contracts are awarded on a reg-
ing agency believes such review is ular basis.
needed to ensure that the item and/or (ii)A grantee or subgrantee may self-
service specified is the one being pro- certify its procurement system. Such
posed for purchase. This review gen- self-certification shall not limit the
erally will take place prior to the time awarding agency's right to survey the
the specification is incorporated into a system. Under a self-certification pro-
solicitation document. However, if the cedure, awarding agencies may wish to
grantee or subgrantee desires to have rely on written assurances from the
the review accomplished after a solici- grantee or subgrantee that it is corn-
tation has been developed, the award- plying with these standards. A grantee
ing agency may still review the specs- or subgrantee will cite specific proce-
fications,with such review usually lim- dares, regulations, standards, etc., as
ited to the technical aspects of the pro- being in compliance with these require-
posed purchase. ments and have its system available
(2) Grantees and subgrantees must on for review.
request make available for awarding (h) Bonding requirements. For con-
agency pre-award review procurement struction or facility improvement con-
documents, such as requests for pro- tracts or subcontracts exceeding the
posals or invitations for bids, inde- simplified acquisition threshold, the
pendent cost estimates, etc.when: awarding agency may accept the bond-
(i) A grantee's or subgrantee's pro- ing policy and requirements of the
curement procedures or operation fails grantee or subgrantee provided the
to comply with the procurement stand- awarding agency has made a deter-
ards in this section; or mination that the awarding agency's
(ii) The procurement is expected to interest is adequately protected. If
exceed the simplified acquisition such a determination has not been
threshold and is to be awarded without made,the minimum requirements shall
competition or only one bid or offer is be as follows:
received in response to a solicitation;
or (1) A bid guarantee from each bidder
(iii) The procurement, which is ex- equivalent to five percent of the bid price.
pected to exceed the simplified acquisi- The "bid guarantee" shall consist of a
tion threshold, specifies a "brand firm commitment such as a bid bond,
name"product;or certified check, or other negotiable in-
(iv) The proposed award is more than strument accompanying a bid as assur-
the simplified acquisition threshold ance that the bidder will, upon accept-
and is to be awarded to other than the ance of his bid, execute such contrac-
apparent low bidder under a sealed bid tual documents as may be required
procurement; or within the time specified.
(v) A proposed contract modification (2) A performance bond on the part of
changes the scope of a contract or in- the contractor for 100 percent of the con-
creases the contract amount by more tract price. A "performance bond" is
than the simplified acquisition thresh- one executed in connection with a con-
old. tract to secure fulfillment of all the
(3) A grantee or subgrantee will be contractor's obligations under such
exempt from the pre-award review in contract.
paragraph (g)(2) of this section if the (3) A payment bond on the part of the
awarding agency determines that its contractor for 100 percent of the contract
procurement systems comply with the price. A "payment bond" is one exe-
standards of this section. cuted in connection with a contract to
(i) A grantee or subgrantee may re- assure payment as required by law of.
quest that its procurement system be all persons supplying labor and mate-
reviewed by the awarding agency to de- rial in the execution of the work pro-
termine whether its system meets vided for in the contract.
136
16C 1
Federal Emergency Management Agency, DHS §13.37
(i) Contract provisions. A grantee's (8) Notice of awarding agency re-
and subgrantee's contracts must con- quirements and regulations pertaining
tain provisions in paragraph (i) of this to patent rights with respect to any
section. Federal agencies are permitted discovery or invention which arises or
to require changes, remedies, changed is developed in the course of or under
conditions, access and records reten- such contract.
tion, suspension of work, and other (9) Awarding agency requirements
clauses approved by the Office of Fed- and regulations pertaining to copy-
eral Procurement Policy. rights and rights in data.
(1) Administrative, contractual, or (10) Access by the grantee, the sub-
legal remedies in instances where con- grantee, the Federal grantor agency,
tractors violate or breach contract the Comptroller General of the United
terms, and provide for such sanctions States, or any of their duly authorized
and penalties as may be appropriate. representatives to any books, docu-
(Contracts more than the simplified ac- ments, papers, and records of the con-
quisition threshold) tractor which are directly pertinent to
(2) Termination for cause and for that specific contract for the purpose
convenience by the grantee or sub- of making audit, examination, ex-
grantee including the manner by which cerpts,and transcriptions.
it will be effected and the basis for set- (11) Retention of all required records
tlement. (All contracts in excess of for three years after grantees or sub-
$10,000) grantees make final payments and all
(3) Compliance with Executive Order other pending matters are closed.
11246 of September 24, 1965, entitled (12) Compliance with all applicable
"Equal Employment Opportunity," as standards, orders, or requirements
amended by Executive Order 11375 of issued under section 306 of the Clean
October 13, 1967, and as supplemented Air Act (42 U.S.C. 1857(h)), section 508
in Department of Labor regulations (41 of the Clean Water Act(33 U.S.C. 1368),
CFR chapter 60). (All construction con- Executive Order 11738, and Environ-
tracts awarded in excess of $10,000 by mental Protection Agency regulations
grantees and their contractors or sub- (40 CFR part 15). (Contracts, sub-
grantees) contracts, and subgrants of amounts in
(4) Compliance with the Copeland excess of$100,000)
"Anti-Kickback" Act (18 U.S.C. 874) as (13)Mandatory standards and policies
supplemented in Department of Labor relating to energy efficiency which are
regulations (29 CFR Part 3). (All con- contained in the state energy conserva-
tracts and subgrants for construction tion plan issued in compliance with the
or repair) Energy Policy and Conservation Act
(5) Compliance with the Davis-Bacon (Pub. L. 94-163,89 Stat.871).
Act (40 U.S.C. 276a to 276a-7) as supple-
mented by Department of Labor regu- [53 FR 8078,8087,Mar. 11,1988,as amended at
lations (29 CFR part 5). (Construction 60 FR 19639,19645,Apr.19,1995]
contracts in excess of$2000 awarded by §13.37 Subgrants.
grantees and subgrantees when re-
quired by Federal grant program legis- (a) States. States shall follow state
lation) law and procedures when awarding and
(6) Compliance with Sections 103 and administering subgrants (whether on a
107 of the Contract Work Hours and cost reimbursement or fixed amount
Safety Standards Act(40 U.S.C. 327-330) basis) of financial assistance to local
as supplemented by Department of and Indian tribal governments. States
Labor regulations (29 CFR Part 5). shall:
(Construction contracts awarded by (1) Ensure that every subgrant in-
grantees and subgrantees in excess of cludes any clauses required by Federal
$2000, and in excess of $2500 for other statute and executive orders and their
contracts which involve the employ- implementing regulations;
ment of mechanics or laborers) (2) Ensure that 'subgrantees are
(7) Notice of awarding agency re- aware of requirements imposed upon
quirements and regulations pertaining them by Federal statute and regula-
to reporting. tion;
137
16c1
FHWA-1273— Revised May 1,2012
REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSTRUCTION CONTRACTS
I. General 3. A breach of any of the stipulations contained in these
II. Nondiscrimination Required Contract Provisions may be sufficient grounds for
III. Nonsegregated Facilities withholding of progress payments,withholding of final
IV. Davis-Bacon and Related Act Provisions payment,termination of the contract,suspension/debarment
V. Contract Work Hours and Safety Standards Act or any other action determined to be appropriate by the
Provisions contracting agency and FHWA.
VI. Subletting or Assigning the Contract
VII. Safety:Accident Prevention 4. Selection of Labor:During the performance of this contract,
VIII. False Statements Concerning Highway Projects the contractor shall not use convict labor for any purpose
IX. Implementation of Clean Air Act and Federal Water within the limits of a construction project on a Federal-aid
Pollution Control Act highway unless it is labor performed by convicts who are on
X. Compliance with Governmentwide Suspension and parole,supervised release,or probation. The term Federal-aid
Debarment Requirements highway does not include roadways functionally classified as
Xl. Certification Regarding Use of Contract Funds for local roads or rural minor collectors.
Lobbying
ATTACHMENTS II. NONDISCRIMINATION
A.Employment and Materials Preference for Appalachian The provisions of this section related to 23 CFR Part 230 are
Development Highway System or Appalachian Local Access applicable to all Federal-aid construction contracts and to all
Road Contracts(included in Appalachian contracts only) related construction subcontracts of$10,000 or more. The
provisions of 23 CFR Part 230 are not applicable to material
supply,engineering,or architectural service contracts.
I. GENERAL
In addition,the contractor and all subcontractors must comply
1. Form FHWA-1273 must be physically incorporated in each with the following policies:Executive Order 11246,41 CFR 60,
construction contract funded under Title 23(excluding 29 CFR 1625-1627,Title 23 USC Section 140,the
emergency contracts solely intended for debris removal). The Rehabilitation Act of 1973,as amended(29 USC 794),Title VI •
contractor(or subcontractor)must insert this form in each of the Civil Rights Act of 1964,as amended,and related
subcontract and further require its inclusion in all lower tier regulations including 49 CFR Parts 21,26 and 27;and 23 CFR
subcontracts(excluding purchase orders,rental agreements Parts 200,230,and 633.
and other agreements for supplies or services).
The contractor and all subcontractors must comply with: the
The applicable requirements of Form FHWA-1273 are requirements of the Equal Opportunity Clause in 41 CFR 60-
incorporated by reference for work done under any purchase 1.4(b)and,for all construction contracts exceeding$10,000,
order,rental agreement or agreement for other services. The the Standard Federal Equal Employment Opportunity
prime contractor shall be responsible for compliance by any Construction Contract Specifications in 41 CFR 60-4.3.
subcontractor,lower-tier subcontractor or service provider.
Note:The U.S.Department of Labor has exclusive authority to
Form FHWA-1273 must be included in all Federal-aid design- determine compliance with Executive Order 11246 and the
build contracts,in all subcontracts and in lower tier policies of the Secretary of Labor including 41 CFR 60,and 29
subcontracts(excluding subcontracts for design services, CFR 1625-1627. The contracting agency and the FHWA have
purchase orders,rental agreements and other agreements for the authority and the responsibility to ensure compliance with
supplies or services). The design-builder shall be responsible Title 23 USC Section 140,the Rehabilitation Act of 1973, as
for compliance by any subcontractor,lower-tier subcontractor amended(29 USC 794),and Title VI of the Civil Rights Act of
or service provider. 1964,as amended,and related regulations including 49 CFR
Parts 21,26 and 27;and 23 CFR Parts 200,230,and 633.
Contracting agencies may reference Form FHWA-1273 in bid
proposal or request for proposal documents,however,the The following provision is adopted from 23 CFR 230,Appendix
Form FHWA-1273 must be physically incorporated(not A,with appropriate revisions to conform to the U.S.
referenced)in all contracts,subcontracts and lower-tier Department of Labor(US DOL)and FHWA requirements.
subcontracts(excluding purchase orders,rental agreements
and other agreements for supplies or services related to a 1.Equal Employment Opportunity: Equal employment
construction contract). opportunity(EEO)requirements not to discriminate and to take
affirmative action to assure equal opportunity as set forth
2. Subject to the applicability criteria noted in the following under laws,executive orders,rules,regulations(28 CFR 35,
sections,these contract provisions shall apply to all work 29 CFR 1630,29 CFR 1625-1627,41 CFR 60 and 49 CFR 27) •
performed on the contract by the contractors own organization and orders of the Secretary of Labor as modified by the
and with the assistance of workers under the contractors provisions prescribed herein,and imposed pursuant to 23
immediate superintendence and to all work performed on the U.S.C. 140 shall constitute the EEO and specific affirmative
contract by piecework,station work,or by subcontract. action standards for the contractor's project activities under
1
�s
this contract.The provisions of the Americans with Disabilities 4.Recruitment:When advertising for employees,the
Act of'1990(42 U.S.C. 12101 et seq.)set forth under 28 CFR contractor will include in all advertisements for employees the
35 and 29 CFR 1630 are incorporated by reference in this notation:"An Equal Opportunity Employer." All such
contract.In the execution of this contract,the contractor advertisements will be placed in publications having a large
agrees to comply with the following minimum specific circulation among minorities and women in the area from
requirement activities of EEO: which the project work force would normally be derived.
a.The contractor will work with the contracting agency and a. The contractor will,unless precluded by a valid
the Federal Government to ensure that it has made every bargaining agreement,conduct systematic and direct
good faith effort to provide equal opportunity with respect to all recruitment through public and private employee referral
of its terms and conditions of employment and in their review sources likely to yield qualified minorities and women. To
of activities under the contract. meet this requirement,the contractor will identify sources of
potential minority group employees,and establish with such
b.The contractor will accept as its operating policy the identified sources procedures whereby minority and women
following statement: applicants may be referred to the contractor for employment
consideration.
"It is the policy of this Company to assure that applicants
are employed,and that employees are treated during b. In the event the contractor has a valid bargaining
employment,without regard to their race,religion,sex,color, agreement providing for exclusive hiring hall referrals,the
national origin,age or disability. Such action shall include: contractor is expected to observe the provisions of that
employment,upgrading,demotion,or transfer;recruitment or agreement to the extent that the system meets the contractor's
recruitment advertising;layoff or termination;rates of pay or compliance with EEO contract provisions. Where
other forms of compensation;and selection for training, implementation of such an agreement has the effect of
including apprenticeship,pre-apprenticeship,and/or on-the- discriminating against minorities or women,or obligates the
job training." contractor to do the same,such implementation violates
Federal nondiscrimination provisions.
2. EEO Officer:The contractor will designate and make
known to the contracting officers an EEO Officer who will have c. The contractor will encourage its present employees to
the responsibility for and must be capable of effectively refer minorities and women as applicants for employment.
administering and promoting an active EEO program and who Information and procedures with regard to referring such
must be assigned adequate authority and responsibility to do applicants will be discussed with employees.
so.
5.Personnel Actions:Wages,working conditions,and
3. Dissemination of Policy:All members of the contractor's employee benefits shall be established and administered,and
staff who are authorized to hire,supervise, promote,and personnel actions of every type,including hiring,upgrading,
discharge employees,or who recommend such action,or who promotion,transfer,demotion,layoff,and termination,shall be
are substantially involved in such action,will be made fully taken without regard to race,color,religion,sex,national
cognizant of,and will implement,the contractor's EEO policy origin,age or disability. The following procedures shall be
and contractual responsibilities to provide EEO in each grade followed:
and classification of employment. To ensure that the above
agreement will be met,the following actions will be taken as a a. The contractor will conduct periodic inspections of project
minimum: sites to insure that working conditions and employee facilities
do not indicate discriminatory treatment of project site
a. Periodic meetings of supervisory and personnel office personnel.
employees will be conducted before the start of work and then
not less often than once every six months,at which time the b. The contractor will periodically evaluate the spread of
contractor's EEO policy and its implementation will be wages paid within each classification to determine any
reviewed and explained. The meetings will be conducted by evidence of discriminatory wage practices.
the EEO Officer.
c. The contractor will periodically review selected personnel
b. All new supervisory or personnel office employees will be actions in depth to determine whether there is evidence of
given a thorough indoctrination by the EEO Officer,covering discrimination. Where evidence is found,the contractor will
all major aspects of the contractor's EEO obligations within promptly take corrective action. If the review indicates that the
thirty days following their reporting for duty with the contractor. discrimination may extend beyond the actions reviewed,such
corrective action shall include all affected persons.
c. All personnel who are engaged in direct recruitment for
the project will be instructed by the EEO Officer in the d. The contractor will promptly investigate all complaints of
contractor's procedures for locating and hiring minorities and alleged discrimination made to the contractor in connection
women. with its obligations under this contract,will attempt to resolve
such complaints,and will take appropriate corrective action
d. Notices and posters setting forth the contractor's EEO within a reasonable time. If the investigation indicates that the
policy will be placed in areas readily accessible to employees, discrimination may affect persons other than the complainant,
applicants for employment and potential employees. such corrective action shall include such other persons. Upon
completion of each investigation,the contractor will inform
e. The contractor's EEO policy and the procedures to every complainant of all of their avenues of appeal.
implement such policy will be brought to the attention of
employees by means of meetings,employee handbooks,or 6.Training and Promotion:
other appropriate means.
a. The contractor will assist in locating,qualifying,and
increasing the skills of minorities and women who are
2
16c1
applicants for employment or current employees. Such efforts with the requirements for and comply with the Americans with
should be aimed at developing full journey level status Disabilities Act and all rules and regulations established there
employees in the type of trade or job classification involved. under. Employers must provide reasonable accommodation in
all employment activities unless to do so would cause an
b. Consistent with the contractor's work force requirements undue hardship.
and as permissible under Federal and State regulations,the
contractor shall make full use of training programs,i.e., 9.Selection of Subcontractors,Procurement of Materials
apprenticeship,and on-the-job training programs for the and Leasing of Equipment:The contractor shall not
geographical area of contract performance. In the event a discriminate on the grounds of race,color,religion,sex,
special provision for training is provided under this contract, national origin,age or disability in the selection and retention
this subparagraph will be superseded as indicated in the of subcontractors,including procurement of materials and
special provision. The contracting agency may reserve leases of equipment. The contractor shall take all necessary
training positions for persons who receive welfare assistance and reasonable steps to ensure nondiscrimination in the
in accordance with 23 U.S.C.140(a). administration of this contract.
c. The contractor will advise employees and applicants for a. The contractor shall notify all potential subcontractors and
employment of available training programs and entrance suppliers and lessors of their EEO obligations under this
requirements for each. contract.
d. The contractor will periodically review the training and b. The contractor will use good faith efforts to ensure
promotion potential of employees who are minorities and subcontractor compliance with their EEO obligations.
women and will encourage eligible employees to apply for
such training and promotion.
10. Assurance Required by 49 CFR 26.13(b):
7.Unions: If the contractor relies in whole or in part upon
unions as a source of employees,the contractor will use good a. The requirements of 49 CFR Part 26 and the State
faith efforts to obtain the cooperation of such unions to DOT's U.S.DOT-approved DBE program are incorporated by
increase opportunities for minorities and women. Actions by reference.
the contractor,either directly or through a contractor's
association acting as agent,will include the procedures set b. The contractor or subcontractor shall not discriminate on
forth below: the basis of race,color,national origin,or sex in the
performance of this contract. The contractor shall carry out
a. The contractor will use good faith efforts to develop,in applicable requirements of 49 CFR Part 26 in the award and
cooperation with the unions,joint training programs aimed administration of DOT-assisted contracts. Failure by the
toward qualifying more minorities and women for membership contractor to carry out these requirements is a material breach •
in the unions and increasing the skills of minorities and women of this contract,which may result in the termination of this
so that they may qualify for higher paying employment. contract or such other remedy as the contracting agency
deems appropriate.
b. The contractor will use good faith efforts to incorporate an
EEO clause into each union agreement to the end that such 11.Records and Reports:The contractor shall keep such
union will be contractually bound to refer applicants without records as necessary to document compliance with the EEO
regard to their race,color,religion,sex,national origin,age or requirements. Such records shall be retained for a period of
disability. three years following the date of the final payment to the
contractor for all contract work and shall be available at
c. The contractor is to obtain information as to the referral reasonable times and places for inspection by authorized
practices and policies of the labor union except that to the representatives of the contracting agency and the FHWA.
extent such information is within the exclusive possession of
the labor union and such labor union refuses to furnish such a. The records kept by the contractor shall document the
information to the contractor,the contractor shall so certify to following:
the contracting agency and shall set forth what efforts have
been made to obtain such information. (1)The number and work hours of minority and non-
minority group members and women employed in each work
d. In the event the union is unable to provide the contractor classification on the project;
with a reasonable flow of referrals within the time limit set forth
in the collective bargaining agreement,the contractor will, (2)The progress and efforts being made in cooperation
through independent recruitment efforts,fill the employment with unions,when applicable,to increase employment
vacancies without regard to race,color,religion,sex,national opportunities for minorities and women;and
origin,age or disability;making full efforts to obtain qualified
and/or qualifiable minorities and women. The failure of a union (3)The progress and efforts being made in locating,hiring,
to provide sufficient referrals(even though it is obligated to training,qualifying,and upgrading minorities and women;
provide exclusive referrals under the terms of a collective
bargaining agreement)does not relieve the contractor from the b. The contractors and subcontractors will submit an annual
requirements of this paragraph. In the event the union referral report to the contracting agency each July for the duration of
practice prevents the contractor from meeting the obligations the project,indicating the number of minority,women,and
pursuant to Executive Order 11246,as amended,and these non-minority group employees currently engaged in each work
special provisions,such contractor shall immediately notify the classification required by the contract work. This information is
contracting agency. to be reported on Form FHWA-1391. The staffing data should
represent the project work force on board in all or any part of
8. Reasonable Accommodation for Applicants/ the last payroll period preceding the end of July. If on-the-job
Employees with Disabilities: The contractor must be familiar training is being required by special provision,the contractor
3
1 6C 1
will be required to collect and report training data. The of paragraph 1.d.of this section;also,regular contributions
employment data should reflect the work force on board during made or costs incurred for more than a weekly period(but not
all or any part of the last payroll period preceding the end of less often than quarterly)under plans,funds,or programs
July. which cover the particular weekly period,are deemed to be
constructively made or incurred during such weekly period.
Such laborers and mechanics shall be paid the appropriate
III.NONSEGREGATED FACILITIES wage rate and fringe benefits on the wage determination for
the classification of work actually performed,without regard to
This provision is applicable to all Federal-aid construction skill,except as provided in 29 CFR 5.5(a)(4).Laborers or
contracts and to all related construction subcontracts of mechanics performing work in more than one classification
$10,000 or more. may be compensated at the rate specified for each
classification for the time actually worked therein:Provided,
The contractor must ensure that facilities provided for That the employer's payroll records accurately set forth the
employees are provided in such a manner that segregation on time spent in each classification in which work is performed.
the basis of race,color,religion,sex,or national origin cannot The wage determination(including any additional classification
result. The contractor may neither require such segregated and wage rates conformed under paragraph 1.b.of this
use by written or oral policies nor tolerate such use by section)and the Davis-Bacon poster(WH-1321)shall be
employee custom. The contractor's obligation extends further posted at all times by the contractor and its subcontractors at
to ensure that its employees are not assigned to perform their the site of the work in a prominent and accessible place where
services at any location,under the contractor's control,where it can be easily seen by the workers.
the facilities are segregated. The term"facilities"includes
waiting rooms,work areas,restaurants and other eating areas, b.(1)The contracting officer shall require that any class of
time clocks,restrooms,washrooms,locker rooms,and other laborers or mechanics,including helpers,which is not listed in
storage or dressing areas,parking lots,drinking fountains, the wage determination and which is to be employed under the
recreation or entertainment areas,transportation,and housing contract shall be classified in conformance with the wage
provided for employees. The contractor shall provide separate determination.The contracting officer shall approve an
or single-user restrooms and necessary dressing or sleeping additional classification and wage rate and fringe benefits
areas to assure privacy between sexes. therefore only when the following criteria have been met:
IV. DAVIS-BACON AND RELATED ACT PROVISIONS (i)The work to be performed by the classification
requested is not performed by a classification in the wage
This section is applicable to all Federal-aid construction determination;and
projects exceeding$2,000 and to all related subcontracts and
lower-tier subcontracts(regardless of subcontract size). The (ii)The classification is utilized in the area by the
requirements apply to all projects located within the right-of- construction industry;and
way of a roadway that is functionally classified as Federal-aid
highway. This excludes roadways functionally classified as (iii)The proposed wage rate,including any bona fide
local roads or rural minor collectors,which are exempt. fringe benefits,bears a reasonable relationship to the
Contracting agencies may elect to apply these requirements to wage rates contained in the wage determination.
other projects.
The following provisions are from the U.S.Department of (2)If the contractor and the laborers and mechanics to be
Labor regulations in 29 CFR 5.5"Contract provisions and employed in the classification(if known),or their
related matters"with minor revisions to conform to the FHWA- representatives,and the contracting officer agree on the
1273 format and FHWA program requirements. classification and wage rate(including the amount
designated for fringe benefits where appropriate),a report of
the action taken shall be sent by the contracting officer to the
1. Minimum wages Administrator of the Wage and Hour Division,Employment
Standards Administration,U.S.Department of Labor,
a. All laborers and mechanics employed or working upon Washington,DC 20210.The Administrator,or an authorized
the site of the work,will be paid unconditionally and not less representative,will approve,modify,or disapprove every
often than once a week,and without subsequent deduction or additional classification action within 30 days of receipt and
so advise the contracting officer
rebate on any account(except such payroll deductions as are or will notify the contracting
permitted by regulations issued by the Secretary of Labor officer within the 30-day period that additional time is
under the Copeland Act(29 CFR part 3)),the full amount of necessary.
wages and bona fide fringe benefits(or cash equivalents
thereof)due at time of payment computed at rates not less (3)In the event the contractor,the laborers or mechanics
than those contained in the wage determination of the to be employed in the classification or their representatives,
Secretary of Labor which is attached hereto and made a part and the contracting officer do not agree on the proposed
hereof,regardless of any contractual relationship which may classification and wage rate(including the amount
be alleged to exist between the contractor and such laborers designated for fringe benefits,where appropriate),the
and mechanics. contracting officer shall refer the questions,including the
views of all interested parties and the recommendation of the
Contributions made or costs reasonably anticipated for bona contracting officer,to the Wage and Hour Administrator for
fide fringe benefits under section 1(b)(2)of the Davis-Bacon determination.The Wage and Hour Administrator,or an
Act on behalf of laborers or mechanics are considered wages authorized representative,will issue a determination within
paid to such laborers or mechanics,subject to the provisions 30 days of receipt and so advise the contracting officer or
4 U�
4
16C1
will notify the contracting officer within the 30-day period that Bacon Act,the contractor shall maintain records which show
additional time is necessary. that the commitment to provide such benefits is enforceable,
that the plan or program is financially responsible,and that the
(4)The wage rate(including fringe benefits where plan or program has been communicated in writing to the
appropriate)determined pursuant to paragraphs 1.b.(2)or laborers or mechanics affected,and records which show the
ro)ofthissecrion, ll bptid to all worphs performing.(2)orcosts anticipated or the actual cost incurred in providing such
work in the classification under this contract from the first benefits.Contractors employing apprentices or trainees under
day on which work is performed in the classification. approved programs shall maintain written evidence of the
registration of apprenticeship programs and certification of
trainee programs,the registration of the apprentices and
c.Whenever the minimum wage rate prescribed in the trainees,and the ratios and wage rates prescribed in the
contract for a class of laborers or mechanics includes a fringe applicable programs.
benefit which is not expressed as an hourly rate,the contractor
shall either pay the benefit as stated in the wage determination b.(1)The contractor shall submit weekly for each week in
or shall pay another bona fide fringe benefit or an hourly cash which any contract work is performed a copy of all payrolls to
equivalent thereof. the contracting agency. The payrolls submitted shall set out
accurately and completely all of the information required to be
d.If the contractor does not make payments to a trustee or maintained under 29 CFR 5.5(a)(3)(i),except that full social
other third person,the contractor may consider as part of the security numbers and home addresses shall not be included
wages of any laborer or mechanic the amount of any costs on weekly transmittals.Instead the payrolls shall only need to
reasonably anticipated in providing bona fide fringe benefits include an individually identifying number for each employee
under a plan or program, Provided,That the Secretary of e.g. ,the last four digits of the employee's social security
Labor has found,upon the written request of the contractor, number).The required weekly payroll information may be
that the applicable standards of the Davis-Bacon Act have submitted in any form desired.Optional Form WH-347 is
been met.The Secretary of Labor may require the contractor available for this purpose from the Wage and Hour Division
to set aside in a separate account assets for the meeting of Web site at http://www.dol.gov/esa/whd/forms/wh347instr.htm
obligations under the plan or program. or its successor site.The prime contractor is responsible for
the submission of copies of payrolls by all subcontractors.
2. Withholding Contractors and subcontractors shall maintain the full social
security number and current address of each covered worker,
and shall provide them upon request to the contracting agency
The contracting agency shall upon its own action or upon for transmission to the State DOT,the FHWA or the Wage and
written request of an authorized representative of the Hour Division of the Department of Labor for purposes of an
Department of Labor,withhold or cause to be withheld from investigation or audit of compliance with prevailing wage
the contractor under this contract,or any other Federal requirements.It is not a violation of this section for a prime
contract with the same prime contractor,or any other federally- contractor to require a subcontractor to provide addresses and
assisted contract subject to Davis-Bacon prevailing wage social security numbers to the prime contractor for its own
requirements,which is held by the same prime contractor,so records,without weekly submission to the contracting agency..
much of the accrued payments or advances as may be
considered necessary to pay laborers and mechanics, (2)Each payroll submitted shall be accompanied by a
including apprentices,trainees,and helpers,employed by the 'Statement of Compliance,"signed by the contractor or
contractor or any subcontractor the full amount of wages subcontractor or his or her agent who pays or supervises the
required by the contract. In the event of failure to pay any payment of the persons employed under the contract and shall
laborer or mechanic,including any apprentice,trainee,or certify the following:
helper,employed or working on the site of the work,all or part
of the wages required by the contract,the contracting agency
may,after written notice to the contractor,take such action as (i)That the payroll for the payroll period contains the
may be necessary to cause the suspension of any further information required to be provided under§5.5(a)(3)(ii)of
payment,advance,or guarantee of funds until such violations Regulations,29 CFR part 5,the appropriate information is
have ceased. being maintained under§5.5(a)(3)(i)of Regulations,29
CFR part 5,and that such information is correct and
3. Payrolls and basic records complete;
(ii)That each laborer or mechanic(including each
a. Payrolls and basic records relating thereto shall be
maintained by the contractor during the course of the work and helper,ringapprentice,yllpaeriod
trainee)employedpaid the full the contract
preserved for a period of three years thereafter for all laborers during the earned,without
h ut rebate,has been o weekly
and mechanics working at the site of the work.Such records wages euc ions eitherbeenmade directlyih or indirectly,
shall contain the name,address,and social security number of and that nor deductions have rn either directly or
each such worker,his or her correct classification,hourly rates indirectly from the fullos wages earned, Regulations,otegr than
of wages paid(including rates of contributions or costs permissible deductions as set forth in 29 CFR
anticipated for bona fide fringe benefits or cash equivalents part 3;
thereof of the types described in section 1(b)(2)(B)of the
Davis-Bacon Act),daily and weekly number of hours worked, (iii)That each laborer or mechanic has been paid not
deductions made and actual wages paid.Whenever the less than the applicable wage rates and fringe benefits or
Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv)that cash equivalents for the classification of work performed,
the wages of any laborer or mechanic include the amount of as specified in the applicable wage determination
any costs reasonably anticipated in providing benefits under a incorporated into the contract.
plan or program described in section 1(b)(2)(B)of the Davis-
5
16C 1
(3)The weekly submission of a properly executed rate specified in the applicable wage determination.
certification set forth on the reverse side of Optional Form Apprentices shall be paid fringe benefits in accordance with
WH-347 shall satisfy the requirement for submission of the the provisions of the apprenticeship program.If the
"Statement of Compliance"required by paragraph 3.b.(2)of apprenticeship program does not specify fringe benefits,
this section. apprentices must be paid the full amount of fringe benefits
listed on the wage determination for the applicable
(4)The falsification of any of the above certifications may classification. If the Administrator determines that a different
subject the contractor or subcontractor to civil or criminal practice prevails for the applicable apprentice classification,
prosecution under section 1001 of title 18 and section 231 of fringes shall be paid in accordance with that determination.
title 31 of the United States Code.
In the event the Office of Apprenticeship Training,Employer
c.The contractor or subcontractor shall make the records and Labor Services,or a State Apprenticeship Agency
required under paragraph 3.a.of this section available for recognized by the Office,withdraws approval of an
apprenticeship program,the contractor will no longer be
inspection,copying,or transcription by authorized
permitted to utilize apprentices at less than the applicable
representatives of the contracting agency,the State DOT,the
predetermined rate for the work performed until an acceptable
FHWA, or the Department of Labor,and shall permit such
program is approved.
representatives to interview employees during working hours
on the job.If the contractor or subcontractor fails to submit the
required records or to make them available,the FHWA may, b.Trainees(programs of the USDOL).
after written notice to the contractor,the contracting agency or
the State DOT,take such action as may be necessary to Except as provided in 29 CFR 5.16,trainees will not be
cause the suspension of any further payment,advance,or permitted to work at less than the predetermined rate for the
guarantee of funds.Furthermore,failure to submit the required work performed unless they are employed pursuant to and
records upon request or to make such records available may individually registered in a program which has received prior
be grounds for debarment action pursuant to 29 CFR 5.12. approval,evidenced by formal certification by the U.S.
Department of Labor,Employment and Training
4. Apprentices and trainees Administration.
a.Apprentices(programs of the USDOL). The ratio of trainees to journeymen on the job site shall not be
greater than permitted under the plan approved by the
Apprentices will be permitted to work at less than the Employment and Training Administration.
predetermined rate for the work they performed when they are
employed pursuant to and individually registered in a bona fide Every trainee must be paid at not less than the rate specified
apprenticeship program registered with the U.S.Department of in the approved program for the trainee's level of progress,
Labor,Employment and Training Administration,Office of expressed as a percentage of the journeyman hourly rate
Apprenticeship Training,Employer and Labor Services,or with specified in the applicable wage determination.Trainees shall
a State Apprenticeship Agency recognized by the Office,or if a be paid fringe benefits in accordance with the provisions of the
person is employed in his or her first 90 days of probationary trainee program.If the trainee program does not mention
employment as an apprentice in such an apprenticeship fringe benefits,trainees shall be paid the full amount of fringe
program,who is not individually registered in the program,but benefits listed on the wage determination unless the
who has been certified by the Office of Apprenticeship Administrator of the Wage and Hour Division determines that
Training,Employer and Labor Services or a State there is an apprenticeship program associated with the
Apprenticeship Agency(where appropriate)to be eligible for corresponding journeyman wage rate on the wage
probationary employment as an apprentice. determination which provides for less than full fringe benefits
for apprentices.Any employee listed on the payroll at a trainee
The allowable ratio of apprentices to journeymen on the job rate who is not registered and participating in a training plan
site in any craft classification shall not be greater than the ratio approved by the Employment and Training Administration shall
permitted to the contractor as to the entire work force under be paid not less than the applicable wage rate on the wage
the registered program.Any worker listed on a payroll at an determination for the classification of work actually performed.
In addition,any trainee performing work on the job site in
apprentice wage rate,who is not registered or otherwise
employedexcess of the ratio permitted under the registered program
as stated above,shall be paid not less than the
applicable wage rate on the wage determination for the shall be paid not less than the applicablewage rate on the
classification of work actually performed. In addition,any wage determination for the workkactually
ly performed.
apprentice performing work on the job site in excess of the
ratio permitted under the registered program shall be paid not In the event the Employment and Training Administration
less than the applicable wage rate on the wage determination withdraws approval of a training program,the contractor will no
for the work actually performed.Where a contractor is longer be permitted to utilize trainees at less than the
performing construction on a project in a locality other than applicable predetermined rate for the work performed until an
that in which its program is registered,the ratios and wage acceptable program is approved.
rates(expressed in percentages of the journeyman's hourly
rate)specified in the contractor's or subcontractor's registered c. Equal employment opportunity.The utilization of
program shall be observed. apprentices,trainees and journeymen under this part shall be
in conformity with the equal employment opportunity
Every apprentice must be paid at not less than the rate requirements of Executive Order 11246,as amended,and 29
specified in the registered program for the apprentice's level of CFR part 30.
progress,expressed as a percentage of the journeymen hourly
6 1.
16C .1.
d. Apprentices and Trainees(programs of the U.S.DOT).
Apprentices and trainees working under apprenticeship and V. CONTRACT WORK HOURS AND SAFETY
STANDARDS ACT
skill training programs which have been certified by the
Secretary of Transportation as promoting EEO in connection
with Federal-aid highway construction programs are not The following clauses apply to any Federal-aid construction
subject to the requirements of paragraph 4 of this Section IV. contract in an amount in excess of$100,000 and subject to the
The straight time hourly wage rates for apprentices and overtime provisions of the Contract Work Hours and Safety
trainees under such programs will be established by the Standards Act.These clauses shall be inserted in addition to
particular programs.The ratio of apprentices and trainees to the clauses required by 29 CFR 5.5(a)or 29 CFR 4.6. As
journeymen shall not be greater than permitted by the terms of used in this paragraph,the terms laborers and mechanics
the particular program. include watchmen and guards.
5.Compliance with Copeland Act requirements. The 1.Overtime requirements. No contractor or subcontractor
contractor shall comply with the requirements of 29 CFR part contracting for any part of the contract work which may require
3,which are incorporated by reference in this contract. or involve the employment of laborers or mechanics shall
require or permit any such laborer or mechanic in any
6.Subcontracts. The contractor or subcontractor shall insert workweek in which he or she is employed on such work to
Form FHWA-1273 in any subcontracts and also require the work in excess of forty hours in such workweek unless such
subcontractors to include Form FHWA 1273 in any lower tier laborer or mechanic receives compensation at a rate not less
subcontracts.The prime contractor shall be responsible for the than one and one-half times the basic rate of pay for all hours
compliance by any subcontractor or lower tier subcontractor worked in excess of forty hours in such workweek.
with all the contract clauses in 29 CFR 5.5.
2.Violation;liability for unpaid wages;liquidated
7.Contract termination:debarment. A breach of the damages. In the event of any violation of the clause set forth
contract clauses in 29 CFR 5.5 may be grounds for termination in paragraph(1.)of this section,the contractor and any
of the contract,and for debarment as contractor and a subcontractor responsible therefor shall be liable for the
subcontractor as provided in 29 CFR 5.12. unpaid wages.In addition,such contractor and subcontractor
shall be liable to the United States(in the case of work done
under contract for the District of Columbia or a territory,to such
8.Compliance with Davis-Bacon and Related Act District or to such territory),for liquidated damages.Such
requirements. All rulings and interpretations of the Davis- liquidated damages shall be computed with respect to each
Bacon and Related Acts contained in 29 CFR parts 1,3,and 5 individual laborer or mechanic,including watchmen and
are herein incorporated by reference in this contract. guards,employed in violation of the clause set forth in
paragraph(1.)of this section,in the sum of$10 for each
calendar day on which such individual was required or
9.Disputes concerning labor standards.Disputes arising
out of the labor standards provisions of this contract shall not permitted without to work in excess theof the overtimestandarg workweek of fortye
be subject to the general disputes clause of this contract.Such hourssetfopayment iparagraph wages required by the
disputes shall be resolved in accordance with the procedures clause forth in (1.)of this section.
of the Department of Labor set forth in 29 CFR parts 5,6,and
7.Disputes within the meaning of this clause include disputes 3.Withholding for unpaid wages and liquidated damages.
between the contractor(or any of its subcontractors)and the The FHWA or the contacting agency shall upon its own action
contracting agency,the U.S.Department of Labor,or the or upon written request of an authorized representative of the
employees or their representatives. Department of Labor withhold or cause to be withheld,from
any moneys payable on account of work performed by the
10.Certification of eligibility. contractor or subcontractor under any such contract or any
other Federal contract with the same prime contractor,or any
other federally-assisted contract subject to the Contract Work
a.By entering into this contract,the contractor certifies that Hours and Safety Standards Act,which is held by the same
neither it(nor he or she)nor any person or firm who has an prime contractor,such sums as may be determined to be
interest in the contractors firm is a person or firm ineligible to necessary to satisfy any liabilities of such contractor or
be awarded Government contracts by virtue of section 3(a)of subcontractor for unpaid wages and liquidated damages as
the Davis-Bacon Act or 29 CFR 5.12(a)(1). provided in the clause set forth in paragraph(2.)of this
section.
b.No part of this contract shall be subcontracted to any person
or firm ineligible for award of a Government contract by virtue 4.Subcontracts. The contractor or subcontractor shall insert
• of section 3(a)of the Davis-Bacon Act or 29 CFR 5.12(a)(1). in any subcontracts the clauses set forth in paragraph(1.)
through(4.)of this section and also a clause requiring the
subcontractors to include these clauses in any lower tier
c.The penalty for making false statements is prescribed in the
U.S.Criminal for U.S.C. 1 statements
subcontracts.The prime contractor shall be responsible for
compliance by any subcontractor or lower tier subcontractor
with the clauses set forth in paragraphs(1.)through(4.)of this
section.
7
1 6c 1
evidenced in writing and that it contains all pertinent provisions
VI.SUBLETTING OR ASSIGNING THE CONTRACT and requirements of the prime contract.
This provision is applicable to all Federal-aid construction 5.The 30%self-performance requirement of paragraph(1)is
contracts on the National Highway System. not applicable to design-build contracts;however,contracting
agencies may establish their own self-performance
1.The contractor shall perform with its own organization requirements.
contract work amounting to not less than 30 percent(or a
greater percentage if specified elsewhere in the contract)of
the total original contract price,excluding any specialty items VII.SAFETY:ACCIDENT PREVENTION
designated by the contracting agency. Specialty items may be
performed by subcontract and the amount of any such T his pro v i s i o n is applicable to all Federal-aid
specialty items performed may be deducted from the total construction contracts and to all related subcontracts.
original contract price before computing the amount of work
required to be performed by the contractor's own organization 1. In the performance of this contract the contractor shall
(23 CFR 635.116). comply with all applicable Federal,State,and local laws
governing safety,health,and sanitation(23 CFR 635).The
a. The term"perform work with its own organization"refers contractor shall provide all safeguards,safety devices and
to workers employed or leased by the prime contractor,and protective equipment and take any other needed actions as it
equipment owned or rented by the prime contractor,with or determines,or as the contracting officer may determine,to be
without operators. Such term does not include employees or reasonably necessary to protect the life and health of
equipment of a subcontractor or lower tier subcontractor, employees on the job and the safety of the public and to
agents of the prime contractor,or any other assignees. The protect property in connection with the performance of the
term may include payments for the costs of hiring leased work covered by the contract.
employees from an employee leasing firm meeting all relevant
Federal and State regulatory requirements. Leased 2. It is a condition of this contract,and shall be made a
employees may only be included in this term if the prime condition of each subcontract,which the contractor enters into
contractor meets all of the following conditions: pursuant to this contract,that the contractor and any
subcontractor shall not permit any employee,in performance
(1)the prime contractor maintains control over the of the contract,to work in surroundings or under conditions
supervision of the day-to-day activities of the leased which are unsanitary,hazardous or dangerous to his/her
employees; health or safety,as determined under construction safety and
(2)the prime contractor remains responsible for the quality health standards(29 CFR 1926)promulgated by the Secretary
of the work of the leased employees; of Labor,in accordance with Section 107 of the Contract Work
(3)the prime contractor retains all power to accept or Hours and Safety Standards Act(40 U.S.C.3704).
exclude individual employees from work on the project;and
(4)the prime contractor remains ultimately responsible for 3.Pursuant to 29 CFR 1926.3,it is a condition of this contract
the payment of predetermined minimum wages,the that the Secretary of Labor or authorized representative
submission of payrolls,statements of compliance and all thereof,shall have right of entry to any site of contract
other Federal regulatory requirements. performance to inspect or investigate the matter of compliance
with the construction safety and health standards and to carry
b."Specialty Items"shall be construed to be limited to work out the duties of the Secretary under Section 107 of the
that requires highly specialized knowledge,abilities,or Contract Work Hours and Safety Standards Act(40
equipment not ordinarily available in the type of contracting U.S.C.3704).
organizations qualified and expected to bid or propose on the
contract as a whole and in general are to be limited to minor
components of the overall contract. VIII.FALSE STATEMENTS CONCERNING HIGHWAY
PROJECTS
2.The contract amount upon which the requirements set forth
in paragraph(1)of Section VI is computed includes the cost of T his pro v i s i o n is applicable to all Federal-aid
materialand manufactured products which are to be construction contracts and to all related subcontracts.
purchased or produced by the contractor under the contract
provisions. In order to assure high quality and durable construction in
conformity with approved plans and specifications and a high
3.The contractor shall furnish(a)a competent superintendent degree of reliability on statements and representations made
or supervisor who is employed by the firm,has full authority to by engineers,contractors,suppliers,and workers on Federal-
direct performance of the work in accordance with the contract aid highway projects,it is essential that all persons concerned
requirements,and is in charge of all construction operations with the project perform their functions as carefully,thoroughly,
(regardless of who performs the work)and(b)such other of its and honestly as possible. Willful falsification,distortion,or
own organizational resources(supervision,management,and misrepresentation with respect to any facts related to the
engineering services)as the contracting officer determines is project is a violation of Federal law. To prevent any
necessary to assure the performance of the contract. misunderstanding regarding the seriousness of these and
similar acts,Form FHWA-1022 shall be posted on each
4.No portion of the contract shall be sublet,assigned or Federal-aid highway project(23 CFR 635)in one or more
otherwise disposed of except with the written consent of the places where it is readily available to all persons concerned
contracting officer,or authorized representative,and such with the project:
consent when given shall not be construed to relieve the
contractor of any responsibility for the fulfillment of the
contract. Written consent will be given only after the 18 U.S.C.1020 reads as follows:
contracting agency has assured that each subcontract is
8
16C1
Whoever,being an officer,agent,or employee of the United covered transaction.The prospective first tier participant shall
States,or of any State or Territory,or whoever,whether a submit an explanation of why it cannot provide the certification
person,association,firm,or corporation,knowingly makes any set out below.The certification or explanation will be
false statement,false representation,or false report as to the considered in connection with the department or agency's
character,quality,quantity,or cost of the material used or to determination whether to enter into this transaction.However,
be used,or the quantity or quality of the work performed or to failure of the prospective first tier participant to furnish a
be performed,or the cost thereof in connection with the certification or an explanation shall disqualify such a person
submission of plans,maps,specifications,contracts,or costs from participation in this transaction.
of construction on any highway or related project submitted for
approval to the Secretary of Transportation;or c.The certification in this clause is a material representation
of fact upon which reliance was placed when the contracting
Whoever knowingly makes any false statement,false agency determined to enter into this transaction. If it is later
representation,false report or false claim with respect to the determined that the prospective participant knowingly rendered
character,quality,quantity,or cost of any work performed or to an erroneous certification,in addition to other remedies
be performed,or materials furnished or to be furnished,in available to the Federal Government,the contracting agency
connection with the construction of any highway or related may terminate this transaction for cause of default.
project approved by the Secretary of Transportation;or
d.The prospective first tier participant shall provide
Whoever knowingly makes any false statement or false immediate written notice to the contracting agency to whom
representation as to material fact in any statement,certificate, this proposal is submitted if any time the prospective first tier
or report submitted pursuant to provisions of the Federal-aid participant learns that its certification was erroneous when
Roads Act approved July 1,1916,(39 Stat.355),as amended submitted or has become erroneous by reason of changed
and supplemented; circumstances.
Shall be fined under this title or imprisoned not more than 5 e.The terms"covered transaction,""debarred,"
years or both." "suspended,""ineligible,""participant,""person," "principal,"
and"voluntarily excluded,"as used in this clause,are defined
in 2 CFR Parts 180 and 1200. "First Tier Covered
IX.IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL Transactions"refers to any covered transaction between a
WATER POLLUTION CONTROL ACT grantee or subgrantee of Federal funds and a participant(such
as the prime or general contract). "Lower Tier Covered
This provision is applicable to all Federal-aid construction Transactions"refers to any covered transaction under a First
contracts and to all related subcontracts. Tier Covered Transaction(such as subcontracts). "First Tier
Participant"refers to the participant who has entered into a
By submission of this bid/proposal or the execution of this covered transaction with a grantee or subgrantee of Federal
contract,or subcontract,as appropriate,the bidder,proposer, funds(such as the prime or general contractor). "Lower Tier
Federal-aid construction contractor,or subcontractor,as Participant"refers any participant who has entered into a
appropriate,will be deemed to have stipulated as follows: covered transaction with a First Tier Participant or other Lower
Tier Participants(such as subcontractors and suppliers).
1.That any person who is or will be utilized in the
performance of this contract is not prohibited from receiving an f.The prospective first tier participant agrees by submitting
award due to a violation of Section 508 of the Clean Water Act this proposal that,should the proposed covered transaction be
or Section 306 of the Clean Air Act. entered into,it shall not knowingly enter into any lower tier
2.That the contractor agrees to include or cause to be covered transaction with a person who is debarred,
included the requirements of paragraph(1)of this Section X in suspended,declared ineligible,or voluntarily excluded from
every subcontract,and further agrees to take such action as participation in this covered transaction,unless authorized by
the contracting agency may direct as a means of enforcing the department or agency entering into this transaction.
such requirements.
g.The prospective first tier participant further agrees by
submitting this proposal that it will include the clause titled
X.CERTIFICATION REGARDING DEBARMENT, "Certification Regarding Debarment,Suspension,Ineligibility
SUSPENSION,INELIGIBILITY AND VOLUNTARY and Voluntary Exclusion-Lower Tier Covered Transactions,"
EXCLUSION provided by the department or contracting agency,entering
into this covered transaction,without modification,in all lower
This provision is applicable to all Federal-aid construction tier covered transactions and in all solicitations for lower tier
contracts,design-build contracts,subcontracts,lower-tier covered transactions exceeding the$25,000 threshold.
subcontracts,purchase orders,lease agreements,consultant
contracts or any other covered transaction requiring FHWA h.A participant in a covered transaction may rely upon a
approval or that is estimated to cost$25,000 or more— as certification of a prospective participant in a lower tier covered
defined in 2 CFR Parts 180 and 1200. transaction that is not debarred,suspended,ineligible,or
voluntarily excluded from the covered transaction,unless it
knows that the certification is erroneous. A participant is
responsible for ensuring that its principals are not suspended,
1.Instructions for Certification—First Tier Participants: debarred,or otherwise ineligible to participate in covered
transactions. To verify the eligibility of its principals,as well as
a.By signing and submitting this proposal,the prospective the eligibility of any lower tier prospective participants,each
first tier participant is providing the certification set out below. participant may,but is not required to,check the Excluded
Parties List System website(https://www.epls.00v/),which is
b.The inability of a person to provide the certification set out compiled by the General Services Administration.
below will not necessarily result in denial of participation in this
L.)
9
i. Nothing contained in the foregoing shall be construed to this transaction originated may pursue available remedies,
require the establishment of a system of records in order to including suspension and/or debarment.
render in good faith the certification required by this clause.
The knowledge and information of the prospective participant c.The prospective lower tier participant shall provide
is not required to exceed that which is normally possessed by immediate written notice to the person to which this proposal is
a prudent person in the ordinary course of business dealings. submitted if at any time the prospective lower tier participant
learns that its certification was erroneous by reason of
j.Except for transactions authorized under paragraph(f)of changed circumstances.
these instructions,if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a d.The terms"covered transaction,""debarred,"
person who is suspended,debarred,ineligible,or voluntarily "suspended,""ineligible,""participant,""person,""principal,"
excluded from participation in this transaction,in addition to and"voluntarily excluded,"as used in this clause,are defined
other remedies available to the Federal Government,the in 2 CFR Parts 180 and 1200. You may contact the person to
department or agency may terminate this transaction for cause which this proposal is submitted for assistance in obtaining a
or default. copy of those regulations. "First Tier Covered Transactions"
refers to any covered transaction between a grantee or
*`•`• subgrantee of Federal funds and a participant(such as the
prime or general contract). "Lower Tier Covered Transactions"
2. Certification Regarding Debarment,Suspension, refers to any covered transaction under a First Tier Covered
Ineligibility and Voluntary Exclusion—First Tier Transaction(such as subcontracts). "First Tier Participant"
Participants: refers to the participant who has entered into a covered
transaction with a grantee or subgrantee of Federal funds
a. The prospective first tier participant certifies to the best of (such as the prime or general contractor). "Lower Tier
its knowledge and belief,that it and its principals: Participant"refers any participant who has entered into a
covered transaction with a First Tier Participant or other Lower
(1) Are not presently debarred,suspended,proposed for Tier Participants(such as subcontractors and suppliers).
debarment,declared ineligible,or voluntarily excluded from
participating in covered transactions by any Federal e.The prospective lower tier participant agrees by
department or agency; submitting this proposal that,should the proposed covered
transaction be entered into,it shall not knowingly enter into
(2) Have not within a three-year period preceding this any lower tier covered transaction with a person who is
proposal been convicted of or had a civil judgment rendered debarred,suspended,declared ineligible,or voluntarily
against them for commission of fraud or a criminal offense in excluded from participation in this covered transaction,unless
connection with obtaining,attempting to obtain,or performing authorized by the department or agency with which this
a public(Federal,State or local)transaction or contract under transaction originated.
a public transaction;violation of Federal or State antitrust
statutes or commission of embezzlement,theft,forgery, f.The prospective lower tier participant further agrees by
bribery,falsification or destruction of records,making false submitting this proposal that it will include this clause titled
statements,or receiving stolen property; "Certification Regarding Debarment,Suspension,Ineligibility
and Voluntary Exclusion-Lower Tier Covered Transaction,"
(3) Are not presently indicted for or otherwise criminally or without modification,in all lower tier covered transactions and
civilly charged by a governmental entity(Federal,State or in all solicitations for lower tier covered transactions exceeding
local)with commission of any of the offenses enumerated in the$25,000 threshold.
paragraph(a)(2)of this certification;and
g.A participant in a covered transaction may rely upon a
(4) Have not within a three-year period preceding this certification of a prospective participant in a lower tier covered
application/proposal had one or more public transactions transaction that is not debarred,suspended,ineligible,or
(Federal,State or local)terminated for cause or default. voluntarily excluded from the covered transaction,unless it
knows that the certification is erroneous.A participant is
b. Where the prospective participant is unable to certify to responsible for ensuring that its principals are not suspended,
any of the statements in this certification,such prospective debarred,or otherwise ineligible to participate in covered
participant shall attach an explanation to this proposal. transactions. To verify the eligibility of its principals,as well as
the eligibility of any lower tier prospective participants,each
2.Instructions for Certification-Lower Tier Participants: participant may,but is not required to,check the Excluded
Parties List System website(https://www.epls.gov/),which is
(Applicable to all subcontracts,purchase orders and other compiled by the General Services Administration.
lower tier transactions requiring prior FHWA approval or
estimated to cost$25,000 or more-2 CFR Parts 180 and h.Nothing contained in the foregoing shall be construed to
1200) require establishment of a system of records in order to render
in good faith the certification required by this clause.The
a.By signing and submitting this proposal,the prospective knowledge and information of participant is not required to
lower tier is providing the certification set out below. exceed that which is normally possessed by a prudent person
in the ordinary course of business dealings.
b.The certification in this clause is a material representation
of fact upon which reliance was placed when this transaction i.Except for transactions authorized under paragraph e of
was entered into.If it is later determined that the prospective these instructions, if a participant in a covered transaction
lower tier participant knowingly rendered an erroneous knowingly enters into a lower tier covered transaction with a
certification,in addition to other remedies available to the person who is suspended,debarred,ineligible,or voluntarily
Federal Government,the department,or agency with which excluded from participation in this transaction,in addition to
other remedies available to the Federal Government,the
10
160 1
department or agency with which this transaction originated
may pursue available remedies,including suspension and/or
debarment.
Certification Regarding Debarment,Suspension,
Ineligibility and Voluntary Exclusion--Lower Tier
Participants:
1.The prospective lower tier participant certifies,by
submission of this proposal,that neither it nor its principals is
presently debarred,suspended,proposed for debarment,
declared ineligible,or voluntarily excluded from participating in
covered transactions by any Federal department or agency.
2.Where the prospective lower tier participant is unable to
certify to any of the statements in this certification,such
prospective participant shall attach an explanation to this
proposal.
XI.CERTIFICATION REGARDING USE OF CONTRACT
FUNDS FOR LOBBYING
This provision is applicable to all Federal-aid construction
contracts and to all related subcontracts which exceed
$100,000(49 CFR 20).
1.The prospective participant certifies,by signing and
submitting this bid or proposal,to the best of his or her
knowledge and belief,that:
a.No Federal appropriated funds have been paid or will be
paid,by or on behalf of the undersigned,to any person for
influencing or attempting to influence an officer or employee of
any Federal agency,a Member of Congress,an officer or
employee of Congress,or an employee of a Member of
Congress in connection with the awarding of any Federal
contract,the making of any Federal grant,the making of any
Federal loan,the entering into of any cooperative agreement,
and the extension,continuation,renewal,amendment,or
modification of any Federal contract,grant,loan,or
cooperative agreement.
b. If any funds other than Federal appropriated funds have
been paid or will be paid to any person for influencing or
attempting to influence an officer or employee of any Federal
agency,a Member of Congress,an officer or employee of
Congress,or an employee of a Member of Congress in
connection with this Federal contract,grant,loan,or
cooperative agreement,the undersigned shall complete and
submit Standard Form-LLL,"Disclosure Form to Report
Lobbying,"in accordance with its instructions.
2.This certification is a material representation of fact upon
which reliance was placed when this transaction was made or
entered into. Submission of this certification is a prerequisite
for making or entering into this transaction imposed by 31
U.S.C. 1352. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than
$10,000 and not more than$100,000 for each such failure.
3.The prospective participant also agrees by submitting its
bid or proposal that the participant shall require that the
language of this certification be included in all lower tier
subcontracts,which exceed$100,000 and that all such
recipients shall certify and disclose accordingly.
`J LJ
11
bc '
ATTACHMENT A-EMPLOYMENT AND MATERIALS 6.The contractor shall include the provisions of Sections 1
PREFERENCE FOR APPALACHIAN DEVELOPMENT through 4 of this Attachment A in every subcontract for work
HIGHWAY SYSTEM OR APPALACHIAN LOCAL ACCESS which is,or reasonably may be,done as on-site work.
ROAD CONTRACTS
This provision is applicable to all Federal-aid projects funded
under the Appalachian Regional Development Act of 1965.
1.During the performance of this contract,the contractor
undertaking to do work which is,or reasonably may be,done
as on-site work,shall give preference to qualified persons who
regularly reside in the labor area as designated by the DOL
wherein the contract work is situated,or the subregion,or the
Appalachian counties of the State wherein the contract work is
situated,except:
a.To the extent that qualified persons regularly residing in
the area are not available.
b.For the reasonable needs of the contractor to employ
supervisory or specially experienced personnel necessary to
assure an efficient execution of the contract work.
c.For the obligation of the contractor to offer employment to
present or former employees as the result of a lawful collective
bargaining contract,provided that the number of nonresident
persons employed under this subparagraph(1 c)shall not
exceed 20 percent of the total number of employees employed
by the contractor on the contract work,except as provided in
subparagraph(4)below.
2.The contractor shall place a job order with the State
Employment Service indicating(a)the classifications of the
laborers,mechanics and other employees required to perform
the contract work,(b)the number of employees required in
each classification,(c)the date on which the participant
estimates such employees will be required,and(d)any other
pertinent information required by the State Employment
Service to complete the job.order form. The job order may be
placed with the State Employment Service in writing or by
telephone. If during the course of the contract work,the
information submitted by the contractor in the original job order
is substantially modified,the participant shall promptly notify
the State Employment Service.
3.The contractor shall give full consideration to all qualified
job applicants referred to him by the State Employment
Service. The contractor is not required to grant employment to
any job applicants who,in his opinion,are not qualified to
perform the classification of work required.
4.If,within one week following the placing of a job order by
the contractor with the State Employment Service,the State
Employment Service is unable to refer any qualified job
applicants to the contractor,or less than the number
requested,the State Employment Service will forward a
certificate to the contractor indicating the unavailability of
applicants. Such certificate shall be made a part of the
contractor's permanent project records. Upon receipt of this
certificate,the contractor may employ persons who do not
normally reside in the labor area to fill positions covered by the
certificate,notwithstanding the provisions of subparagraph(1c)
above.
5. The provisions of 23 CFR 633.207(e)allow the
contracting agency to provide a contractual preference for the
use of mineral resource materials native to the Appalachian
region.
D
12
16c1
The Stafford Act
Robert T. Stafford
Disaster Relief and Emergency
Assistance Act, as Amended
April 2013
oE�A�1Fro
)014LIVIB
FEMA
o�F�gND S�GJ�
bc '
Robert T.Stafford Disaster Relief and Emergency Assistance Act,
Public Law 93-288,as amended,42 U.S.C.5121 et seq.
Located in United States Code,Title 42.The Public Health and Welfare,Chapter 68.Disaster Relief
Title I-Findings, Declarations and Definitions
Sec. 101. Congressional Findings and Declarations(42 U.S.C. 5121) 1
Sec. 102. Definitions (42 U.S.C. 5122)* 1
Sec. 103. References (42 U.S.C. 5123)* 3
Title II-Disaster Preparedness and Mitigation Assistance
Sec.201. Federal and State Disaster Preparedness Programs(42 U.S.C.5131) 4
Sec.202. Disaster Warnings(42 U.S.C.5132) 5
Sec. 203. Predisaster Hazard Mitigation(42 U.S.C. 5133) 5
Sec. 204. Interagency Task Force(42 U.S.C. 5134) I 0
Title Ill-Major Disaster and Emergency Assistance Administration
Sec.301. Waiver of Administrative Conditions (42 U.S.C. 5141) 11
Sec. 302. Coordinating Officers (42 U.S.C. 5143) 11
Sec.303. Emergency Support and Response Teams (42 U.S.C. 5144) 12
Sec.304. Reimbursement of Federal Agencies (42 U.S.C.5147) - 12
Sec.305. Nonliability of Federal Government(42 U.S.C. 5148) 13
Sec.306. Performance of Services (42 U.S.C. 5149) 13
Sec. 307. Use of Local Firms and Individuals(42 U.S.C. 5150) 13
Sec. 308. Nondiscrimination in Disaster Assistance (42 U.S.C. 5151) 14
Sec.309. Use and Coordination of Relief Organizations(42 U.S.C. 5152) 15
Sec.310. Priority to Certain Applications for Public Facility and
Public Housing Assistance (42 U.S.C. 5153) 15
Sec.311. Insurance(42 U.S.C. 5154) 16
Prohibited Flood Disaster Assistance(42 U.S.C.5154a) 16
Sec.312. Duplication of Benefits (42 U.S.C. 5155) 18
Sec. 313. Standards and Reviews(42 U.S.C. 5156) 19
Sec.314. Penalties(42 U.S.C. 5157) 19
Sec. 315. Availability of Materials(42 U.S.C. 5158) 19
Sec. 316. Protection of Environment (42 U.S.C. 5159) 20
Sec. 317. Recovery of Assistance(42 U.S.C. 5160) 20
Sec.318. Audits and Investigations(42 U.S.C. 5161) 20
Sec. 319. Advance of Non-Federal Share(42 U.S.C. 5162) 20
Sec. 320. Limitation on Use of Sliding Scales (42 U.S.C. 5163) 21
Sec. 321. Rules and Regulations (42 U.S.C. 5164) 21
Sec.322. Mitigation Planning(42 U.S.C. 5165) 21
16C1
Sec.323 Minimum Standards for Public and
Private Structures(42 U.S.C. 5165a) 22
Sec.324. Management Costs(42 U.S.C. 5165b) 23
Sec.325. Public Notice,Comment,and
Consultation Requirements (42 U.S.C.5165c) 23
Sec. 326. Designation of Small State and Rural Advocate(42 U.S.C. 5165d) 24
Title IV-Major Disaster Assistance Programs
Sec.401. Procedure for Declaration (42 U.S.C. 5170)* 25
Sec.402. General Federal Assistance(42 U.S.C. 5170a) 26
Sec.403. Essential Assistance (42 U.S.C. 5170b)* 27
Sec.404. Hazard Mitigation (42 U.S.C. 5170c)* 29
Sec.405. Federal Facilities(42 U.S.C. 5171) 32
Sec.406. Repair,Restoration, and Replacement
of Damaged Facilities(42 U.S.C. 5172) 32
Sec.407. Debris Removal(42 U.S.C. 5173) 38
Sec.408. Federal Assistance to Individuals and Households (42 U.S.C.5174)* 39
Sec.410. Unemployment Assistance(42 U.S.C.5177) 44
Emergency Grants to Assist Low-Income Migrant
and Seasonal Farmworkers (42 U.S.C.5177a) 45
Sec.412. Benefits and Distribution (42 U.S.C.5179) 46
Sec.413. Food Commodities(42 U.S.C. 5180) 46
Sec.414. Relocation Assistance(42 U.S.C. 5181) 46
Sec.415. Legal Services(42 U.S.C.5182) • 47
Sec.416. Crisis Counseling Assistance and Training (42 U.S.C.5183) 47
Sec.417. Community Disaster Loans(42 U.S.C. 5184) 47
Sec.418. Emergency Communications(42 U.S.C. 5185) 48
Sec.419. Emergency Public Transportation(42 U.S.C. 5186) 48
Sec.420. Fire Management Assistance(42 U.S.C.5187) 48
Sec.421. Timber Sale Contracts (42 U.S.C.5188) 48
Sec.422. Simplified Procedure(42 U.S.C.5189)* 49
Sec.423. Appeals of Assistance Decisions (42 U.S.C. 5189a)* 50
Sec.424. Date of Eligibility;Expenses Incurred Before
Date of Disaster(42 U.S.C. 5189b) 50
Sec.425. Transportation Assistance to Individuals
and Households(42 U.S.C. 5189c) 50
Sec.426. Case Management Services (42 U.S.C. 5189d) 51
Sec.427. Essential Service Providers (42 U.S.C. 5189e)* 51
Sec.428. Public Assistance Program Alternative Procedures (42 U.S.C.5189f)* 52
Sec.429. Unified Federal Review-(42 U.S.C. 5189g)* 55
Title V-Emergency Assistance Programs
Sec. 501. Procedure for Declaration (42 U.S.C. 5191)* 56
Sec. 502. Federal Emergency Assistance(42 U.S.C. 5192) 57
ii
dJ
16c1
Sec.503. Amount of Assistance(42 U.S.C. 5193) 58
Title VI—Emergency Preparedness
Sec. 601. Declaration of Policy(42 U.S.C.5195) 59
Sec. 602. Definitions (42 U.S.C. 5195a) 59
Sec. 603. Administration of Title(42 U.S.C. 5195b) 60
Critical Infrastructures Protection(42 U.S.C. 5195c) 61
Subtitle A—Powers and Duties
Sec. 611. Detailed Functions or Administration (42 U.S.C.5196) 63
Sec. 612. Mutual Aid Pacts Between States
and Neighboring Counties(42 U.S.C. 5196a) 67
Sec. 613. Contributions for Personnel and
Administrative Expenses(42 U.S.C. 5196b) 67
Sec. 614. Grants for Construction of Emergency Operations Centers
(42 U.S.C. 5196c) 69
Sec. 615. Use of Funds to Prepare for and Respond to Hazards
(42 U.S.C. 5196d) 69
Radiological Emergency Preparedness Fund (42 U.S.C. 5196e) 70
Sec.616. Disaster Related Information Services (42 U.S.C.5196f) 70
Subtitle B—General Provisions
Sec. 621. Administrative Authority(42 U.S.C. 5197) 71
Sec. 622. Security Regulations(42--U.S.C. 5197a) 72
Sec. 6231 Use of Existing Facilities(42 U.S.C. 5197b) 73
Sec.624. Annual Report to Congress(42 U.S.C. 5197c) 74
Sec. 625. Applicability of Subchapter(42 U.S.C. 5197d) 74
Sec. 626. Authorization of Appropriations and Transfers of Funds
(42 U.S.C. 5197e) 74
Sec. 627. Relation to Atomic Energy Act of 1954(42 U.S.C. 51970 74
Sec. 628. Federal Bureau of Investigation (42 U.S.C. 5197g) 74
Title VII—Miscellaneous
Sec. 701. Rules and Regulations(42 U.S.C. 5201). 75
Insular Areas Disaster Survival and Recovery;
Definitions (42 U.S.C.5204) 75
Technical Assistance for Insular Areas (42 U.S.C.5204b) 76
Sec. 705. Disaster Grant Closeout Procedures (42 U.S.C.5205) 76
Buy American(42 U.S.C. 5206) 77
Sec. 706 Firearms Policies (42 U.S.C.5207) 77
Statutory Note:Dispute Resolution Pilot Program(note to 42 U.S.C.5189a) 79
*This section of the Stafford Act has been amended by the Sandy Recovery Improvement Act of 2013,
Pub.L.113-2,127 Stat.4(2013),signed on January 29,2013.
iii
STAFFORD ACT>TITLE I>§§101-102
Title I - Findings, Declarations and Definitions
Sec. 101. Congressional Findings and Declarations(42 U.S.C.5121)
(a) The Congress hereby finds and declares that-
(1) because disasters often cause loss of life, human suffering, loss of income,
and property loss and damage;and
(2) because disasters often disrupt the normal functioning of governments
and communities, and adversely affect individuals and families with great
severity; special measures,designed to assist the efforts of the affected States
in expediting the rendering of aid, assistance, and emergency services, and
the reconstruction and rehabilitation of devastated areas, are necessary.
(b) It is the intent of the Congress,by this Act, to provide an orderly and continuing
means of assistance by the Federal Government to State and local governments
in carrying out their responsibilities to alleviate the suffering and damage which
result from such disasters by-
(1) revising and broadening the scope of existing disaster relief programs;
(2) encouraging the development of comprehensive disaster preparedness and
assistance plans, programs, capabilities, and organizations by the States and
by local governments;
(3) achieving greater coordination and responsiveness of disaster preparedness
and relief programs;
(4) encouraging individuals,States,and local governments to protect themselves
by obtaining insurance coverage to supplement or replace governmental
assistance;
(5) encouraging hazard mitigation measures to reduce losses from disasters,
including development of land use and construction regulations;and
(6) providing Federal assistance programs for both public and private losses
sustained in disasters'
Sec. 102. Definitions(42 U.S.C.5122)*2
As used in this Act-
(1) EMERGENCY- "Emergency"means any occasion or instance for which,in the
determination of the President, Federal assistance is needed to supplement
1. Typographical error in original;period should follow"disasters".
2. Pub.L.113-2,dlv.B,§1110(e),Jan.29,2013,127 Stat.49,provides that:"(1)Issuance.The
President shall issue regulations to carry out the amendments made by this section[enacting
section 5123 of this title and amending this section and sections 5170 and 5191 of this title]. (2)
Factors.In Issuing the regulations,the President shall consider the unique conditions that affect
the general welfare of Indian tribal governments."
1
16C 1
STAFFORD ACT>TITLE I>§102
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.
(2) MAJOR DISASTER - "Major disaster" means any natural catastrophe (including
any hurricane, tornado, storm, high water, winddriven 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 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.
(3) "UNrrm STATES"means the fifty States, the District of Columbia,Puerto Rico,
the Virgin Islands, Guam, American Samoa, and the Commonwealth of the
Northern Mariana Islands.
(4) "STATE"means any State of the United States,the District of Columbia,Puerto
Rico,the Virgin Islands,Guam,American Samoa,and the Commonwealth of
the Northern Mariana Islands.
(5) "GOVERNOR"means the chief executive of any State.
(6) INDIAN TRZBAI.GOVERNMENT-The term "Indian tribal government" means the
governing body of any Indian or Alaska Native tribe, band,nation, pueblo,
village,or community that the Secretary of the Interior acknowledges to exist
as an Indian tribe under the Federally Recognized Indian Tribe List Act of
1994 (25 U.S.C.479a et seq.).
(7) INDIVIDUAL WITH A DISABnrIY-The term"individual with a disability"means an
individual with a disability as defined in section 12102(2) of this title.3
(8) LOCAL GOVERNMENT-The term"local government"means—
(A) a county, municipality, city, town, township, local public authority,
school district,special district,intrastate district,council of governments
(regardless of whether the council of governments is incorporated as a
nonprofit corporation under State law),regional or interstate government
entity,or agency or instrumentality of a local government;
(B) an Indian tribe or authorized tribal organization,or Alaska Native village
or organization, that is not an Indian tribal government as defined in
paragraph (6);and
(C) a rural community, unincorporated town or village, or other public
entity, for which an application for assistance is made by a State or
political subdivision of a State.
3.Section 3(2)of the Americans with Disabilities Act of 1990(42 U.S.C.12102(2)).
2
1C 1
STAFFORD ACT>TITLE I>§§102-103
(9) "FEDERAL AGENCY" means any department, independent establishment,
Government corporation, or other agency of the executive branch of the
Federal Government,including the United States Postal Service,but shall not
include the American National Red Cross.
(10)Pusuc FACILITY- "Public facility" means the following facilities owned by a
State or local government:
(A) Any flood control, navigation, irrigation, reclamation, public power,
sewage treatment and collection, water supply and distribution,
watershed development,or airport facility.
(B) Any non-Federal-aid street,road,or highway.
(C) Any other public building, structure, or system, including those used
for educational,recreational, or cultural purposes.
(D) Any park.
(11)PRIVATE NONPROFIT FACILITY-
(A) In General-The term"private nonprofit facility"means private nonprofit
educational,utility,irrigation,emergency,medical,rehabilitational,and
temporary or permanent custodial care facilities(including those for the
aged and disabled) and facilities on Indian reservations, as defined by
the President.
(B) Additional Facilities — In addition to the facilities described in
subparagraph (A), the term "private nonprofit facility" includes any
private nonprofit facility that provides essential services of a governmental
nature to the general public(including museums,zoos,performing arts
facilities, community arts centers, libraries, homeless shelters, senior
citizen centers,rehabilitation facilities,shelter workshops,and facilities
that provide health and safety services of a governmental nature), as
defined by the President.
(12) CHIEF EXECUTIVE- The term "Chief Executive" means the person who is the
Chief, Chairman, Governor, President, or similar executive official of an
Indian tribal government.
Sec. 103.References(42 U.S.C.5123)*
Except as otherwise specifically provided, any reference in this chapter to "State
and local", "State or local", "State, and local", "State, or local", or "State, local"
(including plurals) with respect to governments or officials and any reference to a
"local government" in sections 5172(d)(3) and 5184 of this title [Section 406(d)(3)
and Section 417] is deemed to refer also to Indian tribal governments and officials, as
appropriate.
•
3
bc '
STAFFORD ACT> TITLE II>§201
Title II - Disaster Preparedness and Mitigation Assistance
Sec. 201. Federal and State Disaster Preparedness Programs(42 U.S.C.5131)
(a) UTILIZATION OF SERVICES OF OTHER AGENCIES-The President is authorized to establish a
program of disaster preparedness that utilizes services of all appropriate agencies
and includes-
(1) preparation of disaster preparedness plans for mitigation,warning,emergency
operations,rehabilitation,and recovery;
(2) training and exercises;
(3) postdisaster critiques and evaluations;
(4) annual review of programs;
(5) coordination of Federal,State,and local preparedness programs;
(6) application of science and technology;
(7) research.
(b) TECHNICAL ASSISTANCE FOR THE DEVELOPMENT OF PLANS AND PROGRAMS-The President shall
provide technical assistance to the States in developing comprehensive plans and
practicable programs for preparation against disasters,including hazard reduction,
avoidance, and mitigation; for assistance to individuals, businesses, and State
and local governments following such disasters; and for recovery of damages or
destroyed public and private facilities.
(c) GRANTS TO STATES FOR DEVELOPMENT OF PLANS AND PROGRAMS - Upon application by a
State, the President is authorized to make grants, not to exceed in the aggregate
to such State$250,000,for the development of plans,programs, and capabilities
for disaster preparedness and prevention.Such grants shall be applied for within
one year from May 22, 1974. Any State desiring financial assistance under this
section shall designate or create an agency to plan and administer such a disaster
preparedness program,and shall,through such agency,submit a State plan to the
President,which shall—
(1) set forth a comprehensive and detailed State program for preparation
against and assistance following,emergencies and major disasters,including
provisions for assistance to individuals, businesses, and local governments;
and
(2) include provisions for appointment and training of appropriate staffs,
formulation of necessary regulations and procedures and conduct of required
exercises.
(d) GRANTS-FOR IMPROVEMENT,MAINTENANCE,AND UPDATING OF STATE PLANS-The President is
authorized to make grants not to exceed 50 per centum of the cost of improving,
maintaining and updating State disaster assistance plans,including evaluations of
natural hazards and development of the programs and actions required to mitigate
4
1 601
STAFFORD ACT> TITLE II>§§202-203
such hazards; except that no such grant shall exceed $50,000 per annum to
any State.
Sec. 202. Disaster Warnings(42 U.S.C.5132)
(a) READINESS OF FEDERAL AGENCIES TO ISSUE WARNINGS TO STATE AND LOCAL OFFICIALS - The
President shall insure that all appropriate Federal agencies are prepared to issue
warnings of disasters to State and local officials.
(b) TECHNICAL ASSISTANCE TO STATE AND LOCAL GOVERNMENTS FOR EFFECTIVE WARNINGS - The
President shall direct appropriate Federal agencies to provide technical assistance
to State and local governments to insure that timely and effective disaster warning
is provided.
(c) WARNINGS TO GOVERNMENTAL AUTHORITIES AND PUBLIC ENDANGERED BY DISASTER - The
President is authorized to utilize or to make available to Federal, State, and local
agencies the facilities of the civil defense communications system established
and maintained pursuant to section 5196(c) of this title [Section 611(c)] or any
other Federal communications system for the purpose of providing warning to
governmental authorities and the civilian population in areas endangered by
disasters.
(d) AGREEMENTS WITH COMMERCIAL COMMUNICATIONS SYSTEMS FOR USE OF FACILITIES - The
President is authorized to enter into agreements with the officers or agents of any
private or commercial communications systems who volunteer the use of their
systems on a reimbursable or nonreimbursable basis for the purpose of providing
warning to governmental authorities and the civilian population endangered by
disasters.
Sec. 203. Predisaster Hazard Mitigation(42 U.S.C.5133)
(a) DEFINITION OF SMALL IMPovERISHED COMMUNITY - In this section, the term "small
impoverished community" means a community of 3,000 or fewer individuals
that is economically disadvantaged, as determined by the State in which the
community is located and based on criteria established by the President.
(b) ESTABLISHMENT OF PROGRAM - The President may establish a program to provide
technical and financial assistance to States and local governments to assist in the
implementation of predisaster hazard mitigation measures that are cost-effective
and are designed to reduce injuries, loss of life, and damage and destruction of
property,including damage to critical services and facilities under the jurisdiction
of the States or local governments.
(c) APPROVAL BY PRESIDENT-If the President determines that a State or local government
has identified natural disaster hazards in areas under its jurisdiction and has
demonstrated the ability to form effective public-private natural disaster hazard
mitigation partnerships, the President,using amounts in the National Predisaster
Mitigation Fund established under subsection(i)of this section(referred to in this
section as the"Fund"),may provide technical and financial assistance to the State
or local government to be used in accordance with subsection(e) of this section.
5
bc '
STAFFORD ACT> TITLE II>§203 •
(d) STATE RECOMMENDATIONS-
(1) IN GENERAL-
(A) RECOMMENDATIONS- The Governor of each State may recommend to the
President not fewer than five local governments to receive assistance
under this section.
(B) DEADLINE FOR SUBMISSION-The recommendations under subparagraph(A)
shall be submitted to the President not later than October 1, 2001,and
each October 1st thereafter or such later date in the year as the President
may establish.
(C) CRITERIA - In making recommendations under subparagraph (A), a
Governor shall consider the criteria specified in subsection (g) of
this section.
(2) USE-
(A) IN GENERAL - Except as provided in subparagraph (B), in providing
assistance to local governments under this section, the President shall
select from local governments recommended by the Governors under
this subsection.
(B) EXTRAORDINARY CIRCUMSTANCES-In providing assistance to local governments
under this section, the President may select a local government that
has not been recommended by a Governor under this subsection if
the President determines that extraordinary circumstances justify the
selection and that making the selection will further the purpose of this
section.
(3) EFFECT OF FAILURE TO NOMINATE - If a Governor of a State fails to submit
recommendations under this subsection in a timely manner, the President
may select, subject to the criteria specified in subsection (g) of this section,
any local governments of the State to receive assistance under this section.
(e) USES OF TECHNICAL AND FINANCIAL ASSISTANCE- I,
(1) IN GENERAL-Technical and financial assistance provided under this section—
(A) shall be used by States and local governments principally to implement
predisaster hazard mitigation measures that are cost-effective and are
described in proposals approved by the President under this section;
and
(B) may be used-
(i) to support effective public-private natural disaster hazard mitigation
partnerships;
(ii) to improve the assessment of a community's vulnerability to
natural hazards;or
(iii) to establish hazard mitigation priorities,and an appropriate hazard
mitigation plan,for a community.
6
16c1
STAFFORD ACT>TITLE II>§203
(2) DISSEMINATION-A State or local government may use not more than 10 percent
of the financial assistance received by the State or local government under
this section for a fiscal year to fund activities to disseminate information
regarding cost-effective mitigation technologies.
(f) ALLOCATION OF FUNDS-
(1) IN GENERAL-The President shall award financial assistance under this section
on a competitive basis and in accordance with the criteria in subsection(g).
(2) MINIMUM AND MAXIMUM AMOUNTS-In providing financial assistance under this
section,the President shall ensure that the amount of financial assistance made
available to a State (including amounts made available to local governments
of the State)for a fiscal year-
(A) is not less than the lesser or-
(i) $575,000;or
(ii) the amount that is equal to 1 percent of the total funds appropriated
to carry out this section for the fiscal year;and
(B) does not exceed the amount that is equal to 15 percent of the total funds
appropriated to carry out this section for the fiscal year.
(g) CRITERIA FOR ASSISTANCE AWARDS- In determining whether to provide technical and
financial assistance to a State or local government under this section,the President
shall take into account-
(1) the extent and nature of the hazards to be mitigated;
(2) the degree of commitment by the State or local government to reduce
damages from future natural disasters;
(3) the degree of commitment by the State or local government to support
ongoing non-Federal support for the hazard mitigation measures to be
carried out using the technical and financial assistance;
(4) the extent to which the hazard mitigation measures to be carried out using
the technical and financial assistance contribute to the mitigation goals and
priorities established by the State;
(5) the extent to which the technical and financial assistance is consistent with
other assistance provided under this Act;
(6) the extent to which prioritized, cost-effective mitigation activities that
produce meaningful and definable outcomes are clearly identified;
(7) if the State or local government has submitted a mitigation plan under section •
5165 of this title [Section 322], the extent to which the activities identified
under paragraph(6) are consistent with the mitigation plan;
(8) the opportunity to fund activities that maximize net benefits to society;
(9) the extent to which assistance will fund mitigation activities in small
impoverished communities; and
7
S
STAFFORD ACT>TITLE II>§203
(10)such other criteria as the President establishes in consultation with State and
local governments.
(h) FEDERAL SHARE-
(1) IN GENERAL-Financial assistance provided under this section may contribute
up to 75 percent of the total cost of mitigation activities approved by the
President.
(2) SMALL IMPOVERISHED COMMUNmEs-Notwithstanding paragraph(I),the President
may contribute up to 90 percent of the total cost of a mitigation activity
carried out in a small impoverished community.
(i) NATIONAL PREDISASTER MITIGATION Furor-
(1) EsrABusIo.ISNr - The President may establish in the Treasury of the United
States a fund to be known as the"National Predisaster Mitigation Fund",to
be used in carrying out this section.
(2) TRANSFERS TO FUND-There shall be deposited in the Fund-
(A) amounts appropriated to carry out this section, which shall remain
available until expended;and
(B) sums available from gifts, bequests, or donations of services or
property received by the President for the purpose of predisaster hazard
mitigation.
(3) EXPENDITURES FROM FUND- Upon request by the President, the Secretary of
the Treasury shall transfer from the Fund to the President such amounts as
the President determines are necessary to provide technical and financial
assistance under this section.
(4) INVESTMENT OF AMOUNTS-
(A) IN GENERAL- The Secretary of the Treasury shall invest such portion of
the Fund as is not, in the judgment of the Secretary of the Treasury,
required to meet current withdrawals. Investments may be made only
in interest-bearing obligations of the United States.
(B) ACQUISITION OF OBLIGATIONS - For the purpose of investments under
subparagraph(A), obligations may be acquired-
(i) on original issue at the issue price;or
(ii) by purchase of outstanding obligations at the market price.
(C) SALE OF OBLIGATIONS-Any obligation acquired by the Fund may be sold
by the Secretary of the Treasury at the market price.
(D) CREorrs TO FUND - The interest on, and the proceeds from the sale or
redemption of,any obligations held in the Fund shall be credited to and
form a part of the Fund.
8
d'J
16C1 1
STAFFORD ACT>TITLE II>§203
(E) TRANSFERS OF AMOUNTS-
(i) IN GENERAL -The amounts required to be transferred to the Fund
under this subsection shall be transferred at least monthly from the
general fund of the Treasury to the Fund on the basis of estimates
made by the Secretary of the Treasury.
(ii) ADJUSTMENTS - Proper adjustment shall be made in amounts
subsequently transferred to the extent prior estimates were in
excess of or less than the amounts required to be transferred.
(j) LIMITATION ON TOTAL AMOUNT of FINANCIAL ASSISTANCE-The President shall not provide
financial assistance under this section in an amount greater than the amount
available in the Fund.
(k) MULTIHAZARD ADVISORY MAPS-
(1) DEFINITION OF MULTIHAZARD ADVISORY MAP - In this subsection, the term
"multihazard advisory map"means a map on which hazard data concerning
each type of natural disaster is identified simultaneously for the purpose of
showing areas of hazard overlap.
(2) DEVELOPMENT OF MAPS - In consultation with States, local governments, and
appropriate Federal agencies,the President shall develop multihazard advisory
maps for areas, in not fewer than five States, that are subject to commonly
recurring natural hazards (including flooding,hurricanes and severe winds,
and seismic events).
(3) USE OF TECHNOLOGY - In developing multihazard advisory maps under this
subsection, the President shall use, to the maximum extent practicable, the
most cost-effective and efficient technology available.
(4) USE OF MAPS-
(A) ADVISORY NATURE-The multihazard advisory maps shall be considered to
be advisory and shall not require the development of any new policy
by, or impose any new policy on,any government or private entity.
(B) AVAILABnITY OF MAPS - The multihazard advisory maps shall be made
available to the appropriate State and local governments for the purposes
of-
(i) informing the general public about the risks of natural hazards in
the areas described in paragraph(2);
(ii) supporting the activities described in subsection(e)of this section;
and
(iii) other public uses.
(1) REPORT ON FEDERAL AND STATE ADMINISTRATION - Not later than 18 months after Oct.
30, 2000, the President, in consultation with State and local governments, shall
submit to Congress a report evaluating efforts to implement this section and
recommending a process for transferring greater authority and responsibility for
9
�* ;;
STAFFORD ACT>TITLE 11>§§203-204
administering the assistance program established under this section to capable
States.
(m) AUTHORIZATION OF APPROPRIATIONS-There are authorized to be appropriated to carry
out this section-
(1) $180,000,000 for fiscal year 2011;
(2) $200,000,000 for fiscal year 2012;
(3) $200,000,000 for fiscal year 2013.
(n) PROHIBmON ON EARMARKS-
(1) DEFINITION-In this subsection,the term"congressionally directed spending"
means a statutory provision or report language included primarily at the
request of a Senator or a Member, Delegate or Resident Commissioner of
the House of Representatives providing, authorizing, or recommending
a specific amount of discretionary budget authority, credit authority, or
other spending authority for a contract, loan, loan guarantee, grant, loan
authority, or other expenditure with or to an entity, or targeted to a specific
State, locality, or Congressional district, other than through a statutory or
administrative formula-driven or competitive award process.
(2) PROHIBMON-None of the funds appropriated or otherwise made available to
carry out this section may be used for congressionally directed spending.
(3) CERTIFICATION ro CONGRESS - The Administrator of the Federal Emergency
Management Agency shall submit to Congress a certification regarding
whether all financial assistance under this section was awarded in accordance
with this section.
Sec. 204. Interagency Task Force(42 U.S.C.5134)
(a) IN GENERAL.-The President shall establish a Federal interagency task force for the
purpose of coordinating the implementation of predisaster hazard mitigation
programs administered by the Federal Government.
(b) CHAIRPERSON - The Administrator of the Federal Emergency Management Agency
shall serve as the chairperson of the task force.
(c) MEMBERSHIP-The membership of the task force shall include representatives of
(1) relevant Federal agencies;
(2) State and local government organizations(including Indian tribes);and
(3) the American Red Cross.
10
16C 1
STAFFORD ACT> TITLE 111>§§301-302
Title Ill - Major Disaster and Emergency
Assistance Administration
Sec. 301.Waiver of Administrative Conditions(42 U.S.C.5141)
Any Federal agency charged with the administration of a Federal assistance program
may, if so requested by the applicant State or local authorities, modify or waive, for a
major disaster,such administrative conditions for assistance as would otherwise prevent
the giving of assistance under such programs if the inability to meet such conditions is
a result of the major disaster.
Sec. 302. Coordinating Officers(42 U.S.C.5143)
(a) Apponsrnahrr of FEDERAL COORDINATING OFFICER-Immediately upon his declaration of
a major disaster or emergency,the President shall appoint a Federal coordinating
officer to operate in the affected area.
(b) FUNCTIONS OF FEDERAL COORDINATING OFFICER- In order to effectuate the purposes of
this Act, the Federal coordinating officer,within the affected area,shall—
(1) make an initial appraisal of the types of relief most urgently needed;
(2) establish such field offices as he deems necessary and as are authorized by the
President;
(3) coordinate the administration of relief, including activities of the State and
local governments, the American National Red Cross, the Salvation Army,
the Mennonite Disaster Service, and other relief or disaster assistance
organizations, which agree to operate under his advice or direction, except
that nothing contained in this Act shall limit or in any way affect the
responsibilities of the American National Red Cross under chapter 3001 of
title 36;4 and
(4) take such other action, consistent with authority delegated to him by the
President, and consistent with the provisions of this Act, as he may deem
necessary to assist local citizens and public officials in promptly obtaining
assistance to which they are entitled.
(c) STATE COORDINATING OFFICER-When the President determines assistance under this
Act is necessary,he shall request that the Governor of the affected State designate
a State coordinating officer for the purpose of coordinating State and local disaster
assistance efforts with those of the Federal Government.
(d) SINGLE FEDERAL COORDINATING OFFICER FOR MULTI-STATE AREA-Where the area affected by
a major disaster or emergency includes parts of more than 1 State,the President,at
the discretion of the President,may appoint a single Federal coordinating officer
for the entire affected area, and may appoint such deputy Federal coordinating
officers to assist die Federal coordinating officer as the President determines
appropriate.
4.The Act of January 5,1905,as amended(33 Stat.599).
11
1C 1
STAFFORD ACT> TITLE III>§§303-304
Sec.303. Emergency Support and Response Teams(42 U.S.C.5144)
(a) EMERGENCY SUPPORT TEAMS — The President shall form emergency support teams
of Federal personnel to be deployed in an area affected by a major disaster or
emergency. Such emergency support teams shall assist the Federal coordinating
officer in carrying out his responsibilities pursuant to this Act.Upon request of the
President, the head of any Federal agency is directed to detail to temporary duty
with the emergency support teams on either a reimbursable or nonreimbursable
basis, as is determined necessary by the President, such personnel within the
administrative jurisdiction of the head of the Federal agency as the President
may need or believe to be useful for carrying out the functions of the emergency
support teams, each such detail to be without loss of seniority, pay, or other
employee status.
(b) EMERGENCY RESPONSE TEAMS-
(1) ESTABLISHMENT-In carrying out subsection (a), the President, acting through
the Administrator of the Federal Emergency Management Agency, shall
establish-
(A) at a minimum 3 national response teams;and
(B) sufficient regional response teams, including Regional Office strike
teams under section 317 of title 6;5 and
(C) other response teams as may be necessary to meet the incident
management responsibilities of the Federal Government.
(2) TARGET CAPABIITY LEVEL - The Administrator shall ensure that specific target
capability levels, as defined pursuant to the guidelines established under
section 746(a) of title 6,6 are established for Federal emergency response
teams.
(3) PERSONNEL - The President, acting through the Administrator, shall ensure
that the Federal emergency response teams consist of adequate numbers of
properly planned, organized, equipped, trained,and exercised personnel to
achieve the established target capability levels.Each emergency response team
shall work in coordination with State and local officials and onsite personnel
associated with a particular incident.
(4) READINESS REPORTING - The Administrator shall evaluate team readiness on a
regular basis and report team readiness levels in the report required under
section 752(a)of title 6.'
Sec.304. Reimbursement of Federal Agencies(42 U.S.C.5147)
Federal agencies may be reimbursed for expenditures under this Act from funds
appropriated for the purposes of this Act. Any funds received by Federal agencies as
5.Section 507 of the Homeland Security Act of 2002.
6.Section 646(a)of the Post-Katrina Emergency Management Reform Act of 2006.
7.Section 652(a)of the Post-Katrina Emergency Management Reform Act of 2006.
12
iôCl
STAFFORD ACT>TITLE 111>§§305-307
reimbursement for services or supplies furnished under the authority of this Act shall
be deposited to the credit of the appropriation or appropriations currently available for
such services or supplies.
Sec.305. Nonliability of Federal Government(42 U.S.C.5148)
The Federal Government shall not be liable for any claim based upon the exercise or
performance of or the failure to exercise or perform a discretionary function or duty
on the part of a Federal agency or an employee of the Federal Government in carrying
out the provisions of this Act.
Sec. 306. Performance of Services(42 U.S.C.5149)
(a) UTILIZATION OF SERVICES OR FACILITIES OF STATE AND LOCAL GOVERNMENTS-In carrying out
the purposes of this Act,any Federal agency is authorized to accept and utilize the
services or facilities of any State or local government, or of any agency, office, or
employee thereof,with the consent of such government.
(b) APPOINTMENT OF TEMPORARY PERSONNEL, EXPERTS, AND CONSULTANTS; ACQUISITION, RENTAL,
OR HIRE OF EQUIPMENT, SERVICES, MATERIAL$AND SUPPLIES - In performing any services
under this Act,any Federal agency is authorized-
(1) to appoint and fix the compensation of such temporary personnel as may be
necessary,without regard to the provisions of title 5 governing appointments
in competitive service;
(2) to employ experts and consultants in accordance with the provisions of
section 3109 of such title, without regard to the provisions of chapter 51
and subchapter III of chapter 53 of such title relating to dassification and
General Schedule pay rates;and
(3) to incur obligations on behalf of the United States by contract or otherwise for
the acquisition,rental,or hire of equipment,services,materials,and supplies
for shipping, drayage, travel, and communications, and for the supervision
and administration of such activities.Such obligations,including obligations
arising out of the temporary employment of additional personnel, may be
incurred by an agency in such amount as may be made available to it by the
President.
Sec. 307. Use of Local Firms and Individuals(42 U.S.C.5150)
(a) CONTRACTS OR AGREEMENTS WITH PRIVATE ENTITIES-
(1) IN GENERAL - In the expenditure of Federal funds for debris clearance,
distribution of supplies, reconstruction, and other major disaster or
emergency assistance activities which may be carried out by contract or
agreement with private organizations,firms,or individuals,preference shall
be given,to the extent feasible and practicable,to those organizations,firms,
and individuals residing or doing business primarily in the area affected by
such major disaster or emergency.
13
I 6C 1
STAFFORD ACT>TITLE III>.§§307-308
(2) CONSTRUCTION - This section shall not be considered to restrict the use of
Department of Defense resources under this Act in the provision of assistance
in a major disaster.
(3) SPECIFIC GEOGRAPHIC AREA-In carrying out this section,a contract or agreement
may be set aside for award based on a specific geographic area.
(b) IMPLEMENTATION-
(1) CONTRACTS Nor TO EwrmEs IN AREA-Any expenditure of Federal funds for debris
clearance, distribution of supplies, reconstruction, and other major disaster
or emergency assistance activities which may be carried out by contract or
agreement with private organizations, firms, or individuals, not awarded to
an organization, firm, or individual residing or doing business primarily in
the area affected by such major disaster shall be justified in writing in the
contract file.
(2) TRANSITION - Following the declaration of an emergency or major disaster,
an agency performing response, relief, and reconstruction activities shall
transition work performed under contracts in effect on the date on which the
President declares the emergency or major disaster to organizations, firms,
and individuals residing or doing business primarily in any area affected by
the major disaster or emergency,unless the head of such agency determines
that it is not feasible or practicable to do so.
(3) FORMATION OF REQUIREMENTS —The head of a Federal agency, as feasible and
practicable,shall formulate appropriate requirements to facilitate compliance
with this section.
(c) PRIOR CONTRACTS-Nothing in this section shall be construed to require any Federal
agency to breach or renegotiate any contract in effect before the occurrence of a
major disaster or emergency.
Sec.308. Nondiscrimination in Disaster Assistance(42 U.S.C.5151)
(a) REGULATIONS FOR EQUITABLE AND IMPARTIAL RELIEF OPERATIONS-The President shall issue,
and may alter and amend, such regulations as may be necessary for the guidance
of personnel carrying out Federal assistance functions at the site of a major
disaster or emergency.Such regulations shall include provisions for insuring that
the distribution of supplies, the processing of applications, and other relief and
assistance activities shall be accomplished in an equitable and impartial manner,
without discrimination on the grounds of race, color, religion, nationality, sex,
age,disability,English proficiency,or economic status.
(b) COMPLIANCE WITH REGULATIONS AS PREREQUISITE TO PARTICIPATION BY OTHER BODIES IN RELIEF
OPERATIONS - As a condition of participation in the distribution of assistance or
supplies under this Act or of receiving assistance under this Act, governmental
bodies and other organizations shall be required to comply with regulations
relating to nondiscrimination promulgated by the President, and such other
regulations applicable to activities within an area affected by a major disaster or
emergency as he deems necessary for the effective coordination of relief efforts.
14
CO
rt
i
•
STAFFORD ACT> TITLE III>§§309-3.10
Sec.309. Use and Coordination of Relief Organizations(42 U.S.C.5152)
(a) In providing relief and assistance under this Act, the President may utilize, with
their consent, the personnel and facilities of the American National Red Cross,
the Salvation Army, the Mennonite Disaster Service, and other relief or disaster
assistance organizations, in the distribution of medicine,food,supplies, or other
items, and in the restoration, rehabilitation, or reconstruction of community
services housing and essential facilities, whenever the President finds that such
utilization is necessary.
(b) The President is authorized to enter into agreements with the American National
Red Cross,the Salvation Army,the Mennonite Disaster Service,and other relief or
disaster assistance organizations under which the disaster relief activities of such
organizations may be coordinated by the Federal coordinating officer whenever
such organizations are engaged in providing relief during and after a major disaster
or emergency.Any such agreement shall include provisions assuring that use of
Federal facilities, supplies, and services will be in compliance with regulations
prohibiting duplication of benefits and guaranteeing nondiscrimination
promulgated by the President under this Act, and such other regulation as the
President may require.
Sec. 310. Priority to Certain Applications for Public Facility and Public Housing
Assistance(42 U.S.C.5153)
(a) P100Rrrt-In the processing of applications for assistance,priority and immediate
consideration shall be given by the head of the appropriate Federal agency,during
such period as the President shall prescribe, to applications from public bodies
situated in areas affected by major disasters under the following Acts:
(1) The United States Housing Act of 19378 for the provision of low-income
housing.
(2) Sections 3502 to 3505 of title 40 for assistance in public works planning.
(3) The Community Development Block Grant Program under tide I of the
Housing and Community Development Act of 1974.9
(4) Section 1926 of title 7.10
(5) The Public Works and Economic Development Act of 1965.1
(6) Subtitle IV of title 40.
(7) The Federal Water Pollution Control Act.'
(b) OBLIGATION OF CERTAIN DISCRETIONARY FuNns-In the obligation of discretionary funds
or funds which are not allocated among the States or political subdivisions of
8.42 U.S.C.1437 et seq.
9.42 U.S.C.5301 et seq.
10.Section 306 of the Consolidated Farm and Rural Development Act.
11.42 U.S.C.3121 et seq.
12.33 U.S.C.1251 et seq.
15
16c1
STAFFORD ACT>TITLE 111>§311;42 U.S.C.§5154a
a State, the Secretary of Housing and Urban Development and the Secretary of
Commerce shall give priority to applications for projects for major disaster areas.
Sec. 311. Insurance(42 U.S.C.5154)
(a) APPLICANTS FOR REPLACEMENT OF DAMAGED FACILITIES-
(1) COMPLIANCE WITH CERTAIN REGULATIONS - An applicant for assistance under
section 5172 of this title [Section 406] (relating to repair, restoration, and
replacement of damaged facilities), section 5189 of this title [Section 422]
(relating to simplified procedure) or section 3149(c)(2) of this title shall
comply with regulations prescribed by the President to assure that, with
respect to any property to be replaced, restored, repaired, or constructed
with such assistance, such types and extent of insurance will be obtained
and maintained as may be reasonably available, adequate, and necessary, to
protect against future loss to such property.
(2) DETERMINATION - In making a determination with respect to availability,
adequacy,and necessity under paragraph(1), the President shall not require
greater types and extent of insurance than are certified to him as reasonable
by the appropriate State insurance commissioner responsible for regulation
of such insurance.
(b) MAINTENANCE OF INSURANCE-No applicant for assistance under section 5172 of this
title [Section 406] (relating to repair, restoration, and replacement of damaged
facilities),section 5189 of this title[Section 422](relating to simplified procedure),
or section 3149(c)(2)of this title may receive such assistance for any property or
part thereof for which the applicant has previously received assistance under this
Act unless all insurance required pursuant to this section has been obtained and
maintained with respect to such property. The requirements of this subsection
may not be waived under section 5141 of this title[Section 301].
(c) STATE ACTING As SELF-INSURER-A State may elect to act as a self-insurer with respect
to any or all of the facilities owned by the State. Such an election, if declared in
writing at the time of acceptance of assistance under section 5172 or 5189 of this
title[Section 406 or 422]or section 3149(c)(2)of this title)or subsequently and
accompanied by a plan for self-insurance which is satisfactory to the President,
shall be deemed compliance with subsection(a).No such self-insurer may receive
assistance under section 5172 or 5189 of this title [Section 406 or 422] for any
property or part thereof for which it has previously received assistance under this
Act,to the extent that insurance for such property or part thereof would have been
reasonably available.
Prohibited Flood Disaster Assistance(42 U.S.C.5154a)'
(a) GENERAL PROIIsrFION - Notwithstanding any other provision of law, no Federal
13.This section was enacted as part of the National Flood Insurance Reform Act of 1994 and as part
of the Riegle Community Development and Regulatory Improvement Act of 1994,and not as part of
the Robert T.Stafford Disaster Relief and Emergency Assistance Act.
16
1
STAFFORD ACT> TITLE 1I1>42 U.S.C.§5154a
disaster relief assistance made available in a flood disaster area may be used to
make a payment (including any loan assistance payment) to a person for repair,
replacement,or restoration for damage to any personal,residential,or commercial
property if that person at any time has received flood disaster assistance that was
conditional on the person first having obtained flood insurance under applicable
Federal law and subsequently having failed to obtain and maintain flood insurance
as required under applicable Federal law on such property.
(b) TRANSFER OF PROPERTY-
(1) DUTY TO NOTIFY -In the event of the transfer of any property described in
paragraph (3), the transferor shall, not later than the date on which such
transfer occurs,notify the transferee in writing of the requirements to-
(A) obtain flood insurance in accordance with applicable Federal law with
respect to such property, if the property is not so insured as of the date
on which the property is transferred; and
(B) maintain flood insurance in accordance with applicable Federal law with
respect to such property.Such written notification shall be contained in
documents evidencing the transfer of ownership of the property.
(2) FAILURE TO NOTIFY -If a transferor described in paragraph (1) fails to make
a notification in accordance with such paragraph and, subsequent to the
transfer of the property-
(A) the transferee fails to obtain or maintain flood insurance in accordance
with applicable Federal law with respect to the property,
(B) the property is damaged by a flood disaster, and
(C) Federal disaster relief assistance is provided for the repair,replacement,
or restoration of the property as a result of such damage, the transferor
shall be required to reimburse the Federal Government in an amount
equal to the amount of the Federal disaster relief assistance provided
with respect to the property.
(3) PROPERTY DESCRIBED - For purposes of paragraph (1), a property is described
in this paragraph if it is personal, commercial, or residential property for
which Federal disaster relief assistance made available in a flood disaster area
has been provided, prior to the date on which the property is transferred,
for repair,replacement,or restoration of the property,if such assistance was
conditioned upon obtaining flood insurance in accordance with applicable
Federal law with respect to such property.
(c) [Omitted]
(d) "FLOOD DISASTER AREA"DEFINED-For purposes of this section,the term"flood disaster
area"means an area with respect to which-
(1) the Secretary of Agriculture finds, or has found, to have been substantially
17
bc '
STAFFORD ACT> TITLE III>§312
affected by a natural disaster in the United States pursuant to section 1961(a)
of title 7;14 or
(2) the President declares, or has declared, the existence of a major disaster or
emergency pursuant to the Robert T.Stafford Disaster Relief and Emergency
Assistance Act(42 U.S.C.5121 et seq.),as a result of flood conditions existing
in or affecting that area.
(e) EFFECTIVE DATE-This section and the amendments made by this section15 shall apply
to disasters declared after September 23, 1994.
Sec. 312.Duplication of Benefits(42 U.S.C.5155)
(a) GENERAL PRotIBm0N-The President,in consultation with the head of each Federal
agency administering any program providing financial assistance to persons,
business concerns, or other entities suffering losses as a result of a major disaster
or emergency,shall assure that no such person,business concern, or other entity
will receive such assistance with respect to any part of such loss as to which he has
received financial assistance under any other program.or from insurance or any
other source.
(b) SPECIAL RULES-
(1) LIMITATION-This section shall not prohibit the provision of Federal assistance
to a person who is or may be entitled to receive benefits for the same
purposes from another source if such person has not received such other
benefits by the time of application for Federal assistance and if such person
agrees to repay all duplicative assistance to the agency providing the Federal
assistance.
(2) PROCEDURES - The President shall establish such procedures as the President
considers necessary to ensure uniformity in preventing duplication of
benefits.
(3) EFFECT OF PARTIAL BENEFrrs - Receipt of partial benefits for a major disaster or
emergency shall not preclude provision of additional Federal assistance for
any part of a loss or need for which benefits have not been provided.
(c) RECOVERY OF DUPLICATIVE BENEFrrs-A person receiving Federal assistance for a major
disaster or emergency shall be liable to the United States to the extent that such
assistance duplicates benefits available to the person for the same purpose from
another source.The agency which provided the duplicative assistance shall collect
such duplicative assistance from the recipient in accordance with chapter 37 of
title 31,relating to debt collection,when the head of such agency considers it to
be in the best interest of the Federal Government.
(d) ASSISTANCE NOT INCOME-Federal major disaster and emergency assistance provided
to individuals and families under this Act, and comparable disaster assistance
14.The Consolidated Farm and Rural Development Act(7 U.S.C.1961(a)).
15.This refers to the amendments made by section 562(c)of Pub.L 103-325,which amended section
4012a of this title.
18
16c1
STAFFORD ACT>TITLE III>§§313-315
provided by States,local governments,and disaster assistance organizations,shall
not be considered as income or a resource when determining eligibility for or
benefit levels under federally funded income assistance or resource-tested benefit
programs.
Sec. 313.Standards and Reviews(42 U.S.C.5156)
The President shall establish comprehensive standards which shall be used to assess
the efficiency and effectiveness of Federal major disaster and emergency assistance
programs administered under this Act. The President shall conduct annual reviews of
the activities of Federal agencies and State and local governments in major disaster and
emergency preparedness and in providing major disaster and emergency assistance
in order to assure maximum coordination and effectiveness of such programs and
consistency in policies for reimbursement of States under this Act.
Sec. 314. Penalties(42 U.S.C.5157)
(a) MISUSE OF FUNDS-Any person who knowingly misapplies the proceeds of a loan or
other cash benefit obtained under this Act shall be fined an amount equal to one
and one-half times the misapplied amount of the proceeds or cash benefit.
(b) Crvn.ENFORCEMENT-Whenever it appears that any person has violated or is about
to violate any provision of this Act, including any civil penalty imposed under
this Act, the Attorney General may bring a civil action for such relief as may be
appropriate. Such action may be brought in an appropriate United States district
court.
(c) REFERRAL To ArroiNEr GENERAL - The President shall expeditiously refer to
the Attorney General for appropriate action any evidence developed in the
performance of functions under this Act that may warrant consideration for
criminal prosecution.
(d) Civil PENALTY - Any individual who knowingly violates any order or regulation
issued under this Act shall be subject to a civil penalty of not more than $5,000
for each violation.
Sec. 315.Availability of Materials(42 U.S.C.5158)
The President is authorized,at the request of the Governor of an affected State,to provide
for a survey of construction materials needed in the area affected by a major disaster on
an emergency basis for housing repairs, replacement housing, public facilities repairs
and replacement,farming operations,and business enterprises and to take appropriate
action to assure the availability and fair distribution of needed materials, including,
where possible, the allocation of such materials for a period of not more than one
hundred and eighty days after such major disaster. Any allocation program shall be
implemented by the President to the extent possible, by working with and through
those companies which traditionally supply construction materials in the affected
area. For the purposes of this section "construction materials" shall include building
materials and materials required for repairing housing, replacement housing, public
facilities repairs and replacement,and for normal farm and business operations.
19
()VD
16C1
STAFFORD ACT> TITLE III>§§316-318
Sec.316. Protection of Environment(42 U.S.C.5159)
An action which is taken or assistance which is provided pursuant to section 5170a,
5170b, 5172, 5173, or 5192 of this tide [Section 402, 403, 406, 407, or 502],
including such assistance provided pursuant to the procedures provided for in section
5189 of this tide[Section 422],which has the effect of restoring a facility substantially
to its condition prior to the disaster or emergency,shall not be deemed a major Federal
action significantly affecting the quality of the human environment within the meaning
of the National Environmental Policy Act of 1969 (83 Stat. 852) [42 U.S.C. §4321
et seq.]. Nothing in this section shall alter or affect the applicability of the National
Environmental Policy Act of 1969 [42 U.S.C. §4321 et seq.] to other Federal actions
taken under this Act or under any other provisions of law.
Sec.317. Recovery of Assistance(42 U.S.C.5160)
(a) PARTY LIABLE-Any person who intentionally causes a condition for which Federal
assistance is provided under this Act or under any other Federal law as a result of
a declaration of a major disaster or emergency under this Act shall be liable to the
United States for the reasonable costs incurred by the United States in responding
to such disaster or emergency to the extent that such costs are attributable to the
intentional act or omission of such person which caused such condition. Such
action for reasonable costs shall be brought in an appropriate United States district
court.
(b) RENDERING OF CARE-A person shall not be liable under this section for costs incurred
by the United States as a result of actions taken or omitted by such person in
the course of rendering care or assistance in response to a major disaster or
emergency.
Sec.318.Audits and Investigations(42 U.S.C.5161)
(a) IN GENERAL-Subject to the provisions of chapter 75 of tide 31,relating to requirements
for single audits,the President shall conduct audits and investigations as necessary
to assure compliance with this Act, and in connection therewith may question
such persons as may be necessary to carry out such audits and investigations.
(b) Access TO RECORDS - For purposes of audits and investigations under this section,
the President and Comptroller General may inspect any books,documents,papers,
and records of any person relating to any activity undertaken or funded under this
Act.
(c) STATE AND LOCAL Annus - The President may require audits by State and local
governments in connection with assistance under this Act when necessary to
assure compliance with this Act or related regulations.
Sec. 319.Advance of Non-Federal Share(42 U.S.C.5162)
(a) IN GENERAL-The President may lend or advance to an eligible applicant or a State
the portion of assistance for which the State is responsible under the cost-sharing
provisions of this Act in any case in which--
20
16c1
STAFFORD ACT> TITLE III>§§320-322
(1) the State is unable to assume its financial responsibility under such cost-
sharing provisions—
(A) with respect to concurrent, multiple major disasters in a jurisdiction,
or
(B) after incurring extraordinary costs as a result of a particular disaster;
and
(2) the damages caused by such disasters or disaster are so overwhelming
and severe that it is not possible for the applicant or the State to assume
immediately their financial responsibility under this Act.
(b) TERMS OF LOANS AND ADVANCES-
(1) IN GENERAL- Any loan or advance under this section shall be repaid to the
United States.
(2) INzER sr-Loans and advances under this section shall bear interest at a rate
determined by the Secretary of the Treasury, taking into consideration the
current market yields on outstanding marketable obligations of the United
States with remaining periods to maturity comparable to the reimbursement
period of the loan or advance.
(c) REGULATIONS - The President shall issue regulations describing the terms and
conditions under which any loan or advance authorized by this section may be
made.
Sec.320. Limitation on Use of Sliding Scales(42 U.S.C.5163)
No geographic area shall be precluded from receiving assistance under this Act solely
by virtue of an arithmetic formula or sliding scale based on income or population.
Sec.321.Rules and Regulations(42 U.S.C.5164)
The President may prescribe such rules and regulations as may be necessary and proper
to carry out the provisions of this Act,and may exercise,either directly or through such
Federal agency as the President may designate,any power or authority conferred to the
President by this Act.
Sec. 322. Mitigation Planning(42 U.S.C.5165)
(a) REQUIREMENT OF MrnGAnoN PLAN-As a condition of receipt of an increased Federal
share for hazard mitigation measures under subsection(e) of this section,a State,
local,or tribal government shall develop and submit for approval to the President
a mitigation plan that outlines processes for identifying the natural hazards,risks,
and vulnerabilities of the area under the jurisdiction of the government.
(b) LOCAL AND TRIBAL PLANS - Each mitigation plan developed by a local or tribal
government shall-
(I) describe actions to mitigate hazards, risks, and vulnerabilities identified
under the plan;and
21
a
w� ti
STAFFORD ACT>TITLE Ill>§§322-323
(2) establish a strategy to implement those actions.
(c) STATE PLANS - The State process of development of a mitigation plan under this
section shall-
(1) identify the natural hazards,risks,and vulnerabilities of areas in the State;
(2) support development of local mitigation plans;
(3) provide for technical assistance to local and tribal governments for mitigation
planning;and
(4) identify and prioritize mitigation actions that the State will support, as
resources become available.
(d) FUNDING-
(I) IN GENERAL-Federal contributions under section 5170c of this title [Section
404]may be used to fund the development and updating of mitigation plans
under this section.
(2) Maximum FEDERAL CONTRIBUTION-With respect to any mitigation plan, a State,
local, or tribal government may use an amount of Federal contributions
under section 5170c of this title [Section 404] not to exceed 7 percent of
the amount of such contributions available to the government as of a date
determined by the government.
(e) INCREASED FEDERAL SHARE FOR HAZARD MmGATION MEASURES-
(I) IN GENERAL-If, at the time of the declaration of a major disaster, a State has
in effect an approved mitigation plan under this section, the President may
increase to 20 percent, with respect to the major disaster, the maximum
percentage specified in the last sentence of section 5170c(a) of this title
[Section 404(a)].
(2) FACTORS FOR CONSIDERATION-In determining whether to increase the maximum
percentage under paragraph (1), the President shall consider whether the
State has established-
(A) eligibility criteria for property acquisition and other types of mitigation
measures;
(B) requirements for cost effectiveness that are related to the eligibility
criteria;
(C) a system of priorities that is related to the eligibility criteria;and
(D) a process by which an assessment of the effectiveness of a mitigation
action may be carried out after the mitigation action is complete.
Sec. 323. Minimum Standards for Public and Private Structures
(42 U.S.C.5165a)
(a) IN GENERAL-As a condition of receipt of a disaster loan or grant under this Act-
(1) the recipient shall carry out any repair or construction to be financed with
22
16c1
STAFFORD ACT> TITLE III>§§324-325
the loan or grant in accordance with applicable standards of safety, decency,
and sanitation and in conformity with applicable codes, specifications, and
standards;and
(2) the President may require safe land use and construction practices, after
adequate consultation with appropriate State and local government officials.
(b) EVIDENCE of COMPLIANCE-A recipient of a disaster loan or grant under this Act shall
provide such evidence of compliance with this section as the President may require
by regulation.
Sec.324. Management Costs(42 U.S.C.5165b)
(a) DEFINmON OF MANAGEMENT COST - In this section, the term "management cost"
includes any indirect cost, any administrative expense, and any other expense
not directly chargeable to a specific project under a major disaster, emergency,or
disaster preparedness or mitigation activity or measure.
(b) ESTABLISHMENT OF MANAGEMENT COST RATES - Notwithstanding any other provision
of law (including any administrative rule or guidance), the President shall by
regulation establish management cost rates, for grantees and subgrantees, that
shall be used to determine contributions under this Act for management costs.
(c) REVIEW-The President shall review the management cost rates established under
subsection(b)not later than 3 years after the date of establishment of the rates and
periodically thereafter.
Sec. 325.Public Notice,Comment,and Consultation Requirements
(42 U.S.C.5165c)
(a) Puauc NOTICE AND COMMENT CONCERNING NEW OR MODIFIED POLICIES-
(1) IN GENERAL-The President shall provide for public notice and opportunity for
comment before adopting any new or modified policy that-
(A) governs implementation of the public assistance program administered
by the Federal Emergency Management Agency under this Act;and
(B) could result in a significant reduction of assistance under the program.
(2) APPLICATION - Any policy adopted under paragraph (1) shall apply only to
a major disaster or emergency declared on or after the date on which the
policy is adopted.
(b) CONSULTATION CONCERNING INTERIM POLICIES-
(1) IN GENERAL-Before adopting any interim policy under the public assistance
program to address specific conditions that relate to a major disaster or
emergency that has been declared under this Act, the President, to the
maximum extent practicable, shall solicit the views and recommendations
of grantees and subgrantees with respect to the major disaster or emergency
concerning the potential interim policy,if the interim policy is likely-
23
•
1si:
v
i: am.
STAFFORD ACT> TITLE III>§326
(A) to result in a significant reduction of assistance to applicants for the
assistance with respect to the major disaster or emergency;or
(B) to change the terms of a written agreement to which the Federal
Government is a party concerning the declaration of the major disaster
or emergency.
(2) No LEGAL RIGHT OF ACTION-Nothing in this subsection confers a legal right of
action on any party.
(c) Pusuc ACCESS-The President shall promote public access to policies governing the
implementation of the public assistance program.
Sec.326. Designation of Small State and Rural Advocate(42 U.S.C.5165d)
(a) IN GENERAL-The President shall designate in the Federal Emergency Management
Agency a Small State and Rural Advocate.
(b) RESPONSIBILITIES - The Small State and Rural Advocate shall be an advocate for the
fair treatment of small States and rural communities in the provision of assistance
under this Act.
(c) Duriss-The Small State and Rural Advocate shall-
(1) participate in the disaster declaration process under section 5170 of this title
[Section 401] and the emergency declaration process under section 5191 of
this title [Section 501], to ensure that the needs of rural communities are
being addressed;
(2) assist small population States in the preparation of requests for major disaster
or emergency declarations;and
(3) conduct such other activities as the Administrator of the Federal Emergency
Management Agency considers appropriate.
24
6 c
STAFFORD ACT>TITLE IV>§401
Title IV - Major Disaster Assistance Programs
Sec.401. Procedure for Declaration(42 U.S.C.5170)*16
(a)IN GENERAL - All requests for a declaration by the President that a major disaster
exists shall be made by the Governor of the affected State. Such a request shall be
based on a finding that the disaster is of such severity and magnitude that effective
response is beyond the capabilities of the State and the affected local governments
and that Federal assistance is necessary.As part of such request,and as a prerequisite
to major disaster assistance under this Act, the Governor shall take appropriate
response action under State law and direct execution of the State's emergency plan.
The Governor shall furnish information on the nature and amount of State and local
resources which have been or will be committed to alleviating the results of the
disaster, and shall certify that, for the current disaster, State and local government
obligations and expenditures (of which State commitments must be a significant
proportion) will comply with all applicable cost-sharing requirements of this Act.
Based on the request of a Governor under this section, the President may declare
under this Act that a major disaster or emergency exists.
(b)INDIAN TRIBAL GOVERNMENT REQUESTS-
(I) IN GENERAL-The Chief Executive of an affected Indian tribal government may
submit a request for a declaration by the President that a major disaster exists
consistent with the requirements of subsection(a).
(2) REFERENCES - In implementing assistance authorized by the President under
this chapter in response to a request of the Chief Executive of an affected
Indian tribal government for a major disaster declaration, any reference in
this subchapter or subchapter III (except sections 5153 and 5165d of this
title[Sections 310 and 326]) to a State or the Governor of a State is deemed
to refer to an affected Indian tribal government or the Chief Executive of an
affected Indian tribal government,as appropriate.
(3) SAVINGS PROVISION -Nothing in this subsection shall prohibit an Indian tribal
government from receiving assistance under this subchapter through a
declaration made by the President at the request of a State under subsection
(a) if the President does not make a declaration under this subsection for the
same incident.
16.Individual assistance factors: Pub.L.113-2,div.B,§1109,Jan.29,2013,127 Stat.47,provides
that,"In order to provide more objective criteria for evaluating the need for assistance to individu-
als,to clarify the threshold for eligibility and to speed a declaration of a major disaster or emer-
gency under the Robert T.Stafford Disaster Relief and Emergency Assistance Act(42 U.S.C.5121
et seq.),not later than 1 year after the date of enactment of this division(Jan.29,2013),the Ad-
ministrator of the Federal Emergency Management Agency,in cooperation with representatives of
State,tribal,and local emergency management agencies,shall review,update,and revise through
rulemaking the factors considered under section 206.48 of title 44,Code of Federal Regulations
(including section 206.48(b)(2)of such title relating to trauma and the specific conditions or losses
that contribute to trauma),to measure the severity,magnitude,and impact of a disaster."
25
STAFFORD ACT> TITLE IV>§402
(c)Cosr SHARE ADJUSTMENTS FOR INDIAN TRIBAL GOVERNMENTS
(1) IN GENERAL-In providing assistance to an Indian tribal government under this
subchapter, the President may waive or adjust any payment of a non-Federal
contribution with respect to the assistance if-
(A) The President has the authority to waive or adjust the payment under
another provision of this subchapter;and
(B) The President determines that the waiver of adjustment is necessary and
appropriate.
(2) CRITERIA FOR MAKING DETERMINATIONS—The President shall establish criteria for
making determinations under paragraph(1)(B).
Sec. 402.General Federal Assistance(42 U.S.C.5170a)
In any major disaster, the President may-
(1) direct any Federal agency, with or without reimbursement, to utilize its
authorities and the resources granted to it under Federal law (including
personnel, equipment, supplies, facilities, and managerial, technical, and
advisory services) in support of State and local assistance response and
recovery efforts,including precautionary evacuations;
(2) coordinate all disaster relief assistance (including voluntary assistance)
provided by Federal agencies, private organizations, and State and local
governments, including precautionary evacuations and recovery;
(3) provide technical and advisory assistance to affected State and local
governments for-
(A) the performance of essential community services;
(B) issuance of warnings of risks and hazards;
(C) public health and safety information, including dissemination of such
information;
(D) provision of health and safety measures;
(E) management, control, and reduction of immediate threats to public
health and safety;and
(F) recovery activities,including disaster impact assessments and planning;
(4) assist State and local governments in the distribution of medicine,food,and
other consumable supplies,and emergency assistance;and
(5) provide accelerated Federal assistance and Federal support where necessary
to save lives, prevent human suffering, or mitigate severe damage, which
may be provided in the absence of a specific request and in which case the
President—
(A) shall, to the fullest extent practicable, promptly notify and coordinate
with officials in a State in which such assistance or support is provided;
26
1 60 1
STAFFORD ACT>TITLE IV>§403
and
(B) shall not,in notifying and coordinating with a State under subparagraph
(A), delay or impede the rapid deployment, use, and distribution of
critical resources to victims of a major disaster.
Sec.403. Essential Assistance(42 U.S.C.5170b)*
(a) IN GENERAL - Federal agencies may on the direction of the President, provide
assistance essential to meeting immediate threats to life and property resulting
from a major disaster,as follows:
(1) FEDERAL RESOURCES,GENERALLY-Utilizing,lending,or donating to State and local
governments Federal equipment, supplies, facilities, personnel, and other
resources, other than the extension of credit,for use or distribution by such
governments in accordance with the purposes of this Act.
(2) MEDICINE, FOOD, AND OTHER CONSUMABLES - Distributing or rendering through
State and local governments,the American National Red Cross, the Salvation
Army,the Mennonite Disaster Service,and other relief and disaster assistance
organizations medicine durable medical equipment„i7 food, and other
consumable supplies,and other services and assistance to disaster victims.
(3) WORK AND SERVICES TO SAVE LIVES AND PROTECT PROPERTY- Performing on public
or private lands or waters any work or services essential to saving lives and
protecting and preserving property or public health and safety,'including-
(A) debris removal;
(B) search and rescue, emergency medical care, emergency mass care,
emergency shelter, and provision of food, water, medicine durable
medical equipment„18 and other essential needs, including movement
of supplies or persons;
(C) clearance of roads and construction of temporary bridges necessary to
the performance of emergency tasks and essential community services;
(D) provision of temporary facilities for schools and other essential
community services;
(E) demolition of unsafe structures which endanger the public;
(F) warning of further risks and hazards;
(G) dissemination of public information and assistance regarding health and
safety measures;
(H) provision of technical advice to State and local governments on disaster
management and control;
(I) reduction of immediate threats to life, property, and public health and
safety;and
17.Typographical error in original;the extra comma should probably follow"medicine.”
18.Typographical error in original;the extra comma should probably follow"medicine."
27
0�4
16C1
STAFFORD ACT> TITLE IV>§403
(J) provision of rescue,care,shelter, and essential needs-
(i) to individuals with household pets and service animals;and
(ii) to such pets and animals.
(4) CONTRIBUTIONS-Making contributions to State or local governments or owners
or operators of private nonprofit facilities for the purpose of carrying out the
provisions of this subsection.
(b) FEDERAL SHARE-The Federal share of assistance under this section shall be not less
than 75 percent of the eligible cost of such assistance.
(C) UTILIZATION OF DOD RESOURCES-
(1) GENERAL RULE - During the immediate aftermath of an incident which may
ultimately qualify for assistance under this title or title V of this Act, the
Governor of the State in which such incident occurred may request the
President to direct the Secretary of Defense to utilize the resources of the
Department of Defense for the purpose of performing on public and private
lands any emergency work which is made necessary by such incident and
which is essential for the preservation of life and property. If the President
determines that such work is essential for the preservation of life and
property, the President shall grant such request to the extent the President
determines practicable.Such emergency work may only be carried out for a
period not to exceed 10 days.
(2) RULES APPLICABLE TO DEBRIS REMOVAL - Any removal of debris and wreckage
carried out under this subsection shall be subject to section 5173(b) of
this title [Section 407(b)], relating to unconditional authorization and
indemnification for debris removal.
(3) EXPENDITURES OUT OF DISASTER RELIEF FUNDS-The cost of any assistance provided
pursuant to this subsection shall be reimbursed out of funds made available
to carry out this Act.
(4) FEDERAL SHARE-The Federal share of assistance under this subsection shall be
not less than 75 percent.
(5) GUIDELINES-Not later than 180 days after November 23, 1988,19 the President
shall issue guidelines for carrying out this subsection. Such guidelines shall
consider any likely effect assistance under this subsection will have on the
availability of other forms of assistance under this Act.
(6) DEFINmONs-For purposes of this section—
(A) DEPARTMENT OF DEFENSE - The term "Department of Defense" has the
meaning the term "department" has under section 101 of title 10.
(B) EMERGENCY WORK-The term "emergency work" includes clearance and
removal of debris and wreckage and temporary restoration of essential
public facilities and services.
19.The date of the enactment of the Disaster Relief and Emergency Assistance Amendments of 1988.
28
�1�
16C I
STAFFORD ACT> TITLE IV>§§403-404
(d) SALARIES AND BENEFfrs-
(1) IN GENERAL-If the President declares a major disaster or emergency for an area
within the jurisdiction of a State, tribal, or local government, the President
may reimburse the State,tribal,or local government for costs relating to-
(A) basic pay and benefits for permanent employees of the State, tribal, or
local government conducting emergency protective measures under
this section,if—
(i) the work is not typically performed by the employees; and
(ii) the type of work may otherwise be carried out by contract or
agreement with private organizations,firms,or individuals.;20 or
(B) overtime and hazardous duty compensation for permanent employees of
the State, tribal, or local government conducting emergency protective
measures under this section.
(2) OVERTIME-The guidelines for reimbursement for costs under paragraph (1)
shall ensure that no State,tribal,or local government is denied reimbursement
for overtime payments that are required pursuant to the Fair Labor Standards
Act of 1938 (29 U.S.C. 201 et seq.).
(3) No EFFECT ON MtrruAL Am PAcrs - Nothing in this subsection shall affect the
ability of the President to reimburse labor force expenses provided pursuant
to an authorized mutual aid pact.
Sec. 404. Hazard Mitigation(42 U.S.C.5170c)*21
(a) IN GENERAL-The President may contribute up to 75 percent of the cost of hazard
mitigation measures which the President has determined are cost-effective and
which substantially reduce the risk of future damage,hardship,loss, or suffering
in any area affected by a major disaster.Such measures shall be identified following
the evaluation of natural hazards under section 5165 of this title[Section 322]and
shall be subject to approval by the President.Subject to section 5165 of this title
[Section 322],the total of contributions under this section for a major disaster shall
not exceed 15 percent for amounts not more than$2,000,000,000, 10 percent
for amounts of more than$2,000,000,000 and not more than$10,000,000,000,
and 7.5 percent on amounts of more than$10,000,000,000 and not more than
$35,333,000,000 of the estimated aggregate amount of grants to be made (less
any associated administrative costs) under this Act with respect to the major
disaster.
20.Typographical error(two punctuation marks)in original.
21.Pub.L.113-2,div.B,§1104(c),Jan.29,2013,127 Stat.43,provides that,'The authority under
the amendments made by this section[amending this section]shall apply to—(1)any major disas-
ter or emergency declared under the Robert T.Stafford Disaster Relief and Emergency Assistance
Act(42 U.S.C.5121 et seq.)on or after the date of enactment of this division[Jan.29,2013];and
(2)a major disaster or emergency declared under that Act before the date of enactment of this
division for which the period for processing requests for assistance has not ended as of the date of
enactment of this division.'
29
16C 1
STAFFORD ACT>TITLE IV>§404
(b) PROPERTY ACQUISITION AND RELOCATION ASSISTANCE-
(1) GENERAL Atrrxosm' - In providing hazard mitigation assistance under this
section in connection with flooding, the Administrator of the Federal
Emergency Management Agency may provide property acquisition
and relocation assistance for projects that meet the requirements of
paragraph(2).
(2) TERMS AND CONDTTIONS-An acquisition or relocation project shall be eligible to
receive assistance pursuant to paragraph(1)only if-
(A) the applicant for the assistance is otherwise eligible to receive assistance
under the hazard mitigation grant program established under subsection
(a)of this section; and
(B) on or after December 3, 1993, the applicant for the assistance enters
into an agreement with the Administrator that provides assurances
that-
(i) any property acquired,accepted,or from which a structure will be
removed pursuant to the project will be dedicated and maintained
in perpetuity for a use that is compatible with open space,
recreational, or wetlands management practices;
(ii) no new structure will be erected on property acquired, accepted
or from which a structure was removed under the acquisition or
relocation program other than--
(I) a public facility that is open on all sides and functionally
related to a designated open space;
(II) a rest room;or
(III) a structure that the Administrator approves in writing before
the commencement of the construction of the structure;and
(iii) after receipt of the assistance, with respect to any property
acquired, accepted or from which a structure was removed under
the acquisition or relocation program--
(I) no subsequent application for additional disaster assistance
for any purpose will be made by the recipient to any Federal
entity;and
(II) no assistance referred to in subclause (I) will be provided to
the applicant by any Federal source.
(3) STATUTORY CONSTRUCTION - Nothing in this subsection is intended to alter or
otherwise affect an agreement for an acquisition or relocation project carried
out pursuant to this section that was in effect on the day before December 3,
1993.
(C) PROGRAM ADMINISTRATION BY STATES-
(1) IN GENERAL-A State desiring to administer the hazard mitigation grant program
30
1 60 1
STAFFORD ACT>TITLE IV>§404
established by this section with respect to hazard mitigation assistance in the
State may submit to the President an application for the delegation of the
authority to administer the program.
(2) CRrrERIA - The President, in consultation and coordination with States and
local governments, shall establish criteria for the approval of applications
submitted under paragraph (1). Until such time as the Administrator
promulgates regulations to implement this paragraph, the Administrator
may waive notice and comment rulemaking, if the Administrator
determines doing so is necessary to expeditiously implement this section,
and may carry out this section as a pilot program.The criteria shall include,
at a minimum-
(A) the demonstrated ability of the State to manage the grant program under
this section;
(B) there being in effect an approved mitigation plan under section 5165 of
this title [Section 322];and
(C) a demonstrated commitment to mitigation activities.
(3) APPROVAL - The President shall approve an application submitted under
paragraph(1) that meets the criteria established under paragraph(2).
(4) WITHDRAWAL of APPROVAL - If, after approving an application of a State
submitted under paragraph (1), the President determines that the State is
not administering the hazard mitigation grant program established by this
section in a manner satisfactory to the President,the President shall withdraw
the approval.
(5) Auorrs - The President shall provide for periodic audits of the hazard
mitigation grant programs administered by States under this subsection.
(d) STREAMLINED PROCEDURES-
(1)IN GENERAL - For the purpose of providing assistance under this section, the
President shall ensure that—
(A) adequate resources are devoted to ensure that applicable environmental
reviews under the National Environmental Policy Act of 1969[42 U.S.C.
4321 et seq.] and historic preservation reviews under the National
Historic Preservation Act [16 U.S.C. 470 et seq.] are completed on an
expeditious basis;and
(B) the shortest existing applicable process under the National Environmental
Policy Act of 1969 [42 U.S.C. 4321 et seq.] and the National Historic
Preservation Act[16 U.S.C.470 et seq.] is utilized.
(2)AtrrxoRrrY FOR OTHER ExPEDrrsn PROCEDURES-The President may utilize expedited
procedures in addition to those required under paragraph(1)for the purpose
of providing assistance under this section, such as procedures under the
Prototype Programmatic Agreement of the Federal Emergency Management
Agency, for the consideration of multiple structures as a group and for an
31
Q
16C 1
STAFFORD ACT>TITLE IV>§§405-406
analysis of the cost-effectiveness and fulfillment of cost-share requirements
for proposed hazard mitigation measures.
(e) ADVANCE ASSISTANCE-The President may provide not more than 25 percent of the
amount of the estimated cost of hazard mitigation measures to a State grantee
eligible for a grant under this section before eligible costs are incurred.
Sec.405. Federal Facilities(42 U.S.C.5171)
(a) REPAIR, RECONSTRUCTION,RESTORATION, OR REPLACEMENT OF UNITED STATES FACILITIES-The
President may authorize any Federal agency to repair, reconstruct, restore, or
replace any facility owned by the United States and under the jurisdiction of such
agency which is damaged or destroyed by any major disaster if he determines that
such repair,reconstruction,restoration,or replacement is of such importance and
urgency that it cannot reasonably be deferred pending the enactment of specific
authorizing legislation or the making of an appropriation for such purposes, or
the obtaining of congressional committee approval.
(b) AVAILABILITY OF FUNDS APPROPRIATED TO AGENCY FOR REPAIR,RECONSTRUCTION,RESTORATION,
OR REPLACEMENT OF AGENCY FACILITIES - In order to carry out the provisions of this
section, such repair, reconstruction, restoration, or replacement may be begun
notwithstanding a lack or an insufficiency of funds appropriated for such purpose,
where such lack or insufficiency can be remedied by the transfer, in accordance
with law,of funds appropriated to that agency for another purpose.
(c) STEPS FOR MrrIGATION OF HAZARDS - In implementing this section, Federal agencies
shall evaluate the natural hazards to which these facilities are exposed and shall
take appropriate action to mitigate such hazards, including safe land-use and
construction practices,in accordance with standards prescribed by the President.
Sec.406. Repair,Restoration,and Replacement of Damaged Facilities
(42 U.S.C.5172)
(a) CONTRIBUTIONS-
(1) IN GENERAL-The President may make contributions-
(A) to a State or local government for the repair,restoration,reconstruction,
or replacement of a public facility damaged or destroyed by a major
disaster and for associated expenses incurred by the government;and
(B) subject to paragraph (3), to a person that owns or operates a private
nonprofit facility damaged or destroyed by a major disaster for the
repair,restoration,reconstruction,or replacement of the facility and for
associated expenses incurred by the person.
(2) Assoc/am EXPENSES-For the purposes of this section,associated expenses shall
include-
(A) the costs of mobilizing and employing the National Guard for
performance of eligible work;
(B) the costs of using prison labor to perform eligible work, including
32
1601
STAFFORD ACT> TITLE IV>§406
wages actually paid, transportation to a worksite, and extraordinary
costs of guards, food, and lodging;and
(C) base and overtime wages for the employees and extra hires of a State,
local government, or person described in paragraph (1) that perform
eligible work,plus fringe benefits on such wages to the extent that such
benefits were being paid before the major disaster.
(3) CONDITIONS FOR ASSISTANCE TO PRIVATE NONPROFIT FACILITIES-
(A) IN GENERAL-The President may make contributions to a private nonprofit
facility under paragraph(1)(B) only if-
(i) the facility provides critical services (as defined by the President)
in the event of a major disaster;or
(ii) the owner or operator of the facility-
(I) has applied for a disaster loan under section 636(b) of title
15;'2 and
(II) (aa) has been determined to be ineligible for such a loan; or
(bb) has obtained such a loan in the maximum amount for
which the Small Business Administration determines the
facility is eligible.
(B) DEFINITION OF CRmcAI. SERVICES - In this paragraph, the term "critical
services" includes power, water (including water provided by an
irrigation organization or facility), sewer, wastewater treatment,
communications,education, and emergency medical care.
(4) NOTIFICATION To CONGRESS-Before making any contribution under this section
in an amount greater than$20,000,000,the President shall notify—
(A) the Committee on Environment and Public Works of the Senate;
(B) the Committee on Transportation and Infrastructure of the House of
Representatives;
(C) the Committee on Appropriations of the Senate;and
(D) the Committee on Appropriations of the House of Representatives.
(b) FEDERAL SHARE-
(I) MINIMUM FEDERAL SHARE - Except as provided in paragraph (2), the Federal
share of assistance under this section shall be not less than 75 percent of the
eligible cost of repair,restoration,reconstruction,or replacement carried out
under this section.
Note:Paragraph(2)takes effect after FEMA has promulgated an implementing regulation.
(2) REDUCED FEDERAL SHARE-The President shall promulgate regulations to reduce
22.Section 7(b)of the Small Business Act(15 U.S.C.636(b)).
33
r1
16c1
STAFFORD ACT>TITLE IV>§406
the Federal share of assistance under this section to not less than 25 percent
in the case of the repair, restoration, reconstruction, or replacement of
any eligible public facility or private nonprofit facility following an event
associated with a major disaster-
(A) that has been damaged,on more than one occasion within the preceding
10-year period,by the same type of event;and
(B) the owner of which has failed to implement appropriate mitigation
measures to address the hazard that caused the damage to the facility.
(C) LARGE IN-LIEU CONTRIBUTIONS-
(1) FOR PUBLIC FACILITIES-
(A) IN GENERAL.-In any case in which a State or local government determines
that the public welfare would not best be served by repairing,restoring,
reconstructing, or replacing any public facility owned or controlled
by the State or local government, the State or local government may
elect to receive, in lieu of a contribution under subsection (a)(1)(A)
of this section, a contribution in an amount equal to 90 percent of the
Federal share of the Federal estimate of the cost of repairing,restoring,
reconstructing,or replacing the facility and of management expenses.
(B) USE OF FUNDS-Funds contributed to a State or local government under
this paragraph may be used-
(i) to repair,restore,or expand other selected public facilities;
(ii) to construct new facilities; or
(iii) to fund hazard mitigation measures that the State or local
government determines to be necessary to meet a need for
governmental services and functions in the area affected by the
major disaster.
(C) LIMITATIONS-Funds made available to a State or local government under
this paragraph may not be used for-
(i) any public facility located in a regulatory floodway (as defined in
section 59.1 of title 44,Code of Federal Regulations(or a successor
regulation));or
(ii) any uninsured public facility located in a special flood hazard
area identified by the Administrator of the Federal Emergency
Management Agency under the National Flood Insurance Act of
1968 (42 U.S.C.4001 et seq.).
(2) FOR PRIVATE NONPROFIT FACILITIES-
(A) IN GENERAL-In any case in which a person that owns or operates a private
nonprofit facility determines that the public welfare would not best be
served by repairing,restoring,reconstructing, or replacing the facility,
the person may elect to receive,in lieu of a contribution under subsection
34
bc '
STAFFORD ACT> TITLE IV>§406
(a)(1)(B), a contribution in an amount equal to 75 percent of the
Federal share of the Federal estimate of the cost of repairing,restoring,
reconstructing, or replacing the facility and of management expenses.
(B) USE OF FUNDS-Funds contributed to a person under this paragraph may
be used-
(i) to repair, restore, or expand other selected private nonprofit
facilities owned or operated by the person;
(ii) to construct new private nonprofit facilities to be owned or
operated by the person; or
(iii) to fund hazard mitigation measures that the person determines to
be necessary to meet a need for the person's services and functions
in the area affected by the major disaster.
(C) LIMITATIONS-Funds made available to a person under this paragraph may
not be used for-
(i) any private nonprofit facility located in a regulatory floodway (as
defined in section 59.1 of title 44,Code of Federal Regulations(or
a successor regulation));or
(ii) any uninsured private nonprofit facility located in a special flood
hazard area identified by the Administrator of the Federal Emergency
Management Agency under the National Flood Insurance Act of
1968 (42 U.S.C.4001 et seq.).
(d) FLOOD INSURANCE-
(1) REDucnoN OF FEDEaAI.ASSISTANCE-If a public facility or private nonprofit facility
located in a special flood hazard area identified for more than 1 year by the
Administrator pursuant to the National Flood Insurance Act of 1968 (42
U.S.C.4001 et seq.) is damaged or destroyed, after the 180th day following
November 23, 1988,by flooding in a major disaster and such facility is not
covered on the date of such flooding by flood insurance,the Federal assistance
which would otherwise be available under this section with respect to repair,
restoration, reconstruction, and replacement of such facility and associated
expenses shall be reduced in accordance with paragraph(2).
(2) AMOUNT OF REDucnoN-The amount of a reduction in Federal assistance under
this section with respect to a facility shall be the lesser of-
(A) the value of such facility on the date of the flood damage or
destruction,or
(B) the maximum amount of insurance proceeds which would have been
• payable with respect to such facility if such facility had been covered
by flood insurance under the National Flood Insurance Act of 1968 on
such date.
(3) ExcrxiloN - Paragraphs (1) and (2) shall not apply to a private nonprofit
35
STAFFORD ACT>TITLE IV>§406
facility which is not covered by flood insurance solely because of the local
government's failure to participate in the flood insurance program established
by the National Flood Insurance Act.
(4) DISSEMINATION OF INFORMATION - The President shall disseminate information
regarding the reduction in Federal assistance provided for by this subsection
to State and local governments and the owners and operators of private
nonprofit facilities who may be affected by such a reduction.
Note:The following version of subsection (e) remains in effect until the cost estimation procedures
established under paragraph (3) of the revised version of subsection 406(e)—see next subsection—
take effect.
(e) NET ELIGIBLE Cosi—
(1) GENERAL RULE—For purposes of this section, the cost of repairing,restoring,
reconstructing,or replacing a public facility or private nonprofit facility on the
basis of the design of such facility as it existed immediately prior to the major
disaster and in conformity with current applicable codes,specifications, and
standards (including floodplain management and hazard mitigation criteria
required by the President or by the Coastal Barrier Resources Act (16 U.S.C.
3501 et seq.))shall,at a minimum,be treated as the net eligible cost of such
repair,restoration,reconstruction,or replacement.
(2) SPECIAL RULE — In any case in which the facility being repaired, restored,
reconstructed,or replaced,under this section was under construction on the
dated of the major disaster, the cost of repairing, restoring, reconstruction,
or replacing such facility shall include, for purposes of this section, only
those costs which,under the contract for such construction, are the owner's
responsibility and not the contractor's responsibility.
Note:The following version of subsection 406(e)(1) and (2) becomes effective when the procedures
established by paragraph(3)of this subsection take effect.Subsection 406(e)(4)is currently in effect.
(e) ELIGIBLE COST-
(1) DETERMINATION-
(A) IN GENERAL-For the purposes of this section,the President shall estimate
the eligible cost of repairing, restoring, reconstructing, or replacing a
public facility or private nonprofit facility--
(i) on the basis of the design of the facility as the facility existed
immediately before the major disaster;and
(ii) in conformity with codes,specifications,and standards (including
floodplain management and hazard mitigation criteria required
by the President or under the Coastal Barrier Resources Act (16
U.S.C. 3501 et seq.)) applicable at the time at which the disaster
occurred.
36
0[1
1
STAFFORD ACT> TITLE IV>§406
(B) COST ESTIMATION PROCEDURES-
(i) IN GENERAL- Subject to paragraph (2), the President shall use the
cost estimation procedures established under paragraph (3) to
determine the eligible cost under this subsection.
(ii) APPucAaturY - The procedures specified in this paragraph and
paragraph(2)shall apply only to projects the eligible cost of which
is equal to or greater than the amount specified in section 5189 of
this title[Section 422].
(2) MODIFICATION OF ELIGIBLE COST-
(A) ACTUAL COST GREATER THAN CEILING PERCENTAGE OF ESTIMATED COST - In any
case in which the actual cost of repairing, restoring, reconstructing,
or replacing a facility under this section is greater than the ceiling
percentage established under paragraph(3)of the cost estimated under
paragraph(1),the President may determine that the eligible cost includes
a portion of the actual cost of the repair,restoration,reconstruction,or
replacement that exceeds the cost estimated under paragraph(1).
(B) ACTUAL COST LESS THAN ESTIMATED COST-
(i) GREATER THAN OR EQUAL TO FLOOR PERCENTAGE OF ESTIMATED COST-In any
case in which the actual cost of repairing,restoring,reconstructing,
or replacing a facility under this section is less than 100 percent of
the cost estimated under paragraph(1),but is greater than or equal
to the floor percentage established under paragraph(3) of the cost
estimated under paragraph (1), the State or local government or
person receiving funds under this section shall use the excess funds
to carry out cost-effective activities that reduce the risk of future
damage,hardship,or suffering from a major disaster.
(ii) LESS THAN FLOOR PERCENTAGE OF ESTIMATED COST-In any case in which
the actual cost of repairing,restoring,reconstructing,or replacing
a facility under this section is less than the floor percentage
established under paragraph (3) of the cost estimated under
paragraph (1), the State or local government or person receiving
assistance under this section shall reimburse the President in the
amount of the difference.
(C) No EFFECT ON APPEALS PROCESS-Nothing in this paragraph affects any right
of appeal under section 5189a of this title[Section 423].
(3) EXPERT PANEL-
(A) ESTABLISHMENT - Not later than 18 months after October 30, 2000, the
President,'acting through the Administrator of the Federal Emergency
Management Agency, shall establish an expert panel, which shall
include representatives from the construction industry and State and
local government.
37
(1..t)(;)
l 6c
STAFFORD ACT> TITLE IV>§§406-407
(B) DUTIES-The expert panel shall develop recommendations concerning-
(i) procedures for estimating the cost of repairing, restoring,
reconstructing, or replacing a facility consistent with industry
practices;and
(ii) the ceiling and floor percentages referred to in paragraph(2).
(C) REGULATIONS - Taking into account the recommendations of the
expert panel under subparagraph (B), the President shall promulgate
regulations that establish- -
(i) cost estimation procedures described in subparagraph (B)(i);and
(ii) the ceiling and floor percentages referred to in paragraph(2).
(D) REVIEW BY PRESIDENT-Not later than 2 years after the date of promulgation
of regulations under subparagraph (C) and periodically thereafter, the
President shall review the cost estimation procedures and the ceiling
and floor percentages established under this paragraph.
(E) REPORT TO CONGRESS-Not later than 1 year after the date of promulgation
of regulations under subparagraph (C), 3 years after that date, and at
the end of each 2-year period thereafter, the expert panel shall submit
to Congress a report on the appropriateness of the cost estimation
procedures.
(4) SPECIAL RULE - In any case in which the facility being repaired, restored,
reconstructed, or replaced under this section was under construction on the
date of the major disaster, the cost of repairing, restoring, reconstructing,
or replacing the facility shall include, for the purposes of this section, only
those costs that, under the contract for the construction, are the owner's
responsibility and not the contractor's responsibility.
Sec.407. Debris Removal(42 U.S.C.5173)
(a) PRESDENTIAL AUTHORITY - The President, whenever he determines it to be in the
public interest,is authorized-
(1) through the use of Federal departments, agencies, and instrumentalities, to
clear debris and wreckage resulting from a major disaster from publicly and
privately owned lands and waters;and
(2) to make grants to any State or local government or owner or operator of a
private non-profit facility for the purpose of removing debris or wreckage
resulting from a major disaster from publicly or privately owned lands and
waters.
(b) AUTHORIZATION BY STATE OR LOCAL GOVERNMENT; INDEMNIFICATION AGREEMENT - No
authority under this section shall be exercised unless the affected State or local
government shall first arrange an unconditional authorization for removal of such
debris or wreckage from public and private property,and,in the case of removal
of debris or wreckage from private property, shall first agree to indemnify the
38
0
16C 1
STAFFORD ACT>TITLE IV>§§407-408
Federal Government against any claim arising from such removal.
(c) RULES RELATING ro LARGE LOTS - The President shall issue rules which provide for
recognition of differences existing among urban, suburban, and rural lands in
implementation of this section so as to facilitate adequate removal of debris and
wreckage from large lots.
(d) FEDERAL SHARE-The Federal share of assistance under this section shall be not less
than 75 percent of the eligible cost of debris and wreckage removal carried out
under this section.
(e) EXPEDITED PAYMENTS-
(1) GRANT ASSISTANCE—In making a grant under subsection (a)(2), the President
shall provide not less than 50 percent of the President's initial estimate of
the Federal share of assistance as an initial payment in accordance with
paragraph (2).
(2) DATE OF PAYMENT — Not later than 60 days after the date of the estimate
described in paragraph(1)and not later than 90 days after the date on which
the State or local government or owner or operator of a private nonprofit
facility applies for assistance under this section,an initial payment described
in paragraph (1) shall be paid.
Sec. 408. Federal Assistance to Individuals and Households(42 U.S.C.5174)*
(a) IN GENERAL-
(1) PROVISION OF ASSISTANCE - In accordance with this section, the President, in
consultation with the Governor of a State, may provide financial assistance,
and, if necessary, direct services, to individuals and households in the State
who, as a direct result of a major disaster, have necessary expenses and
serious needs in cases in which the individuals and households are unable to
meet such expenses or needs through other means.
(2) RELATIONSHIP TO OTHER.ASSISTANCE - Under paragraph (1), an individual or
household shall not be denied assistance under paragraph (1), (3), or (4)
of subsection (c) of this section solely on the basis that the individual or
household has not applied for or received any loan or other financial assistance
from the Small Business Administration or any other Federal agency.
(b) HOUSING ASSISTANCE.-
(1) ELIGIeu.rrr - The President may provide financial or other assistance under
this section to individuals and households to respond to the disaster-related
housing needs of individuals and households who are displaced from their
predisaster primary residences or whose predisaster primary residences are
rendered uninhabitable, or with respect to individuals with disabilities,
rendered inaccessible or uninhabitable, as a result of damage caused by a
major disaster.
39
ioc
STAFFORD ACT>TITLE IV>§408
(2) DETERMINATION OF APPROPRIATE TYPES OF ASSISTANCE-
(A) IN GENERAL - The President shall determine appropriate types of
housing assistance to be provided under this section to individuals and
households described in subsection (a)(1) based on considerations of
cost effectiveness, convenience to the individuals and households, and
such other factors as the President may consider appropriate.
(B) MULTIPLE TYPES OF ASSISTANCE - One or more types of housing assistance
may be made available under this section,based on the suitability and
availability of the types of assistance, to meet the needs of individuals
and households in the particular disaster situation.
(C) TYPES OF HOUSING ASSISTANCE-
(1) TEMPORARY HOUSING-
(A) FINANCIAL ASSISTANCE-
(i) IN GENERAL - The President may provide financial assistance to
individuals or households to rent alternate housing accommodations,
existing rental units,manufactured housing,recreational vehicles,
or other readily fabricated dwellings.Such assistance may include
the payment of the cost of utilities,excluding telephone service.
(ii) AMOUNT-The amount of assistance under clause(i)shall be based
on the fair market rent for the accommodation provided plus the
cost of any transportation, utility hookups, security deposits, or
unit installation not provided directly by the President.
(B) DIRECT ASSISTANCE-
(i) IN GENERAL-The President may provide temporary housing units,
acquired by purchase or lease,directly to individuals or households
who, because of a lack of available housing resources, would
be unable to make use of the assistance provided under
subparagraph(A).
(ii) LEASE AND REPAIR OF RENTAL UNITS FOR TEMPORARY HOUSING-
(I)IN GENERAL-The President,to the extent the President determines
it would be a cost-effective alternative to other temporary
housing options,may-
(aa) enter into lease agreements with owners of multifamily
rental property located in areas covered by a major
disaster declaration to house individuals and households
eligible for assistance under this section; and
(bb)make repairs or improvements to properties under such
lease agreements, to the extent necessary to serve as safe
and adequate temporary housing.
(II)IMPRovEMENTS OR REPAIRS-Under the terms of any lease agreement
40
16C 1
STAFFORD ACT> TITLE IV>§408
for property entered into under this subsection, the value of
the improvements or repairs-
(aa) shall be deducted from the value of the lease agreement;
and
(bb) may not exceed the value of the lease agreement.
(iii) PERIOD OF ASSISTANCE-The President may not provide direct assistance
under clause (i) with respect to a major disaster after the end of
the 18-month period beginning on the date of the declaration
of the major disaster by the President, except that the President
may extend that period if the President determines that due to
extraordinary circumstances an extension would be in the public
interest.
(iv) COLLECTION OF RENTAL CHARGES-After the end of the 18-month period
referred to in clause(iii),the President may charge fair market rent
for each temporary housing unit provided.
(2) REPAIRS-
(A) IN GENERAL -The President may provide financial assistance for-
(i) the repair of owner-occupied private residences, utilities, and
residential infrastructure (such as a private access route) damaged
by a major disaster to a safe and sanitary living or functioning
condition; and -
(ii) eligible hazard mitigation measures that reduce the likelihood of
future damage to such residences,utilities,or infrastructure.
(B) 'RELATIONSHIP TO OTHER ASSISTANCE - A recipient of assistance provided
under this paragraph shall not be required to show that the assistance
can be met through other means,except insurance proceeds.
(3) REPLACEMENT-
(A) IN GENERAL - The President may provide financial assistance for the
replacement of owner-occupied private residences damaged by a major
disaster.
(B) APPLICABILITY OF FLOOD INSURANCE REQUIREMENT-With respect to assistance
provided under this paragraph, the President may not waive any
provision of Federal law requiring the purchase of flood insurance as a
condition of the receipt of Federal disaster assistance.
(4) PERMANENT HOUSING CONSTRUCTION - The President may provide financial
assistance or direct assistance to individuals or households to construct
permanent or semi-permanent housing in insular areas outside the continental
United States and in other locations in cases in which-
(A) no alternative housing resources are available;and
41
STAFFORD ACT> TITLE IV>§408
(B) the types of temporary housing assistance described in paragraph (1)
are unavailable,infeasible,or not cost-effective.
(d) TERMS AND CONDITIONS RELATING TO HOUSING ASSISTANCE-
(1) Sims-
(A) IN GENERAL-Any readily fabricated dwelling provided under this section
shall,whenever practicable,be located on a site that-
(i) is complete with utilities;
(ii) meets the physical accessibility requirements for individuals with
disabilities;and
(iii) is provided by the State or local government,by the owner of the
site, or by the occupant who was displaced by the major disaster.
(B) Slrss PRovmED BY THE PRESIDENT - A readily fabricated dwelling may be
located on a site provided by the President if the President determines
that such a site would be more economical or accessible.
(2) DISPOSAL OF UNITS-
(A) SALE TO OCCUPANTS-
(i) IN GENERAL - Notwithstanding any other provision of law, a
temporary housing unit purchased under this section by the
President for the purpose of housing disaster victims may be sold
directly to the individual or household who is occupying the unit
if the individual or household lacks permanent housing.
(ii) SALE PRICE-A sale of a temporary housing unit under clause(i)shall
be at a price that is fair and equitable.
(iii) DEPosrr OF PROCEEDS-Notwithstanding any other provision of law,
the proceeds of a sale under clause (i) shall be deposited in the
appropriate Disaster Relief Fund account.
(iv) HAZARD AND FLOOD INSURANCE- A sale of a temporary housing unit
under clause(i)shall be made on the condition that the individual
or household purchasing the housing unit agrees to obtain and
maintain hazard and flood insurance on the housing unit.
(v) USE OF GSA SERVICES - The President may use the services of
the General Services Administration to accomplish a sale under
clause(i).
(B) OTHER METHODS OF DISPOSAL-If not disposed of under subparagraph (A),
a temporary housing unit purchased under this section by the President
for the purpose of housing disaster victims-
(i) may be sold to any person;or
(ii) may be sold, transferred, donated, or otherwise made available
directly to a State or other governmental entity or to a voluntary
42
0
1 C
STAFFORD ACT>TITLE IV>§408
organization for the sole purpose of providing temporary
housing to disaster victims in major disasters and emergencies if,
as a condition of the sale, transfer, or donation, the State, other
governmental agency,or voluntary organization agrees-
(I) to comply with the nondiscrimination provisions of section
5151 of this tide [Section 308];and
(II) to obtain and maintain hazard and flood insurance on the
housing unit.
(e) FINANCIAL ASSISTANCE TO ADDRESS OTHER NEEDS-
(1) MEDICAL, DENTAL, CHILD CARE, AND FUNERAL EXPENSES - The President, in
consultation with the Governor of a State, may provide financial assistance
under this section to an individual or household in the State who is adversely
affected by a major disaster to meet disaster-related medical, dental, child
care, and funeral expenses.
(2) PERSONAL PROPERTY, TRANSPORTATION, AND OTHER EXPENSES - The President, in
consultation with the Governor of a State, may provide financial assistance
under this section to an individual or household described in paragraph (1)
to address personal property,transportation,and other necessary expenses or
serious needs resulting from the major disaster.
(f) STATE ROLE-
(1) FINANCIAL ASSISTANCE TO ADDRESS OTHER NEEDS-
(A) GRANT TO STATE - Subject to subsection (g) of this section, a Governor
may request a grant from the President to provide financial assistance
to individuals and households in the State under subsection (e) of this
section.
(B) ADMINISTRATIVE Cosrs-A State that receives a grant under subparagraph
(A)may expend not more than 5 percent of the amount of the grant for
the administrative costs of providing financial assistance to individuals
and households in the State under subsection(e) of this section.
(2) ACCESS TO RECORDS - In providing assistance to individuals and households
under this section,the President shall provide for the substantial and ongoing
involvement of the States in which the individuals and households are
located, including by providing to the States access to the electronic records
of individuals and households receiving assistance under this section in order
for the States to make available any additional State and local assistance to the
individuals and households.
(g) COST SHARING-
(1) FEDERAL SHARE-Except as provided in paragraph (2), the Federal share of the
costs eligible to be paid using assistance provided under this section shall be
100 percent.
43
v
1 6 C 1
STAFFORD ACT>TITLE IV>§§408, 410
(2) FINANCIAL ASSISTANCE To ADDRESS OTHER NEEDS-In the case of financial assistance
provided under subsection(e) of this section-
(A) the Federal share shall be 75 percent;and
(B) the non-Federal share shall be paid from funds made available by the
State.
(h) MAXIMUM AMOUNT OF ASSISTANCE-
(1) IN GENERAL - No individual or household shall receive financial assistance
greater than $25,000 under this section with respect to a single major
disaster.
(2) ADJUSTMENT OF LIMrr - The limit established under paragraph (1) shall be
adjusted annually to reflect changes in the Consumer Price Index for All
Urban Consumers published by the Department of Labor.
(i) VERIFICATION MEASURES - In carrying out this section, the President shall develop a
system, including an electronic database, that shall allow the President, or the
designee of the President, to-
(1) verify the identity and address of recipients of assistance under this section to
provide reasonable assurance that payments are made only to an individual
or household that is eligible for such assistance;
(2) minimize the risk of making duplicative payments or payments for fraudulent
claims under this section;
(3) collect any duplicate payment on a claim under this section, or reduce the
amount of subsequent payments to offset the amount of any such duplicate
payment;
(4) provide instructions to recipients of assistance under this section regarding
the proper use of any such assistance, regardless of how such assistance is
distributed; and
(5) conduct an expedited and simplified review and appeal process for an
individual or household whose application for assistance under this section
is denied.
(j) Rums AND REGULATIONS-The President shall prescribe rules and regulations to carry
out this section, including criteria, standards, and procedures for determining
eligibility for assistance.
Sec. 410. Unemployment Assistance(42 U.S.C.5177)
(a) BENEFrr ASSISTANCE - The President is authorized to provide to any individual
unemployed as a result of a major disaster such benefit assistance as he deems
appropriate while such individual is unemployed for the weeks of such
unemployment with respect to which the individual is not entitled to any other
unemployment compensation (as that term is defined in section 85(b) of tide
44
160 1
STAFFORD ACT> TITLE IV>§410, 42 U.S.C.§5177a
26)23 or a waiting period credit.Such assistance as the President shall provide shall
be available to an individual as long as the individual's unemployment caused by
the major disaster continues or until the individual is reemployed in a suitable
position, but no longer than 26 weeks after the major disaster is declared. Such
assistance for a week of unemployment shall not exceed the maximum weekly
amount authorized under the unemployment compensation law of the State in
which the disaster occurred.The President is directed to provide such assistance
through agreements with States which,in his judgment,have an adequate system
for administering such assistance through existing State agencies.
(b) REEMPLOYMENT ASSISTANCE
(I) STATE ASSISTANCE - A State shall provide, without reimbursement from any
funds provided under this Act, reemployment assistance services under any
other law administered by the State to individuals receiving benefits under
this section.
(2) FEDERAL ASSISTANCE - The President may provide reemployment assistance
services under other laws to individuals who are unemployed as a result
of a major disaster and who reside in a State which does not provide such
services.
Emergency Grants to Assist Low-Income Migrant and Seasonal Farmworkers
(42 U.S.C.5177a)24
(a) IN GENERAL- The Secretary of Agriculture may make grants to public agencies or
private organizations with tax exempt status under section 501(c)(3) of title
26, that have experience in providing emergency services to low-income migrant
and seasonal farmworkers where the Secretary determines that a local, State
or national emergency or disaster has caused low-income migrant or seasonal
farmworkers to lose income, to be unable to work, or to stay home or return
home in anticipation of work shortages. Emergency services to be provided with
assistance received under this section may include such types of assistance as the
Secretary of Agriculture determines to be necessary and appropriate.
(b) "Low-INCOME MIGRANT OR SEASONAL FARMwORKER" DEFINED - For the purposes of
this section, the term "low-income migrant or seasonal farmworker" means an
individual-
(1) who has, during any consecutive 12 month period within the preceding 24
month period,performed farm work for wages;
(2) who has received not less than one-half of such individual's total income,or
been employed at least one-half of total work time in farm work;and
(3) whose annual family income within the 12 month period referred to in
paragraph(1) does not exceed the higher of the poverty level or 70 percent
of the lower living standard income level.
23.The Internal Revenue Code of 1986.
24.This section was enacted as part of the Food,Agriculture,Conservation,and Trade Act of 1990,
and not as part of the Robert T.Stafford Disaster Relief and Emergency Assistance Act.
45
O
16c 1
STAFFORD ACT> TITLE IV>§§412-414.
(c) AurxoluzArfoN OF APPROPRIATIONS - There are authorized to be appropriated such
sums as may be necessary to carry out this section.
Sec. 412.Benefits and Distribution (42 U.S.C.5179)
(a) PERSONS ELIGIBLE; TERMS AND CONDITIONS - Whenever the President determines that,
as a result of a major disaster, low-income households are unable to purchase
adequate amounts of nutritious food, he is authorized, under such terms and
conditions as he may prescribe,to distribute through the Secretary of Agriculture
or other appropriate agencies benefit allotments to such households pursuant to
the provisions of the Food and Nutrition Act of 2008 of 196425(P.L. 91-671; 84
Stat. 2048) [7 U.S.C. 2011 et seq.] and to make surplus commodities available
pursuant to the provisions of this Act.
(b) DURATION OF ASSISTANCE; FAcroRs CONSIDERED - The President, through the Secretary
of Agriculture or other appropriate agencies, is authorized to continue to make
such benefit allotments and surplus commodities available to such households
for so long as he determines necessary, taking into consideration such factors as
he deems appropriate, including the consequences of the major disaster on the
earning power of the households,to which assistance is made available under this
section.
(c) FOOD AND NUTRITION Acr PROVISIONS UNAFFECTED - Nothing in this section shall be
construed as amending or otherwise changing the provisions of the Food and
Nutrition Act of 2008 of 196426 [7 U.S.C. 2011 et seq.] except as they relate to
the availability of supplemental nutrition assistance program benefits in an area
affected by a major disaster.
Sec. 413. Food Commodities(42 U.S.C.5180)
(a) EMERGENCY MASS FEEDING - The President is authorized and directed to assure that
adequate stocks of food will be ready and conveniently available for emergency
mass feeding or distribution in any area of the United States which suffers a major
disaster or emergency.
(b) FUNDS FOR PURCHASE OF FooD COMMODmEs-The Secretary of Agriculture shall utilize
funds appropriated under section 612c of tide 7, to purchase food commodities
necessary to provide adequate supplies for use in any area of the United States in
the event of a major disaster or emergency in such area.
Sec. 414. Relocation Assistance(42 U.S.C.5181)
Notwithstanding any other provision of law,no person otherwise eligible for any kind
of replacement housing payment under the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (P.L. 91-646) [42 U.S.C.4601 et seq.]shall
be denied such eligibility as a result of his being unable,because of a major disaster as
determined by the President,to meet the occupancy requirements set by such Act.
25.Typographical error in original.
26.Typographical error in original.
46
al
STAFFORD ACT>TITLE IV>§§415-417
Sec.415.Legal Services(42 U.S.C.5182)
Whenever the President determines that low-income individuals are unable to secure
legal services adequate to meet their needs as a consequence of a major disaster,
consistent with the goals of the programs authorized by this Act, the President shall
assure that such programs are conducted with the advice and assistance of appropriate
Federal agencies and State and local bar associations.
Sec.416.Crisis Counseling Assistance and Training(42 U.S.C.5183)
The President is authorized to provide professional counseling services, including
financial assistance to State or local agencies or private mental health organizations to
provide such services or training of disaster workers, to victims of major disasters in
order to relieve mental health problems caused or aggravated by such major disaster
or its aftermath.
Sec. 417. Community Disaster Loans(42 U.S.C.5184)
(a) IN GENERAL- The President is authorized to make loans to any local government
which may suffer a substantial loss of tax and other revenues as a result of a major
disaster, and has demonstrated a need for financial assistance in order to perform
its governmental functions.
(b) AMOUNT-The amount of any such loan shall be based on need,shall not exceed-
(1) 25 percent of the annual operating budget of that local government for
the fiscal year in which the major disaster occurs, and shall not exceed
$5,000,000;or
(2) if the loss of tax and other revenues of the local government as a result of the
major disaster is at least 75 percent of the annual operating budget of that
local government for the fiscal year in which the major disaster occurs, 50
percent of the annual operating budget of that local government for the fiscal
year in which the major disaster occurs,and shall not exceed$5,000,000.
(C) REPAYMENT-
(1) CANCELLATION - Repayment of all or any part of such loan to the extent that
revenues of the local government during the three full fiscal year period
following the major disaster are insufficient to meet the operating budget
of the local government, including additional disaster-related expenses of a
municipal operation character shall be cancelled.
(2) CONDrrION ON CONTINUING ELIGIBILITY-A local government shall not be eligible
for further assistance under this section during any period in which the local
government is in arrears with respect to a required repayment of a loan under
this section.
(d) EFFECT ON OTHER ASSISTANCE-Any loans made under this section shall not reduce or
otherwise affect any grants or other assistance under this Act.
47
c
1
STAFFORD ACT>TITLE IV>§§418-421
Sec. 418. Emergency Communications(42 U.S.C.5185)
The President is authorized during,or in anticipation of,an emergency or major disaster
to establish temporary communications systems and to make such communications
available to State and local government officials and other persons as he deems
appropriate.
Sec.419. Emergency Public Transportation(42 U.S.C.5186)
The President is authorized to provide temporary public transportation service in an area
affected by a major disaster to meet emergency needs and to provide transportation to
governmental offices, supply centers, stores, post offices, schools, major employment
centers,and such other places as may be necessary in order to enable the community to
resume its normal pattern of life as soon as possible.
Sec. 420. Fire Management Assistance(42 U.S.C.5187)
(a) IN GENERAL - The President is authorized to provide assistance, including grants,
equipment, supplies, and personnel, to any State or local government for the
mitigation, management, and control of any fire on public or private forest land
or grassland that threatens such destruction as would constitute a major disaster.
(b) COORDINATION wrrx STATE AND TRIBAL DEPARTMENTS OF FORESTRY-In providing assistance
under this section,the President shall coordinate with State and tribal departments
of forestry.
(c) ESSENTIAL ASSISTANCE-In providing assistance under this section, the President may
use the authority provided under section 5170b of this title[Section 403].
(d) RULES AND REGULATIONS-The President shall prescribe such rules and regulations as
are necessary to carry out this section.
Sec.421.Timber Sale Contracts(42 U.S.C.5188)
(a) Cosr-siARING ARRANGEMENT - Where an existing timber sale contract between the
Secretary of Agriculture or the Secretary of the Interior and a timber purchaser
does not provide relief from major physical change not due to negligence of the
purchaser prior to approval of construction of any section of specified road or
of any other specified development facility and, as a result of a major disaster, a
major physical change results in additional construction work in connection with
such road or facility by such purchaser with an estimated cost, as determined by
the appropriate Secretary, (1) of more than$ 1,000 for sales under one million
board feet, (2) of more than$1 per thousand board feet for sales of one to three
million board feet,or(3)of more than$3,000 for sales over three million board
feet,such increased construction cost shall be borne by the United States.
(b) CANCELLATION OF AurxoRrry-If the appropriate Secretary determines that damages
are so great that restoration,reconstruction,or construction is not practical under
the cost-sharing arrangement authorized by subsection(a)of this section,he may
allow cancellation of a contract entered into by his Department notwithstanding
contrary provisions therein.
48
1 60 1
STAFFORD ACT>TITLE IV>§§421-422
(c) PUBLIC NoricE OF SALE-The Secretary of Agriculture is authorized to reduce to seven
days the minimum period of advance public notice required by section 476 of
title 1627 in connection with the sale of timber from national forests,whenever the
Secretary determines that(1)the sale of such timber will assist in the construction
of any area of a State damaged by a major disaster, (2) the sale of such timber
will assist in sustaining the economy of such area, or(3) the sale of such timber
is necessary to salvage the value of timber damaged in such major disaster or to
protect undamaged timber.
(d) STATE GRANTS FOR REMOVAL OF DAMAGED TIMBER; REIMBURSEMENT OF EXPENSES LIMITED
TO SALVAGE VALUE OF REMOVED TIMBER- The President, when he determines it to be
in the public interest,is authorized to make grants to any State or local government
for the purpose of removing from privately owned lands timber damaged as
a result of a major disaster, and such State or local government is authorized
upon application, to make payments out of such grants to any person for
reimbursement of expenses actually incurred by such person in the removal of
damaged timber,not to exceed the amount that such expenses exceed the salvage
value of such timber.
Sec.422. Simplified Procedure(42 U.S.C.5189)*
(a) IN GENERAL-If the Federal estimate of the cost of-
(1) Repairing, restoring, reconstructing, or replacing under section 5172 of
this title [Section 406] any damaged or destroyed public facility or private
nonprofit facility,
(2) emergency assistance under section 5170b or 5192 of this title[Section 403-
or 502],or
(3) debris removed under section 5173 of this title[Section 407],
is less than $35,000 (or, if the Administrator has established a threshold under
subsection (b), the amount established under subsection (b)), the President (on
application of the State or local government or the owner or operator of the private
nonprofit facility)may make the contribution to such State or local government or
owner or operator under section 5170b,5172,5173,or 5192 of this title[Section
403,406,407,or 502],as the case may be,on the basis of such Federal estimate.
Such$35,000 amount or, if applicable, the amount established under subsection
(b),shall be adjusted annually to reflect changes in the Consumer Price Index for
All Urban Consumers published by the Department of Labor.
(b) THRESHOLD-
(1) REPORT- Not later than 1 year after January 29, 2013, the President, acting
through the Administrator of the Federal Emergency Management Agency
(in this section referred to as the"Administrator"),shall—
(A) complete an analysis to determine whether an increase in the threshold
for eligibility under subsection (a) is appropriate, which shall include
27.Section 476 of title 16 was repealed by Pub.L.94-588,§13,Oct.22,1976,90 Stat.2958.
49
16C1
STAFFORD ACT> TITLE IV>§§422-425
consideration of cost-effectiveness, speed of recovery, capacity of
grantees,past performance,and accountability measures;and
(B) submit to the Committee on Transportation and Infrastructure of the
House of Representatives and the Committee on Homeland Security
and Governmental Affairs of the Senate a report regarding the analysis
conducted under subparagraph (A).
(2) AMOUNT-After the Administrator submits the report required under paragraph
(1),the President shall direct the Administrator to
(A) immediately establish a threshold for eligibility under this section in an
appropriate count,without regard to chapter 5 of title 5;and
(B) adjust the threshold annually to reflect changes in the Consumer Price
Index for all Urban Consumers published by the Department of Labor.
(3) REVIEW - Not later than 3 years after the date on which the Administrator
establishes a threshold under paragraph(2),and every 3 years thereafter,the
President, acting through the Administrator, shall review the threshold for
eligibility under this section.
Sec.423.Appeals of Assistance Decisions(42 U.S.C.5189a)*
(a) RIGHT OF APPEAL - Any decision regarding eligibility for, from, or amount of
assistance under this title may be appealed within 60 days after the date on which
the applicant for such assistance is notified of the award or denial of award of such
assistance.
(b) PERIOD FOR DECISION-A decision regarding an appeal under subsection (a) of this
section shall be rendered within 90 days after the date on which the Federal official
designated to administer such appeals receives notice of such appeal.
(c) RULES - The President shall issue rules which provide for the fair and impartial
consideration of appeals under this section.
The Sandy Recovery Improvement Act of 2013 enacted a"Dispute Resolution Pilot Program"set out as a
note wider section 423(42 U.S.C.5189a).For the full text of this note,see page 79.
Sec. 424.Date of Eligibility; Expenses Incurred Before Date of Disaster
(42 U.S.C.5189b)
Eligibility for Federal assistance under this title shall begin on the date of the occurrence
of the event which results in a declaration by the President that a major disaster exists;
except that reasonable expenses which are incurred in anticipation of and immediately
preceding such event may be eligible for Federal assistance under this Act.
Sec.425.Transportation Assistance to Individuals and Households
(42 U.S.C.5189c)
The President may provide transportation assistance to relocate individuals displaced
50
16c 1
STAFFORD ACT>TITLE IV>§§426-427
from their predisaster primary residences as a result of an incident declared under this
Act or otherwise transported from their predisaster primary residences under section
5170b(a)(3) or 5192 of this title[Sections 403(a)(3)or 502],to and from alternative
locations for short or long-term accommodation or to return an individual or household
to their predisaster primary residence or alternative location, as determined necessary
by the President.
Sec.426.Case Management Services(42 U.S.C.5189d)
The President may provide case management services,including financial assistance,to
State or local government agencies or qualified private organizations to provide such
services, to victims of major disasters to identify and address unmet needs.
Sec. 427.Essential Service Providers(42 U.S.C.5189e)*28
(a) DEFINmoN-In this section, the term "essential service provider" means an entity
that-
(1) provides-
(A) telecommunications service;
(B) electrical power;
(C) natural gas;
(D) water and sewer services; or
(E) any other essential service, as determined by the President;
(2) is-
(A) a municipal entity;
(B) a nonprofit entity;or
(C) a private,for profit entity;and
(3) is contributing to efforts to respond to an emergency or major disaster.
(b) Atrrxoiuznnow FOR AccEssmum - Unless exceptional circumstances apply, in an
emergency or major disaster, the head of a Federal agency, to the greatest extent
practicable,shall not-
(1) deny or impede access to the disaster site to an essential service provider
whose access is necessary to restore and repair an essential service;or
(2) impede the restoration or repair of the services described in subsection
(a)(1).
28.Formerly labeled§425,as added Pub.L.109-347,title VI,§607,Oct.13,2006,120 Stat.1941;
renumbered§427,Pub.L.113-2,div.B,§1102(1),Jan.29,2013,127 Stat.39. This was the only
change to this section made by the Sandy Recovery Improvement Act of 2013.
51
16C 1
STAFFORD ACT> TITLE IV>§428
(c) IMPLQMENTATION-In implementing this section, the head of a Federal agency shall
follow all applicable Federal laws,regulation,and policies.
Sec. 428. Public Assistance Program Alternative Procedures(42 U.S.C.5189f)*
(a) APPROVAL OF PROJEcrs-The President,acting through the Administrator of the Federal
Emergency Management Agency, may approve projects under the alternative
procedures adopted under this section for any major disaster or emergency
declared on or after January 29, 2013. The Administrator may also apply the
alternate procedures adopted under this section to a major disaster or emergency
declared before enactment of this Act for which construction has not begun as of
the date of enactment of this Act.29
(b) ADOPnoN - The Administrator, in coordination with States, tribal and local
governments, and owners or operators of private nonprofit facilities, may
adopt alternative procedures to administer assistance provided under sections
5170b(a)(3)(A),5172,5173,and 5192(a)(5)of this title[Sections 403(a)(3)(A),
406, 407, and 502(a)(5)].
(c) GOALS oP PROCEDURES - The alternative procedures adopted under subsection (a)
shall further the goals of-
(1) reducing the costs to the Federal Government of providing such assistance;
(2) increasing flexibility in the administration of such assistance;
(3) expediting the provision of such assistance to a State, tribal or local
government,or owner or operator of a private nonprofit facility;and
(4) providing financial incentives and disincentives for a State, tribal or local
government, or owner or operator of a private nonprofit facility for the
timely and cost-effective completion of projects with such assistance.
(d) PARTICIPATION - Participation in the alternative procedures adopted under this
section shall be at the election of a State, tribal or local government,or owner or
operator of a private nonprofit facility consistent with procedures determined by
the Administrator. -
(e) MINIMUM PROCEDURES-The alternative procedures adopted under this section shall
include the following:
(1) For repair, restoration, and replacement of damaged facilities under section
5172 of this title [Section 406] -
(A) making grants on the basis of fixed estimates,if the State, tribal or local
government, or owner or operator of the private nonprofit facility
agrees to be responsible for any actual costs that exceed the estimate;
(B) providing an option for a State, tribal or local government, or owner
29.This probably means the date of enactment of Pub.L.113-2,enacted and approved on Jan.29,
2013.
52
(11
'
STAFFORD ACT> TITLE IV>§428
or operator of a private nonprofit facility to elect to receive an in-lieu
contribution,without reduction, on the basis of estimates of-
(i) the cost of repair, restoration, reconstruction, or replacement
of a public facility owned or controlled by the State, tribal or
local government or owner or operator of a private nonprofit
facility;and
(ii) management expenses;
(C) consolidating,to the extent determined appropriate by the Administrator,
the facilities of a State,tribal,or local government,or owner or operator
of a private nonprofit facility as a single project based upon the estimates
adopted under the procedures;
(D) if the actual costs of a project completed under the procedures are less
than the estimated costs thereof,the Administrator may permit a grantee
or subgrantee to use all or part of the excess funds for-
(i) cost-effective activities that reduce the risk of future damage,
hardship,or suffering from a major disaster;and
(ii) other activities to improve future Public Assistance operations
or planning;
(E) in determining eligible costs under section 5172 of this title [Section
406], the Administrator shall make available, at an applicant's request
and where the Administrator or the certified cost estimate prepared by
the applicant's professionally licensed engineers has estimated an eligible
Federal share for a project of at least$5,000,000,an independent expert
panel to validate the estimated eligible cost consistent with applicable
regulations and policies implementing this section; and
(F) in determining eligible costs under section 5172 of this title [Section
406],the Administrator shall,at the applicant's request,consider properly
conducted and certified cost estimates prepared by professionally
licensed engineers (mutually agreed upon by the Administrator and
the applicant), to the extent that such estimates comply with applicable
regulations,policy, and guidance.
(2) For debris removal under sections 5170b(a)(3)(A), 5173, and 5192(a)(5)
of this title[Sections 403(a)(3)(A), 407,and 502(a)(5)]-
(A) making grants on the basis of fixed estimates to provide financial
incentives and disincentives for the timely or cost-effective completion
if the State, tribal or local government, or owner or operator of the
private nonprofit facility agrees to be responsible to pay for any actual
costs that exceed the estimate;
(B) using a sliding scale for determining the Federal share for removal of
debris and wreckage based on the time it takes to complete debris and
wreckage removal;
53
I6CJ.
STAFFORD ACT> TITLE IV>§428
(C) allowing use of program income from recycled debris without offset to
the grant amount;
(D) reimbursing base and overtime wages for employees and extra hires of
a State, tribal or local government, or owner or operator of a private
nonprofit facility performing or administering debris and wreckage
removal;
(E) providing incentives to a State or tribal government to have a debris
management plan approved by the Administrator and have pre-qualified
1 or more debris and wreckage removal contractors before the date of
declaration of the major disaster;and
(F) if the actual costs of projects under subparagraph (A) are less than the
estimated costs of the project, the Administrator may permit a grantee
or subgrantee to use all or part of the excess funds for-
(i) debris management planning;
(ii) acquisition of debris management equipment for current or future
use;and
(iii) other activities to improve future debris removal operations, as
determined by the Administrator.
(f) WAIVER Aurxonrrr-Until such time as the Administrator promulgates regulations
to implement this section,the Administrator may-
(1) waive notice and comment rulemaking,if the Administrator determines the
waiver is necessary to expeditiously implement this section;and
(2) carry out the alternative procedures under this section as a pilot program.
(g) OVERTIME PAYMENTS-The guidelines for reimbursement for costs under subsection
(e)(2)(D)shall ensure that no State or local government is denied reimbursement
for overtime payments that are required pursuant to the Fair Labor Standards Act
of 1938 (29 U.S.C. 201 et seq.).
(h) REPORT-
(1) IN GENERAL-Not earlier than 3 years,and not later than 5 years,after January
29, 2013, the Inspector General of the Department of Homeland Security
shall submit to the Committee on Homeland Security and Governmental
Affairs of the Senate and the Committee on Transportation and Infrastructure
of the House of Representatives a report on the alternative procedures for the
repair,restoration,and replacement of damaged facilties under section 5172
of this title[Section 406] authorized under this section.
(2) CONTENTS-The report shall contain an assessment of the effectiveness of the
alternative procedures,including-
(A) whether the alternative procedures helped to improve the general speed
of disaster recovery;
(B) the accuracy of the estimates relied upon;
54
CU
6c
STAFFORD ACT>TITLE IV>§429
(C) whether the financial incentives and disincentives were effective;
(D) whether the alternative procedures were cost effective;
(E) whether the independent expert panel described in subsection(e)(1)(E)
was effective;and
(F) recommendations for whether the alternative procedures should be
continued and any recommendations for changes to the alternative
procedures.
Sec. 429. Unified Federal Review(42 U.S.C.5189g)*
(a) IN GENERAL-Not later than 18 months after January 29, 2013,and in consultation
with the Council on Environmental Quality and the Advisory Council on Historic
Preservation, the President shall 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.
(b) CoNTINTs - The review process established under this section shall include
mechanisms to expeditiously address delays that may occur during the
recovery from a major disaster and be updated, as appropriate, consistent with a
applicable law.
•
55
bc '
STAFFORD ACT>TITLE V>§501
Title V - Emergency Assistance Programs
Sec. 501. Procedure for Declaration(42 U.S.C.5191)*
(a) REQUEST AND DECLARATION - All requests for a declaration by the President that an
emergency exists shall be made by the Governor of the affected State.Such a request
shall be based on a finding that the situation is of such severity and magnitude
that effective response is beyond the capabilities of the State and the affected local
governments and that Federal assistance is necessary.As a part of such request,and
as a prerequisite to emergency assistance under this Act, the Governor shall take
appropriate action under State law and direct execution of the State's emergency
plan.The Governor shall furnish information describing the State and local efforts
and resources which have been or will be used to alleviate the emergency,and will
define the type and extent of Federal aid required. Based upon such Governor's
request, the President may declare that an emergency exists.
(b) CERTAIN EMERGENCIES INVOLVING FEDERAL PRIMARY RESPONSIBILITY - The President may
exercise any authority vested in him by section 5192 of this title or section 5193 of
this title[Sections 502 or 503]with respect to an emergency when he determines
that an emergency exists for which the primary responsibility for response rests
with the United States because the emergency involves a subject area for which,
under the Constitution or laws of the United States, the United States exercises
exclusive or preeminent responsibility and authority.In determining whether or
not such an emergency exists, the President shall consult the Governor of any
affected State,if practicable.The President's determination may be made without
regard to subsection(a)of this section.
(c) INDIAN TRIBAL GOVERNMENT REQUESTS-
(1) IN GENERAL-The Chief Executive of an affected Indian tribal government may
submit a request for a declaration by the President that an emergency exists
consistent with the requirements of subsection (a).
(2) REFERENCES - In implementing assistance authorized by the President under
this subchapter in response to a request of the Chief Executive of an affected
Indian tribal government for an emergency declaration,any reference in this
subchapter or subchapter III (except sections 5153 and 5165d of this title
[Sections 310 and 326]) to a State or the Governor of a State is deemed to
refer to an affected Indian tribal government or the Chief Executive of an
affected Indian tribal government,as appropriate.
(3) SAVINGS PROVISION -Nothing in this subsection shall prohibit an Indian tribal
government from receving assistance under this subchapter through a
declaration made by the President at the request of a State under subsection
(a) if the President does not make a declaration under this subsection for the
same incident.
56
loci
STAFFORD ACT> TITLE V>§502
Sec. 502. Federal Emergency Assistance(42 U.S.C.5192)
(a) SPECIFIED-In any emergency,the President may-
(1) direct any Federal agency, with or without reimbursement, to utilize its
authorities and the resources granted to it under Federal law (including
personnel, equipment, supplies, facilities, and managerial, technical and
advisory services) in support of State and local emergency assistance efforts
to save lives, protect property and public health and safety, and lessen or
avert the threat of a catastrophe, including precautionary evacuations;
(2) coordinate all disaster relief assistance (including voluntary assistance)
provided by Federal agencies, private organizations, and State and local
governments;
(3) provide technical and advisory assistance to affected State and local
governments for-
(A) the performance of essential community services;
(B) issuance of warnings of risks or hazards;
(C) public health and safety information, including dissemination of such
information; I
(D) provision of health and safety measures;and
(E) management, control, and reduction of immediate threats to public
health and safety;
(4) provide emergency assistance through Federal agencies;
(5) remove debris in accordance with the terms and conditions of section 5173
of this title[Section 407];
(6) provide assistance in accordance with section 5174 of this title [Section
408];
(7) assist State and local governments in the distribution of medicine,food,and
other consumable supplies,and emergency assistance;and
(8) provide accelerated Federal assistance and Federal support where necessary
to save lives, prevent human suffering, or mitigate severe damage, which
may be provided in the absence of a specific request and in which case the
President-
(A) shall, to the fullest extent practicable, promptly notify and coordinate
with a State in which such assistance or support is provided;and
(B) shall not,in notifying and coordinating with a State under subparagraph
(A), delay or impede the rapid deployment, use, and distribution of
critical resources to victims of an emergency.
57
ioc
STAFFORD ACT> TITLE V>§503
(b) GENERAL-Whenever the Federal assistance provided under subsection (a) of this
section with respect to an emergency is inadequate,the President may also provide
assistance with respect to efforts to save lives, protect property and public health
and safety,and lessen or avert the threat of a catastrophe,including precautionary
evacuations.
(c) GUIDELINES - The President shall promulgate and maintain guidelines to assist
Governors in requesting the declaration of an emergency in advance of a natural
or man-made disaster(including for the purpose of seeking assistance with special
needs and other evacuation efforts) under this section by defining the types of
assistance available to affected States and the circumstances under which such
requests are likely to be approved.
Sec. 503.Amount of Assistance(42 U.S.C.5193)
(a) FEDERAL SHARE-The Federal share for assistance provided under this title shall be
equal to not less than 75 percent of the eligible costs.
(b) LIMIT ON AMOUNT OF ASSISTANCE—
(1) IN GENERAL- Except as provided in paragraph (2), total assistance provided
under this title for a single emergency shall not exceed$5,000,000.
(2) ADDITIONAL ASSISTANCE - The limitation described in paragraph (1) may be
exceeded when the President determines that-
(A) continued emergency assistance is immediately required;
(B) there is a continuing and immediate risk to lives,property,public health
or safety;and
(C) necessary assistance will not otherwise be provided on a timely basis.
(3) REPORT-Whenever the limitation described in paragraph(1)is exceeded,the
President shall report to the Congress on the nature and extent of emergency
assistance requirements and shall propose additional legislation if necessary.
58
STAFFORD ACT>TITLE VI>§§601-602
Title VI - Emergency Preparedness
Sec. 601.Declaration of policy(42 U.S.C.5195)
The purpose of this title is to provide a system of emergency preparedness for
the protection of life and property in the United States from hazards and to vest
responsibility for emergency preparedness jointly in the Federal Government and the
States and their political subdivisions. The Congress recognizes that the organizational
structure established jointly by the Federal Government and the States and their political
subdivisions for emergency preparedness purposes can be effectively utilized to provide
relief and assistance to people in areas of the United States struck by a hazard. The
Federal Government shall provide necessary direction,coordination,and guidance,and
shall provide necessary assistance, as authorized in this title so that a comprehensive
emergency preparedness system exists for all hazards.
Sec. 602. Definitions(42 U.S.C.5195a)
(a) Dsm'moNs-For purposes of this title only:
(1) HAZARD - The term "hazard" means an emergency or disaster resulting
from—
(A) a natural disaster;or
(B) an accidental or man-caused event.
(2) NATURAL DISASTER-The term"natural disaster"means any hurricane,tornado,
storm,flood,high water,wind-driven water,tidal wave,tsunami,earthquake,
volcanic eruption, landslide, mudslide, snowstorm, drought, fire, or other
catastrophe in any part of the United States which causes, or which may
cause,substantial damage or injury to civilian property or persons.
(3) EMERGENCY PREPAREDNESS - The term "emergency preparedness" means all
those activities and measures designed or undertaken to prepare for or
minimize the effects of a hazard upon the civilian population, to deal with
the immediate emergency conditions which would be created by the hazard,
and to effectuate emergency repairs to, or the emergency restoration of,
vital utilities and facilities destroyed or damaged by the hazard. Such term
includes the following:
(A) Measures to be undertaken in preparation for anticipated hazards
(including the establishment of appropriate organizations, operational
plans, and supporting agreements, the recruitment and training of
personnel, the conduct of research, the procurement and stockpiling
of necessary materials and supplies, the provision of suitable warning
systems, the construction or preparation of shelters, shelter areas, and
control centers, and,when appropriate,the non-military evacuation of
the civilian population).
(B) Measures to be undertaken during a hazard(including the enforcement
59
.7
\_.0
1 60 1
STAFFORD ACT> TITLE VI>§§602-603
of passive defense regulations prescribed by duly established military
or civil authorities, the evacuation of personnel to shelter areas, the
control of traffic and panic,and the control and use of lighting and civil
communications).
(C) Measures to be undertaken following a hazard (including activities for
fire fighting,rescue,emergency medical,health and sanitation services,
monitoring for specific dangers of special weapons,unexploded bomb
reconnaissance,essential debris clearance,emergency welfare measures,
and immediately essential emergency repair or restoration of damaged
vital facilities).
(4) ORGANIZATIONAL EQUIPMENT - The term "organizational equipment" means
equipment determined by the Administrator to be necessary to an emergency
preparedness organization, as distinguished from personal equipment, and
of such a type or nature as to require it to be financed in whole or in part by
the Federal Government.Such term does not include those items which the
local community normally uses in combating local disasters, except when
required in unusual quantities dictated by the requirements of the emergency
preparedness plans.
(5) MATERIALS-The term"materials"includes raw materials,supplies,medicines,
equipment, component parts and technical information and processes
necessary for emergency preparedness.
(6) FACILITIES - The term "facilities", except as otherwise provided in this title,
includes buildings,shelters,utilities,and land.
(7) ADMINtsrBATOR - The term "Administrator" means the Administrator of the
Federal Emergency Management Agency.
(8) NEIGHBORING COUNTRIES- The term "neighboring countries" includes Canada
and Mexico.
(9) UNITED STATES AND STATES-The terms"United States " and "States" includes'
the several States,the District of Columbia,and territories and possessions of
the United States.
(10)STATE - The term "State" includes interstate emergency preparedness
authorities established under section 5196(h) of this title[Section 611(h)].
(b) CROSS REFERENCE - The terms "national defense" and "defense", as used in the
Defense Production Act of 1950 (50 U.S.C. App. 2061 et seq.), includes31
emergency preparedness activities conducted pursuant to this title.
Sec. 603.Administration of Title(42 U.S.C.5195b)
This title shall be carried out by the Administrator of the Federal Emergency Management
Agency.
30.Typographical error in original;should probably be"include."
31.Typographical error in original;should probably be"include."
60
e
Ions
STAFFORD ACT>TITLE VI>42 U.S.C.§5195c
Critical Infrastructures Protection(42 U.S.C.5195c)32
(a) SHORT TITLE-This section may be cited as the "Critical Infrastructures Protection
Act of 2001".
(b) FINDINGS-Congress makes the following findings:
(1) The information revolution has transformed the conduct of business and the
operations of government as well as the infrastructure relied upon for the
defense and national security of the United States.
(2) Private business,government,and the national security apparatus increasingly
depend on an interdependent network of critical physical and information
infrastructures, including telecommunications, energy, financial services,
water,and transportation sectors.
(3) A continuous national effort is required to ensure the reliable provision of
cyber and physical infrastructure services critical to maintaining the national
defense, continuity of government, economic prosperity,and quality of life
in the United States.
(4) This national effort requires extensive modeling and analytic capabilities
for purposes of evaluating appropriate mechanisms to ensure the stability
of these complex and interdependent systems, and to underpin policy
recommendations, so as to achieve the continuous viability and adequate
protection of the critical infrastructure of the Nation.
(c) POLICY OF THE UNrrEo STATES-It is the policy of the United States-
(1) that any physical or virtual disruption of the operation of the critical
infrastructure of the United States be rare, brief, geographically limited in
effect, manageable, and minimally detrimental to the economy,human and
government services,and national security of the United States;
(2) that actions necessary to achieve the policy stated in paragraph(1)be carried
out in a public-private partnership involving corporate and non-governmental
organizations;and
(3) to have in place a comprehensive and effective program to ensure the continuity
of essential Federal Government functions under all circumstances.
(d) ESTABLISHMENT OF NATIONAL COMPETENCE FOR CRmCAL INFRASTRUCTURE PROTECTION
(1) SUPPORT OF CRmCAL INFRASTRUCTURE PROTECTION AND CONTINUITY BY NATIONAL
INFRASTRUCTURE SIMULATION AND ANALYSIS CENTER-There shall be established the
National Infrastructure Simulation and Analysis Center (NISAC) to serve as
a source of national competence to address critical infrastructure protection
and continuity through support for activities related to counterterrorism,
threat assessment,and risk mitigation.
32.This section was enacted as the Critical Infrastructures Protection Act of 2001 and also as part of
the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Ob-
struct Terrorism Act of 2001 or USA PATRIOT Act,and not as part of the Robert T.Stafford Disaster
Relief and Emergency Assistance Act which comprises this chapter.
61
1 C 1
STAFFORD ACT>TITLE VI>42 U.S.C. §5195c,§611
(2) PARTICULAR SUPPORT-The support provided under paragraph(1) shall include
the following:
(A) Modeling, simulation, and analysis of the systems comprising critical
infrastructures, including cyber infrastructure, telecommunications
infrastructure, and physical infrastructure, in order to enhance
understanding of the large-scale complexity of such systems and to
facilitate modification of such systems to mitigate the threats to such
systems and to critical infrastructure generally.
(B) Acquisition from State and local governments and the private sector of
data necessary to create and maintain models of such systems and of
critical infrastructures generally.
(C) Utilization of modeling, simulation, and analysis under subparagraph
(A) to provide education and training to policymakers on matters
relating to-
(i) the analysis conducted under that subparagraph;
(ii) the implications of unintended or unintentional disturbances to
critical infrastructures; and
(iii) responses to incidents or crises involving critical infrastructures,
including the continuity of government and private sector activities
through and after such incidents or crises.
(D) Utilization of modeling, simulation, and analysis under subparagraph
(A) to provide recommendations to policymakers, and to departments
and agencies of the Federal Government and private sector persons and
entities upon request, regarding means of enhancing the stability of,
and preserving,critical infrastructures.
(3) RECIPIENT OF CERTAIN SUPPORT - Modeling, simulation, and analysis provided
under this subsection shall be provided, in particular, to relevant Federal,
State, and local entities responsible for critical infrastructure protection
and policy.
(e) CRLTICAI.INFRASTRUCTURE DEFINED- In this section, the term "critical infrastructure"
means systems and assets, whether physical or virtual, so vital to the United
States that the incapacity or destruction of such systems and assets would have a
debilitating impact on security,national economic security,national public health
or safety, or any combination of those matters.
(f) AUTHOruzmioN OF APPROPRIATIONS - There is hereby authorized for the Department
of Defense for fiscal year 2002, $20,000,000 for the Defense Threat Reduction
Agency for activities of the National Infrastructure Simulation and Analysis Center
under this section in that fiscal year.
62
■
STAFFORD ACT> TITLE VI>§611
SUBTITLE A- POWERS AND DUTIES
Sec. 611. Detailed Functions of Administration(42 U.S.C.5196)
(a) IN GENERAL - In order to carry out the policy described in section 5195 of this
title [Section 601], the Administrator shall have the authorities provided in this
section.
(b) FEDERAL EMERGENCY RESPONSE PLANS AND PROGRAMS - The Administrator may prepare
Federal response plans and programs for the emergency preparedness of the
United States and sponsor and direct such plans and programs. To prepare such
plans and programs and coordinate such plans and programs with State efforts,
the Administrator may request such reports on State plans and operations for
emergency preparedness as may be necessary to keep the President,Congress,and
the States advised of the status of emergency preparedness in the United States.
(c) DELEGATION OF EMERGENCY PREPAREDNESS RESPONSIBU.rnEs - With the approval of the
President, the Administrator may delegate to other departments and agencies of
the Federal Government appropriate emergency preparedness responsibilities and
review and coordinate the emergency preparedness activities of the departments
and agencies with each other and with the activities of the States and neighboring
countries.
(d) COMMUNICATIONS AND WARNINGS-The Administrator may make appropriate provision
for necessary emergency preparedness communications and for dissemination of
warnings to the civilian population of a hazard.
(e) EMERGENCY PREPAREDNESS MEASURES - The Administrator may study and develop
emergency preparedness measures designed to afford adequate protection of life
and property,including-
(1) research and studies as to the best methods of treating the effects of hazards;
(2) developing shelter designs and materials for protective covering or
construction;
(3) developing equipment or facilities and effecting the standardization thereof
to meet emergency preparedness requirements; and
(4) plans that take into account the needs of individuals with pets and service
animals prior to,during,and following a major disaster or emergency.
(f) TRAINING PROGRAMS-
(1) The Administrator may-
(A) conduct or arrange, by contract or otherwise, for training programs
for the instruction of emergency preparedness officials and other
persons in the organization, operation, and techniques of emergency
preparedness;
(B) conduct or operate schools or including the payment of travel expenses,
in accordance with subchapter I of chapter .57 of title 5 and the
63
16C1.
STAFFORD ACT>TITLE VI>§611
Standardized Government Travel Regulations,and per diem allowances,
in lieu of subsistence for trainees in attendance or the furnishing of
subsistence and quarters for trainees and instructors on terms prescribed
by the Administrator;and
(C) provide instructors and training aids as necessary.
(2) The terms prescribed by the Administrator for the payment of travel expenses
and per diem allowances authorized by this subsection shall include a
provision that such payment shall not exceed one-half of the total cost of
such expenses.
(3) The Administrator may lease real property required for the purpose of
carrying out this subsection,but may not acquire fee title to property unless
specifically authorized by law.
(g) Punic DISSEMINATION OP EMERGENCY PREPAREDNESS INFORMATION-The Administrator may
publicly disseminate appropriate emergency preparedness information by all
appropriate means.
(h) EMERGENCY PREPAREDNESS COMPACTS-
(1) The Administrator shall establish a program supporting the development
of emergency preparedness compacts for acts of terrorism, disasters, and
emergencies throughout the Nation, by-
(A) identifying and cataloging existing emergency preparedness compacts
for acts of terrorism, disasters, and emergencies at the State and local
levels of government;
(B) disseminating to State and local governments examples of best practices
in the development of emergency preparedness compacts and models
of existing emergency preparedness compacts, including agreements
involving interstate jurisdictions;and
(C) completing an inventory of Federal response capabilities for acts of
terrorism, disasters,and emergencies,making such inventory available
to appropriate Federal, State, and local government officials, and
ensuring that such inventory is as current and accurate as practicable.
(2) The Administrator may-
(A) assist and encourage the States to negotiate and enter into interstate
emergency preparedness compacts;
(B) review the terms and conditions of such proposed compacts in order
to assist, to the extent feasible, in obtaining uniformity between such
compacts and consistency with Federal emergency response plans and
programs;
(C) assist and coordinate the activities under such compacts;and
(D) aid and assist in encouraging reciprocal emergency preparedness
legislation by the States which will permit the furnishing of mutual aid
64
CD
16C1
STAFFORD ACT>TITLE VI>§611
for emergency preparedness purposes in the event of a hazard which
cannot be adequately met or controlled by a State or political subdivision
thereof threatened with or experiencing a hazard.
(3) A copy of each interstate emergency preparedness compact shall be
transmitted promptly to the Senate and the House of Representatives. The
consent of Congress is deemed to be granted to each such compact upon the
expiration of the 60-day period beginning on the date on which the compact
is transmitted to Congress.
(4) Nothing in this subsection shall be construed as preventing Congress from
disapproving, or withdrawing at any time its consent to, any interstate
emergency preparedness compact.
(i) MATERIALS AND FACILITIES-
(1) The Administrator may procure by condemnation or otherwise, construct,
lease,transport,store,maintain,renovate or distribute materials and facilities
for emergency preparedness, with the right to take immediate possession
thereof.
(2) Facilities acquired by purchase, donation, or other means of transfer may
be occupied, used, and improved for the purposes of this title before the
approval of title by the Attorney General as required by sections 3111 and
3112 of title 40 .
(3) The Administrator may lease real property required for the purpose of
carrying out the provisions of this subsection,but shall not acquire fee title
to property unless specifically authorized by law.
(4) The Administrator may procure and maintain under this subsection
radiological, chemical, bacteriological, and biological agent monitoring
and decontamination devices and distribute such devices by loan or grant
to the States for emergency preparedness purposes, under such terms and
conditions as the Administrator shall prescribe.
(j) FINANCIAL CONTRIBUTIONS-
(1) The Administrator may make financial contributions,on the basis of programs
or projects approved by the Administrator, to the States for emergency
preparedness purposes,including the procurement,construction,leasing,or
renovating of materials and facilities. Such contributions shall be made on
such terms or conditions as the Administrator shall prescribe, including the
method of purchase,the quantity,quality,or specifications of the materials or
facilities,and such other factors or care or treatment to assure the uniformity,
availability,and good condition of such materials or facilities.
(2) The Administrator may make financial contributions,on the basis of programs
or projects approved by the Administrator, to the States and local authorities
for animal emergency preparedness purposes, including the procurement,
construction, leasing, or renovating of emergency shelter facilities and
materials that will accommodate people with pets and service animals.
65
•
1601
STAFFORD ACT> TITLE VI>§611
(3) No contribution may be made under this subsection for the procurement of
land or for the purchase of personal equipment for State or local emergency
preparedness workers.
(4) The amounts authorized to be contributed by the Administrator to each State
for organizational equipment shall be equally matched by such State from
any source it determines is consistent with its laws.
(5) Financial contributions to the States for shelters and other protective facilities
shall be determined by taking the amount of funds appropriated or available
to the Administrator for such facilities in each fiscal year and apportioning
such funds among the States in the ratio which the urban population of the
critical target areas(as determined by the Administrator)in each State,at the
time of the determination,bears to the total urban population of the critical
target areas of all of the States.
(6) The amounts authorized to be contributed by the Administrator to each State
for such shelters and protective facilities shall be equally matched by such
State from any source it determines is consistent with its laws and, if not
matched within a reasonable time, the Administrator may reallocate such
amounts to other States under the formula described in paragraph(4).n The
value of any land contributed by any State or political subdivision thereof shall
be excluded from the computation of the State share under this subsection.
(7) The amounts paid to any State under this subsection shall be expended
solely in carrying out the purposes set forth herein and in accordance
with State emergency preparedness programs or projects approved by the
Administrator. The Administrator shall make no contribution toward the
cost of any program or project for the procurement,construction,or leasing
of any facility which (A) is intended for use, in whole or in part, for any
purpose other than emergency preparedness, and (B) is of such kind that
upon completion it will, in the judgment of the Administrator, be capable
of producing sufficient revenue to provide reasonable assurance of the
retirement or repayment of such cost; except that (subject to the preceding
provisions of this subsection) the Administrator may make a contribution to
any State toward that portion of the cost of the construction,reconstruction,
or enlargement of any facility which the Administrator determines to be
directly attributable to the incorporation in such facility of any feature of
construction or design not necessary for the principal intended purpose
thereof but which is,in the judgment of the Administrator necessary for the
use of such facility for emergency preparedness purposes.
(8) The Administrator shall submit to Congress a report, at least annually,
regarding all contributions made pursuant to this subsection.
(9) All laborers and mechanics employed by contractors or subcontractors in
the performance of construction work financed with the assistance of
any contribution of Federal funds made by the Administrator under this
33.This was redesignated paragraph(5)by Pub.L.109-308,§3(2),Oct.6,2006,120 Stat.1725.
66
"Th,.
r
16C 1
STAFFORD ACT>TITLE VI>§§612-613
subsection shall be paid wages at rates not less than those prevailing on
similar construction in the locality as determined by the Secretary of Labor
in accordance with sections 3141-3144, 3146, and 3147 of title 40, and
• every such employee shall receive compensation at a rate not less than one
and 1/2 times the basic rate of pay of the employee for all hours worked in
any workweek in excess of eight hours in any workday or 40 hours in the
workweek,as the case may be.The Administrator shall make no contribution
of Federal funds without first obtaining adequate assurance that these labor
standards will be maintained upon the construction work. The Secretary
of Labor shall have, with respect to the labor standards specified in this
subsection, the authority and functions set forth in Reorganization Plan
Numbered 14 of 1950 (5 U.S.C.App.) and section 3145 of title 40.
(k) SALE OR DISPOSAL of CERTAIN MATERIALS Arra FAc irrtsS-The Administrator may arrange
for the sale or disposal of materials and facilities found by the Administrator to
be unnecessary or unsuitable for emergency preparedness purposes in the same
manner as provided for excess property under chapters 1 to 11 of title 40 and
division C (except sections 3302, 3307(e), 3501(b), 3509, 4710, and 4711)
of subtitle I of title 41. Any funds received as proceeds from the sale or other
disposition of such materials and facilities shall be deposited into the Treasury as
miscellaneous receipts.
Sec.612.Mutual Aid Pacts Between States and Neighboring Countries
(42 U.S.C.5196a)
The Administrator shall give all practicable assistance to States in arranging, through
the Department of State, mutual emergency preparedness aid between the States and
neighboring countries.
Sec. 613.Contributions for Personnel and Administrative Expenses
(42 U.S.C.5196b)
(a) GENERAL AUTHORITY - To further assist in carrying out the purposes of this title,
the Administrator may make financial contributions to the States (including
interstate emergency preparedness authorities established pursuant to section
5196(h) of this title [Section 611(h)]) for necessary and essential State and local
emergency preparedness personnel and administrative expenses, on the basis of
approved plans (which shall be consistent with the Federal emergency response
plans for emergency preparedness) for the emergency preparedness of the States.
The financial contributions to the States under this section may not exceed one-
half of the total cost of such necessary and essential State and local emergency
preparedness personnel and administrative expenses.
(b) PLAN REQUIREMENTS-A plan submitted under this section shall-
(1) provide, pursuant to State law, that the plan shall be in effect in all political
subdivisions of the State and be mandatory on them and be administered or
supervised by a single State agency;
67
1601
STAFFORD ACT> TITLE VI>§613
(2) provide that the State shall share the financial assistance with that provided by
the Federal Government under this section from any source determined by it
to be consistent with State law;
(3) provide for the development of State and local emergency preparedness
operational plans, including a catastrophic incident annex, pursuant to
standards approved by the Administrator;
(4) provide for the employment of a full-time emergency preparedness director,
or deputy director,by the State;
(5) provide that the State shall make such reports in such form and content as the
Administrator may require;
(6) make available to duly authorized representatives of the Administrator and
the Comptroller General, books, records, and papers necessary to conduct
audits for the purposes of this section;and
(7) include a plan for providing information to the public in a coordinated
manner.
(C) CATASTROPHIC INCIDENT ANNEX-
(1) CONSISTENCY - A catastrophic incident annex submitted under subsection
(b)(3) shall be-
(A) modeled after the catastrophic incident annex of the National Response
Plan; and
(B) consistent with the national preparedness goal established under section
743 of title 6,34 the National Incident Management System,the National
Response Plan, and other related plans and strategies.
(2) CONSULTATION - In developing a catastrophic incident annex submitted
under subsection (b)(3), a State shall consult with and seek appropriate
comments from local governments, emergency response providers, locally
governed multijurisdictional councils of government,and regional planning
commissions.
(d) TERMS AND CoNDmoNs - The Administrator shall establish such other terms and
conditions as the Administrator considers necessary and proper to carry out
this section.
(e) APPLICATION OF OTHER PROVISIONS - In carrying out this section, the provisions of
section35 5196(h) and 5197(h) of this title [Sections 61 1(h) and 621(h)] shall
apply.
(f) ALLOCATION OF FUNDS-For each fiscal year concerned,the Administrator shall allocate •
to each State, in accordance with regulations and the total sum appropriated
under this title, amounts to be made available to the States for the purposes of
this section.Regulations governing allocations to the States under this subsection
34.Section 643 of the Post-Katrina Emergency Management Reform Act of 2006.
35.Typographical error in original;should probably be"sections.'
68
n
1
STAFFORD ACT>TITLE VI>§§613-615
shall give due regard to (1) the criticality of the areas which may be affected
by hazards with respect to the development of the total emergency preparedness
readiness of the United States, (2)the relative state of development of emergency
preparedness readiness of the State, (3) population, and(4)such other factors as
the Administrator shall prescribe.The Administrator may reallocate the excess of
any allocation not used by a State in a plan submitted under this section.Amounts
paid to any State or political subdivision under this section shall be expended
solely for the purposes set forth in this section.
(g) STANDARDS FOR STATE AND LOCAL EMERGENCY PREPAREDNESS OPERATIONAL PLANS-In approving
standards for State and local emergency preparedness operational plans pursuant to
subsection(b)(3),the Administrator shall ensure that such plans take into account
the needs of individuals with household pets and service animals prior to,during,
and following a major disaster or emergency.
(h) SUBMISSION OF PLAN - If a State fails to submit a plan for approval as required by
this section within 60 days after the Administrator notifies the States of the
allocations under this section, the Administrator may reallocate such funds, or
portions thereof, among the other States in such amounts as,in the judgment of
the Administrator, will best assure the adequate development of the emergency
preparedness capability of the United States.
(h) ANNUAL REPORTS - The Administrator shall report annually to the Congress all
contributions made pursuant to this section.36
Sec. 614.Grants for Construction of Emergency Operations Centers
(42 U.S.C.5196c)
(a) GRANTS - The Administrator of the Federal Emergency Management Agency
may make grants to States under this subchapter for equipping, upgrading, and
constructing State and local emergency operations centers.
(b) FEDERAL SHARE-Notwithstanding any other provision of this subchapter,the Federal
share of the cost of an activity carried out using amounts from grants made under
this section shall not exceed 75 percent.
Sec. 615. Use of Funds to Prepare for and Respond to Hazards
(42 U.S.C.5196d)
Funds made available to the States under this title may be used by the States for the
purposes of preparing for hazards and providing emergency assistance in response
to hazards. Regulations prescribed to carry out this section shall authorize the use of
emergency preparedness personnel, materials, and facilities supported in whole or in
part through contributions under this title for emergency preparedness activities and
measures related to hazards.
36.Typographical error In original;two sections"(h)"have been enacted.
69
16c1
STAFFORD ACT> TITLE VI>42 U.S.C.§5196e, §616
Radiological Emergency Preparedness Fund(42 U.S.C.5196e)37
There is hereby established in the Treasury a Radiological Emergency Preparedness
Fund, which shall be available under the Atomic Energy Act of 1954 [42 U.S.C. 2011
et seq.], as amended, and Executive Order 12657, for offsite radiological emergency
planning,preparedness,and response. Beginning in fiscal year 1999 and thereafter,the
Administrator of the Federal Emergency Management Agency(FEMA)shall promulgate
through rulemaking fees to be assessed and collected, applicable to persons subject
to FEMA's radiological emergency preparedness regulations. The aggregate charges
assessed pursuant to this section during fiscal year 1999 shall not be less than 100
percent of the amounts anticipated by FEMA necessary for its radiological emergency
preparedness program for such fiscal year. The methodology for assessment and
collection of fees shall be fair and equitable; and shall reflect costs of providing such
services,including administrative costs of collecting such fees. Fees received pursuant
to this section shall be deposited in the Fund as offsetting collections and will become
available for authorized purposes on October 1, 1999, and remain available until
expended.
Sec.616. Disaster Related Information Services(42 U.S.C.51960
(a) Ix GENERAL - Consistent with section 5151(a) of this title [Section 308(a)], the
Administrator of Federal'Emergency Management Agency shall-
(1) identify, in coordination with State and local governments, population
groups with limited English proficiency and take into account such groups in
planning for an emergency or major disaster;
(2) ensure that information made available to individuals affected by a
major disaster or emergency is made available in formats that can be
understood by-
(A) population groups identified under paragraph(1); and
(B) individuals with disabilities or other special needs; and
(3) develop and maintain an informational clearinghouse of model language
assistance programs and best practices for State and local governments in
providing services related to a major disaster or emergency.
(b) GROUP SrzE - For purposes of subsection (a), the Administrator of Federa139
Emergency Management Agency shall define the size of a population group.
37.This section was enacted as part of the Departments of Veterans Affairs and Housing and Urban
Development,and Independent Agencies Appropriations Act,1999,and not as part of the Robert T.
Stafford Disaster Relief and Emergency Assistance Act.
38.Typographical error in original;"the"should probably appear before"Federal."
39.Typographical error in original;"the"should probably appear before"Federal."
70
l
0
1 c1
STAFFORD ACT> TITLE VI>§621
SUBTITLE B —GENERAL PROVISIONS
Sec. 621.Administrative Authority(42 U.S.C.5197)
(a) IN GENERAL-For the purpose of carrying out the powers and duties assigned to the
Administrator under this title, the Administrator may exercise the administrative
authorities provided under this section.
(b) ADVISORY PERSONNEL-
(1) The Administrator may employ not more than 100 part-time or temporary
advisory personnel (including not to exceed 25 subjects of the United
Kingdom or citizens of Canada)as the Administrator considers to be necessary
in carrying out the provisions of this title.
(2) Persons holding other offices or positions under the United States for which
they receive compensation,while serving as advisory personnel,shall receive
no additional compensation for such service. Other part-time or temporary
advisory personnel so employed may serve without compensation or may
receive compensation at a rate not to exceed $180 for each day of service,
plus authorized subsistence and travel,as determined by the Administrator.
(c) SERVICES of Omsa AGENCY PERSONNEL AND VOLUNTEERS-The Administrator may-
(l) use the services of Federal agencies and,with the consent of any State or local
government,accept and use the services of State and local agencies;
(2) establish and use such regional and other offices as may be necessary;and
(3) use such voluntary and uncompensated services by individuals or organizations
as may from time to time be needed.
(d) Gins—Notwithstanding any other provision of law,the Administrator may accept
gifts of supplies,equipment,and facilities and may use or distribute such gifts for
emergency preparedness purposes in accordance with the provisions of this title.
(e) REI.1BURSEMENT-The Administrator may reimburse any Federal agency for any of
its expenditures or for compensation of its personnel and use or consumption of
its materials and facilities under this title to the extent funds are available.
(f) PRINTING-The Administrator may purchase such printing,binding,and blank-book
work from public,commercial, or private printing establishments or binderies as
the Administrator considers necessary upon orders placed by the Public Printer or
upon waivers issued in accordance with section 504 of title 44.
(g) RULES AND REGULATIONS-The Administrator may prescribe such rules and regulations
as may be necessary and proper to carry out any of the provisions of this title and
perform any of the powers and duties provided by this title. The Administrator
may perform any of the powers and duties provided by this title through or with
the aid of such officials of the Federal Emergency Management Agency as the
Administrator may designate.
71
•
1 6 12 1
STAFFORD ACT> TITLE VI>§§621-622
(h) FAILURE TO EXPEND CONTRIBUTIONS CORRECTLY-
(1) When, after reasonable notice and opportunity for hearing to the State or
other person involved,the Administrator finds that there is a failure to expend
funds in accordance with the regulations, terms, and conditions established
under this title for approved emergency preparedness plans, programs, or
projects, the Administrator may notify such State or person that further
payments will not be made to the State or person from appropriations under
this title (or from funds otherwise available for the purposes of this title for
any approved plan, program, or project with respect to which there is such
failure to comply)until the Administrator is satisfied that there will no longer
be any such failure.
(2) Until so satisfied, the Administrator shall either withhold the payment of
any financial contribution to such State or person or limit payments to those
programs or projects with respect to which there is substantial compliance
with the regulations, terms, and conditions governing plans, programs, or
projects hereunder.
(3) As used in this subsection, the term "person" means the political
subdivision of any State or combination or group thereof or any person,
corporation,association,or other entity of any nature whatsoever,including
instrumentalities of States and political subdivisions.
Sec. 622.Security Regulations(42 U.S.C.5197a)
(a) EsrABusto sarr - The Administrator shall establish such security requirements
and safeguards, including restrictions with respect to access to information and
property as the Administrator considers necessary.
(b) LIMITATION ON EMPLOYEE Access TO INFORMATION - No employee of the Federal
Emergency Management Agency shall be permitted to have access to information
or property with respect to which access restrictions have been established under
this section, until it shall have been determined that no information is contained
in the files of the Federal Bureau of Investigation or any other investigative agency
of the Government indicating that such employee is of questionable loyalty or
reliability for security purposes, or if any such information is so disclosed, until
the Federal Bureau of Investigation shall have conducted a full field investigation
concerning such person and a report thereon shall have been evaluated in writing
by the Administrator.
(c) NATIONAL SECURITY PosmoNs-No employee of the Federal Emergency Management
Agency shall occupy any position determined by the Administrator to be of critical
importance from the standpoint of national security until a full field investigation
concerning such employee shall have been conducted by the Director of the
Office of Personnel Management and a report thereon shall have been evaluated
in writing by the Administrator of the Federal Emergency Management Agency.
In the event such full field investigation by the Director of the Office of Personnel
Management develops any data reflecting that such applicant for a position of
72
i
STAFFORD ACT>TITLE VI>§§622-623
critical importance is of questionable loyalty or reliability for security purposes,or
if the Administrator of the Federal Emergency Management Agency for any other
reason considers it to be advisable, such investigation shall be discontinued and
a report thereon shall be referred to the Administrator of the Federal Emergency
Management Agency for evaluation in writing. Thereafter, the Administrator of
the Federal Emergency Management Agency may refer the matter to the Federal
Bureau of Investigation for the conduct of a full field investigation by such Bureau.
The result of such latter investigation by such Bureau shall be furnished to the
Administrator of the Federal Emergency Management Agency for action.
(d) ExWLoYEE OATHS - Each Federal employee of the Federal Emergency Management
• Agency acting under the authority of this tide, except the subjects of the United
Kingdom and citizens of Canada specified in section 5197(b) of this title[Section
621(b)], shall execute the loyalty oath or appointment affidavits prescribed by
the Director of the Office of Personnel Management. Each person other than a
Federal employee who is appointed to serve in a State or local organization for
emergency preparedness shall before entering upon duties,take an oath in writing
before a person authorized to administer oaths, which oath shall be substantially
as follows:
"I , do solemnly swear (or affirm) that I will support and defend the
Constitution of the United States against all enemies, foreign and domestic; that
I will bear true faith and allegiance to the same; that I take this obligation freely,
without any mental reservation or purpose of evasion; and that I will well and
faithfully discharge the duties upon which I am about to enter.
"And I do further swear(or affirm) that I do not advocate,nor am I a member or
an affiliate of any organization, group, or combination of persons that advocates
the overthrow of the Government of the United States by force or violence;
and that during such time as I am a member of (name of emergency
preparedness organization), I will not advocate nor become a member or an
affiliate of any organization, group, or combination of persons that advocates the
overthrow of the Government of the United States by force or violence."
After appointment and qualification for office, the director of emergency
preparedness of any State, and any subordinate emergency preparedness officer
within such State designated by the director in writing, shall be qualified to
administer any such oath within such State under such regulations as the director
shall prescribe.Any person who shall be found guilty of having falsely taken such
oath shall be punished as provided in section 1621 of tide 18.
Sec. 623.Use of Existing Facilities(42 U.S.C.5197b)
In performing duties under this title,the Administrator-
(1) shall cooperate with the various departments and agencies of the Federal
Government;
(2) shall use,to the maximum extent, the existing facilities and resources of the
73
T
I oC 1
STAFFORD ACT>TITLE VI>§§624-628
Federal Government and, with their consent, the facilities and resources of
the States and political subdivisions thereof, and of other organizations and
agencies;and
(3) shall refrain from engaging in any form of activity which would duplicate
or parallel activity of any other Federal department or agency unless the
Administrator, with the written approval of the President, shall determine
that such duplication is necessary to accomplish the purposes of this title.
Sec. 624.Annual Report to Congress(42 U.S.C.5197c)
The Administrator shall annually submit a written report to the President and
Congress covering expenditures, contributions, work, and accomplishments of the
Federal Emergency Management Agency pursuant to this title, accompanied by such
recommendations as the Administrator considers appropriate.
Sec. 625.Applicability of Subchapter(42 U.S.C.5197d)
The provisions of this title shall be applicable to the United States,its States,Territories
and possessions, and the District of Columbia,and their political subdivisions.
Sec. 626.Authorization of Appropriation and Transfers of Funds
(42 U.S.C.5197e)
(a) AumoiuzNnoN of APPROPRIATIONS - There are authorized to be appropriated such
sums as may be necessary to carry out the provisions of this title.
(b) TRANSFER AuToRrrr - Funds made available for the purposes of this title may be
allocated or transferred for any of the purposes of this title,with the approval of the
Director of the Office of Management and Budget, to any agency or government
corporation designated to assist in carrying out this title.Each such allocation or
transfer shall be reported in full detail to the Congress within 30 days after such
allocation or transfer.
Sec. 627. Relation to Atomic Energy Act of 1954(42 U.S.C.5197f)
Nothing in this title shall be construed to alter or modify the provisions of the Atomic
Energy Act of 1954(42 U.S.C. 2011 et seq.).
Sec. 628. Federal Bureau of Investigation(42 U.S.C.5197g)
Nothing in this title shall be construed to authorize investigations of espionage,
sabotage,or subversive acts by any persons other than personnel of the Federal Bureau
of Investigation.
74
0
Ion
STAFFORD ACT> TITLE VII>§ 701,42 U.S.C. §5204
Title VII - Miscellaneous
Sec. 701. Rules and Regulations(42 U.S.C.5201)
(a) RULES AND REGULATIONS
(1) The President may prescribe such rules and regulations as may be necessary
and proper to carry out any of the provisions of this Act,and he may exercise
any power or authority conferred on him by any section of this Act either
directly or through such Federal agency or agencies as he may designate.
(2) Deadline for payment of assistance - Rules and regulations authorized by
paragraph (1) shall provide that payment of any assistance under this Act to
a State shall be completed within 60 days after the date of approval of such
assistance.
(b) In furtherance of the purposes of this Act,the President or his delegate may accept
and use bequests,gifts,or donations of service,money,or property,real,personal,
or mixed,tangible,or intangible.All sums received under this subsection shall be
deposited in a separate fund on the books of the Treasury and shall be available
for expenditure upon the certification of the President or his delegate. At the
request of the President or his delegate, the Secretary of the Treasury may invest
and reinvest excess monies in the fund. Such investments shall be in public debt
securities with maturities suitable for the needs of the fund and shall bear interest
• at rates determined by the Secretary of the Treasury, taking into consideration
current market yields on outstanding marketable obligations of the United States
of comparable maturities. The interest on such investments shall be credited to,
and form a part of,the fund.
Insular Areas Disaster Survival and Recovery;Definitions (42 U.S.C.5204)4°
As used in sections 5204 to 5204c of this title-
(1) the term "insular area" means any of the following: American Samoa, the
Federated States of Micronesia, Guam, the Marshall Islands, the Northern
Mariana Islands, the Trust Territory of the Pacific Islands,41 and the Virgin
Islands;
(2) the term"disaster"means a declaration of a major disaster by the President
after September 1, 1989,pursuant to section 5170 of this title[Section 401];
and
(3) the term"Secretary"means the Secretary of the Interior.
Note:The note preceding 48 U.S.C.§ 1681 terminated the Trust Territory of the Pacific Islands. This
note effectively removes the Federated States of Micronesia and the Marshall Islands from the definition
of"insular area".
40.This section was enacted as part of the Omnibus Insular Areas Act of 1992.
41.The Trust Territory of the Pacific Islands has been terminated. See note preceding 48 U.S.C.1681.
75
n �J
16 c
1
STAFFORD ACT>TITLE VII>42 U.S.C.§§5204b, 5206
Technical Assistance for Insular Areas(42 U.S.C.5204b)42
(a) Upon the declaration by the President of a disaster in an insular area,the President,
acting through the Administrator of the Federal Emergency Management Agency,
shall assess, in cooperation with the Secretary and chief executive of such insular
area,the capability of the insular government to respond to the disaster,including
the capability to assess damage; coordinate activities with Federal agencies,
particularly the Federal Emergency Management Agency; develop recovery
plans, including recommendations for enhancing the survivability of essential
infrastructure; negotiate and manage reconstruction contracts; and prevent the
misuse of funds. If the President finds that the insular government lacks any of
these or other capabilities essential to the recovery effort, then the President
shall provide technical assistance to the insular area which the President deems
necessary for the recovery effort.
(b) One year following the declaration by the President of a disaster in an insular area,
the Secretary, in consultation with the Administrator of the Federal Emergency
Management Agency, shall submit to the Senate Committee on Energy and
Natural Resources and the House Committee on Natural Resources a report on
the status of the recovery effort,including an audit of Federal funds expended in
the recovery effort and recommendations on how to improve public health and
safety, survivability of infrastructure, recovery efforts, and effective use of funds
in the event of future disasters.
Sec. 705. Disaster Grant Closeout Procedures(42 U.S.C.5205)
(a) STATUTE OF LIMITATIONS-
(1) IN GENERAL - Except as provided in paragraph (2), no administrative action
to recover any payment made to a State or local government for disaster or
emergency assistance under this Act shall be initiated in any forum after the
date that is 3 years after the date of transmission of the final expenditure
report for the disaster or emergency.
(2) FRAUD EXCEPTION-The limitation under paragraph(1)shall apply unless there
is evidence of civil or criminal fraud.
(b) REBUTTAL OF PRESUMPTION OF RECORD MAINTENANCE-
(1) IN GENERAL-In any dispute arising under this section after the date that is 3
years after the date of transmission of the final expenditure report for the
disaster or emergency,there shall be a presumption that accounting records
were maintained that adequately identify the source and application of funds
provided for financially assisted activities.
(2) AFFIRMATIVE EVIDENCE- The presumption described in paragraph (1) may be
rebutted only on production of affirmative evidence that the State or local
government did not maintain documentation described in that paragraph.
42.This section was enacted as part of the Omnibus Insular Areas Act of 1992.
76
Foci
STAFFORD ACT> TITLE VII>§§ 705-706
(3) INABarrY TO PRODUCE DOCUMENTATION - The inability of the Federal, State, or
local government to produce source documentation supporting expenditure
reports later than 3 years after the date of transmission of the final expenditure
report shall not constitute evidence to rebut the presumption described in
paragraph(1).
(4) RIGHT OF AccEss - The period during which the Federal, State, or local
government has the right to access source documentation shall not be limited
to the required 3-year retention period referred to in paragraph(3),but shall
last as long as the records are maintained.
(c) BINDING NATURE OF GRANT REQUIREMENTS- A State or local government shall not be
liable for reimbursement or any other penalty for any payment made under this
Act if-
(1) the payment was authorized by an approved agreement specifying the costs;
(2) the costs were reasonable; and
(3) the purpose of the grant was accomplished.
Buy American(42 U.S.C.5206)43
(a) COMPLIANCE WITH CHAPTER 83 OF TITLE 41 -No funds authorized to be appropriated
under this Act or any amendment made by this Act44 may be expended by
an entity unless the entity, in expending the funds, complies with chapter 83 of
title 41.
(b) DEBARMENT OF PERSONS CONVICTED OF FRAUDULENT USE OF"MADE IN AMERICA"LABELS-
(1) IN GENERAL - If the Administrator of the Federal Emergency Management
Agency determines that a person has been convicted of intentionally affixing
a label bearing a "Made in America" inscription to any product sold in or
shipped to the United States that is not made in America, the Administrator
shall determine,not later than 90 days after determining that the person has
been so convicted,whether the person should be debarred from contracting
under the Robert T. Stafford Disaster Relief and Emergency Assistance Act
(42 U.S.C.5121 et seq.).
(2) DEFINITION OF DEBAR- In this subsection, the term "debar" has the meaning
given the term in section 2393(c) of title 10.
Sec. 706. Firearms Policies(42 U.S.C.5207)
(a) PROHIBITION ON CONFISCATION OF FIREARMS - No officer Or employee of the United
States (including any member of the uniformed services), or person operating
pursuant to or under color of Federal law, or receiving Federal funds, or under
control of any Federal official,or providing services to such an officer,employee,
or other person, while acting in support of relief from a major disaster or
emergency,may-
43.This section was enacted as part of the Disaster Mitigation Act of 2000.
44.'This Act"refers to the Disaster Mitigation Act of 2000,Pub.L No.106-390.
77
. 1
STAFFORD ACT> TITLE VII>§ 706
(1) temporarily or permanently seize, or authorize seizure of, any firearm the
possession of which is not prohibited under Federal, State, or local law,
other than for forfeiture in compliance with Federal law or as evidence in a
criminal investigation;
(2) require registration of any firearm for which registration is not required by
Federal,State,or local law;
(3) prohibit possession of any firearm, or promulgate any rule, regulation, or
order prohibiting possession of any firearm, in any place or by any person
where such possession is not otherwise prohibited by Federal,State,or local
law;or
(4) prohibit the carrying of firearms by any person otherwise authorized to carry
firearms under Federal, State, or local law, solely because such person is
operating under the direction, control,or supervision of a Federal agency in
support of relief from the major disaster or emergency.
(b) LIMITATION - Nothing in this section shall be construed to prohibit any person in
subsection(a)from requiring the temporary surrender of a firearm as a condition
for entry into any mode of transportation used for rescue or evacuation during a
major disaster or emergency,provided that such temporarily surrendered firearm
is returned at the completion of such rescue or evacuation.
(C) PRIVATE RIGHTS OF ACTION-
(I) IN GENERAL - Any individual aggrieved by a violation of this section may
seek relief in an action at law, suit in equity, or other proper proceeding
for redress against any person who subjects such individual, or causes such
individual to be subjected,to the deprivation of any of the rights,privileges,
or immunities secured by this section.
(2) REMEDIES - In addition to any existing remedy in law or equity, under any
law, an individual aggrieved by the seizure or confiscation of a firearm in
violation of this section may bring an action for return of such firearm in the
United States district court in the district in which that individual resides or
in which such firearm may be found.
(3) ATTORNEY Fm-In any action or proceeding to enforce this section,the court
shall award the prevailing party, other than the United States, a reasonable
attorney's fee as part of the costs.
78
16C1 ,
STAFFORD ACT>Statutory Note to§423(42 U.S.C. §5189a)
DISPUTE RESOLUTION PILOT PROGRAM
Statutory note,sec.423.Appeals of Assistance Decisions(42.U.S.C.5189a)
Pub.L.113-2,div.B,§1105,Jan.29,2013,127 Stat.43,provides that:
(a) DEMMONS-In this section, the following definitions apply:
(1) ADMINISTRATOR The term "Administrator" means the Administrator of the
Federal Emergency Management Agency.
(2) ELIGIBLE Asstsru cs-The term"eligible assistance"means assistance-
(A) under section 403,406,or 407 of the Robert T.Stafford Disaster Relief
and Emergency Assistance Act(42 U.S.C. 5170b, 5172, 5173);
(B) for which the legitimate amount in dispute is not less than$1,000,000,
which sum the Administrator shall adjust annually to reflect changes in
the Consumer Price Index for all Urban Consumers published by the
Department of Labor;
(C) for which the applicant has a non-Federal share;and
(D) for which the applicant has received a decision on a first appeal.
(b) PROCEDURES-
(1) IN GENERAL - Not later than 180 days after the date of enactment of this
section [Jan. 29, 2013], and in order to facilitate an efficient recovery from
major disasters, the Administrator shall establish procedures under which
an applicant may request the use of alternative dispute resolution,including
arbitration by an independent review panel, to resolve disputes relating to
eligible assistance.
(2) BINDING EFFECT-A decision by an independent review panel under this section
shall be binding upon the parties to the dispute.
(3) CONSIDERATIONS-The procedures established under this section shall-
(A) allow a party of a dispute relating to eligible assistance to request an
independent review panel for the review;
(B) require a party requesting an independent review panel as described in
subparagraph (A) to agree to forgo rights to any further appeal of the
dispute relating to any eligible assistance;
(C) require that the sponsor of an independent review panel for any
alternative dispute resolution under this section be-
(i) an individual or entity unaffiliated with the dispute (which
may include a Federal agency, an administrative law judge, or
a reemployed annuitant who was an employee of the Federal
Government) selected by the Administrator; and
79
0
16c1
STAFFORD ACT>Statutory Note to§423(42 U.S.C. §5189a)
(ii) responsible for identifying and maintaining an adequate number
of independent experts qualified to review and resolve disputes
under this section;
(D) require an independent review panel to-
(i) resolve any remaining disputed issue in accordance with all
applicable laws, regulations, and Agency interpretations of those
laws through its published policies and guidance;
(ii) consider only evidence contained in the administrative record,as it
existed at the time at which the Agency made its initial decision;
(iii) only set aside a decision of the Agency found to be arbitrary,
capricious, an abuse of discretion, or otherwise not in accordance
with law; and
(iv) in the case of a finding of material fact adverse to the claimant
made on first appeal, only set aside or reverse such finding if the
finding is clearly erroneous;
(E) require an independent review panel to expeditiously issue a written
decision for any alternative dispute resolution under this section; and
(F) direct that if an independent review panel for any alternative dispute
- resolution under this section determines that the basis upon which a
party submits a request for alternative dispute resolution is frivolous,
the independent review panel shall direct the party to pay the
reasonable costs to the Federal Emergency Management Agency relating
to the review by the independent review panel. Any funds received
by the Federal Emergency Management Agency under the authority
of this section shall be deposited to the credit of the appropriation or
appropriations available for the eligible assistance in dispute on the date
on which the funds are received.
(c) SumEr-A request for review by an independent review panel under this section
may not be made after December 31, 2015.
(d) REPORT-
(1) IN GENERAL-Not later than 270 days after the termination of authority under
this section under subsection(c),the Comptroller General of the United States
shall submit to the Committee on Homeland Security and Governmental
Affairs of the Senate and the Committee on Transportation and Infrastructure
of the House of Representatives a report analyzing the effectiveness of the
program under this section.
(2) CONTENT-The report submitted under paragraph(1)shall include-
(A) a determination of the availability of data required to complete the
report;
80
«l
STAFFORD ACT>Statutory Note to§423(42 U.S.C. §5189a)
(B) an assessment of the effectiveness of the program under this section,
including an assessment of whether the program expedited or delayed
the disaster recovery process;
(C) an assessment of whether the program increased or decreased costs to
administer section 403, 406, or 407 of the Robert T. Stafford Disaster
Relief and Emergency Assistance Act[42 U.S.C. 5170b, 5172, 5173];
(D) an assessment of the procedures and safeguards that the independent
review panels established to ensure objectivity and accuracy, and the
extent to which they followed those procedures and safeguards;
(E) a recommendation as to whether any aspect of the program under this
section should be made a permanent authority;and
(F) recommendations for any modifications to the authority of the
administration of the authority under the section in order to improve
the disaster recovery process.
81
O
16c1
The Office of Chief Counsel maintains this booklet.Please submit any
comments or inquiries about this e-publication to FEMA-OCC@fema.dhs.gov.
EXHIBIT D—GRANT PROVISIONS and FORMS
Standard Federal Aid Provisions
FEMA 97.036
The supplemental conditions contained in this section are intended to cooperate with, to
supplement, and to modify the general conditions and other specifications. In cases of
disagreement with any other section of this contract, the Supplemental Conditions shall govern.
Flow Down of Terms and Conditions from the Grant Agreement
Subcontracts: If the vendor subcontracts any of the work required under this Agreement, a copy of
the signed subcontract must be forwarded to the Department for review and approval. The
vendor agrees to include in the subcontract that (1) the subcontractors is bound by the terms of
this Agreement, (ii) the subcontractor is bound by all applicable state and federal laws and
regulations, and (iii) the subcontractor shall hold the Department and Recipient harmless against all
claims of whatever nature arising out of the subcontractor's performance of work under this
Agreement, to the extent allowed and required by law. The recipient shall document in the
quarterly report the subcontractor's progress in performing its work under this agreement. For
each subcontract, the Recipient shall provide a written statement to the Department as to whether
the subcontractor is a minority vendor as defined in Section 288.703, Fla. Stat.
Administrative, Contractual, or Legal Remedies
Unless otherwise provided in this contract, all claims, counter-claims, disputes and other
matters in question between the local government and the contractor, arising out of or relating
to this contract, or the breach of it, will be decided by arbitration, if the parties mutually agree, or in
a Florida court of competent jurisdiction.
Termination for Cause and for Convenience
This contract may be terminated in whole or in part in writing by either party in the event of
substantial failure by the other party to fulfill its obligations under this contract through no fault of
the terminating party, provided that no termination may be effected unless the other party is given:
a) Not less than ten (10) calendar days written notice (delivered by certified mail, return
receipt requested) of intent to terminate; and
b) An opportunity for consultation with the terminating party prior to termination.
This contract may be terminated in whole or in part in writing by the local government for its
convenience, provided that the other party is afforded the same notice and consultation opportunity
specified in I (a) above. If termination for default is effected by the local government, an equitable
adjustment in the price for this contract shall be made, but no amount shall be allowed for
anticipated profit on unperformed services or other work, and any payment due to the contractor at
cA
I 6 C 1
the time of termination may be adjusted to cover any additional costs to the local government
because of the contractor's default.
If termination for convenience is effected by the local government, the equitable adjustment shall
include a reasonable profit for services or other work performed for which profit has not already
been included in an invoice. For any termination, the equitable adjustment shall provide for
payment to the contractor for
services rendered and expenses incurred prior to receipt of the notice of intent to terminate, in
addition to termination settlement costs reasonably incurred by the contractor relating to
commitments (e.g., suppliers, subcontractors) which had become firm prior to receipt of the
notice of intent to terminate.
Upon receipt of a termination action under paragraphs (a) or (b) above, the contractor shall
• promptly discontinue all affected work (unless the notice directs otherwise) and
• deliver or otherwise make available to the local government all data, drawings, reports
specifications, summaries and other such information, as may have been accumulated
by the contractor in performing this contract, whether completed or in process.
Compliance with Executive Order 11246 of September 24, 1965, entitled "Equal Employment
Opportunity," as amended by Executive Order 11375 of October 13, 1967, and as
supplemented in Department of Labor regulations
During the performance of this contract, the contractor agrees as follows:
• The contractor will not discriminate against any employee or applicant for employment
because of race, creed, color, or national origin. The contractor will take affirmative action
to ensure that applicants are employed, and that employees are treated during
employment, without regard to their race, creed, color, or national origin. Such action shall
include, but not be limited to the following: employment, upgrading, demotion, or transfer;
recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of
compensation; and selection for training, including apprenticeship. The contractor agrees to
post in conspicuous places, available to employees and applicants for employment, notices
to be provided by the contracting officer setting forth the provisions of this nondiscrimination
clause.
• The contractor will, in all solicitations or advertisements for employees placed by or on
behalf of the contractor, state that all qualified applicants will receive consideration for
employment without regard to race, creed, color, or national origin.
• The contractor will send to each labor union or representative of workers with which he has
a collective bargaining agreement or other contract or understanding, a notice, to be
provided by the agency contracting officer, advising the labor union or workers'
representative of the contractor's commitments under Section 202 of Executive Order No.
11246 of September 24, 1965, and shall post copies of the notice in conspicuous places
available to employees and applicants for employment.
• The contractor will comply with all provisions of Executive Order No. 11246 of Sept. 24,
1965, and of the rules, regulations, and relevant orders of the Secretary of Labor.
• The contractor will furnish all information and reports required by Executive Order No.
11246 of September 24, 1965, and by the rules, regulations, and orders of the Secretary of
Labor, or pursuant thereto, and will permit access to his books, records, and accounts by
the contracting agency and the Secretary of Labor for purposes of investigation to ascertain
I
compliance with such rules, regulations, and orders.
• In the event of the contractor's noncompliance with the nondiscrimination clauses of this
contract or with any of such rules, regulations, or orders, this contract may be cancelled,
terminated or suspended in whole or in part and the contractor may be declared ineligible
for further Government contracts in accordance with procedures authorized in Executive
Order No. 11246 of Sept 24, 1965, and such other sanctions may be imposed and
remedies invoked as provided in Executive
• Order No. 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of
Labor, or as otherwise provided by law.
• The contractor will include the provisions of Paragraphs(1)through (7) in every subcontract
or purchase order unless exempted by rules, regulations, or orders of the Secretary of
Labor issued pursuant to Section 204 of Executive Order No. 11246 of Sept. 24, 1965, so
that such provisions will be binding upon each subcontractor or vendor. The contractor will
take such action with respect to any subcontract or purchase order as the contracting
agency may direct as a means of enforcing such provisions including sanctions for
noncompliance: Provided, however, That in the event the contractor becomes involved in,
or is threatened with, litigation with a subcontractor or vendor as a result of such direction
by the contracting agency, the contractor may request the United States to enter into such
litigation to protect the interests of the United States."
Contract Work Hours and Safety Standards Act of 1962, 40 U.S.C. 327 et seq.
The Contractor agrees it will require that mechanics and laborers (including watchmen and guards)
employed on this federally assisted contract be paid wages of not less than one and one-half times
their basic wage rates for all hours worked in excess of forty hours in a work week.
Federal Fair Labor Standards Act, 29 U.S.C. Section 201 et seq.
The Contractor agrees it will require that covered employees be paid at least the minimum
prescribed wage, and also that they be paid one and one-half times their basic wage rates for all
hours worked in excess of the prescribed work-week.
Copeland "Anti-Kickback" Act (U.S.C. Section 51)
The Contractor agrees to comply with the Anti-Kickback Act of 1968 which outlaws and prescribes
penalties for"kickbacks" of wages in federally financed or assisted construction activities.
Reporting
The contractor will provide any information required to comply with the grantor agency requirements
and regulations pertaining to reporting.
Patents and Data
No reports, maps, or other documents produced in whole or in part under this contract shall be the
subject of an application for copyright by or on behalf of the contractor. The grantor agency and the
16 1„:"- 1
grantee shall possess all rights to invention or discovery, as well as rights in data which may arise
as a result of the contractor's services.
Access to Records
The local government, the Florida Department of Emergency Management, the Federal grantor
agency, the Comptroller General of the United States, and any of their duly authorized
representatives, shall have access to any books, documents, papers, and records of the
contractor which are directly pertinent to this contract for the purpose of making audit,
examination, excerpts, and transcriptions.
Retention of Records
The contractor shall retain all records relating to this contract for five (5) years after the local
government makes final payment and all other pending matters are closed.
Clean Air Act, Federal Water Pollution Control Act, Executive Order 11738, and US EPA
Regulations
Contracts and subgrants of amounts in excess of $100,000 shall contain a provision that
requires the Contractor or recipient to comply with all applicable standards, orders, or requirements
issued under Section 112 and 306 of the Clean Air Act (42 U.S.C. 1857 (h), Section 508 of the
Clean Water Act (33 U.S. 1368), Executive Order 11738, and the U.S. Environmental Protection
Agency regulations (40 CFR Part 15 and 61). Violations shall be reported to the Federal
awarding agency and the Regional Office of the Environmental Protection Agency(EPA).
Energy Efficiency Standards
The contractor shall comply with any mandatory standards and policies relating to energy
efficiency which are contained in the state energy conservation plan issued in compliance with
the Energy Policy and Conservation Act(Pub. L. 94-163, 89 Stat. 871).
Debarment and Suspension (Executive Orders 12549 and 12689)
Contract awards that exceed the small purchase threshold and certain other contract awards shall
not be made to parties listed on the nonprocurement portion of the General Services
Administration's List of parties Excluded from Federal Procurement or Nonprocurement Programs
in accordance with E.O.s 12549 and 12689, "Debarment and Suspension." This list contains the
names of parties debarred, suspended, or otherwise excluded by agencies, and contractors
declared ineligible under statutory or regulatory authority other than E.O. 12549. Contractors with
awards that exceed the small purchase threshold shall provide the required certification regarding
its exclusion status and that of its principals. Vendors submitting proposals for this purchase must
attest that they, and their subcontractors and partners, are not excluded from receiving Federal
contracts, certain subcontracts, and certain Federal financial and nonfinancial assistance and
benefits, pursuant to the provisions of 31 U.S.C. 6101, note, E.O. 12549, E.O. 12689, 48 CFR
9.404, and each agency's codification of the Common Rule for Nonprocurement suspension and
debarment. Contractor's debarment and suspension status will be validated at the System for
(1)
16c1 ,
6
Award Management at vvww.sam.qov and the State of Florida at
http://dms.myflorida.comfbusinessloperationslstatefpurchasingl vendor information.
If appropriate to the project, the Contractor will provide assurances regarding the following:
• It will establish safeguards to prohibit discrimination on the basis of age under the Age
Discrimination Act of 1975, as amended (42 U.S.C.: 6101-6107) which prohibits
discrimination on the basis of age or with respect to otherwise qualified handicapped
individuals as provided in Section 504 of the Rehabilitation Act of 1973.
• It will establish safeguards to prohibit employees from using positions for,a purpose that is
or gives the appearance of being motivated by a desire for private gain for themselves or
others, particularly those with whom they have family, business, or other ties pursuant to
Section 112.313 and Section 112.3135, Florida Statutes.
• It will comply with the Rehabilitation Act of 1973, Section 504,29U.S.C.794, regarding
non-discrimination.
• It will require every building or facility (other than a privately owned residential structure)
designed, constructed, or altered with funds provided under this Agreement to comply with
the "Uniform Federal Accessibility Standards," (AS) which is Appendix A to 41 CFR
Section 101-19.6 for general type buildings and Appendix A to 24 CFR Part 40 for
residential structures. The Subgrantee will be responsible for conducting inspections to
ensure compliance with these specifications by the contractor.
• It will comply with Title IX of the Education Amendments of 1972, as amended (20 U.S.C.:
1681-
• 1683 and 1685 - 1686), which prohibits discrimination on the basis of sex.
• It will comply with the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment
and Rehabilitation Act of 1970, (42 U.S.C. 4521-45-94) relating to nondiscrimination on the
basis of alcohol abuse or alcoholism.
• It will comply with 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. 290 dd-3
and
• 290 ee-3) as amended, that relate to confidentiality of alcohol and drug abuse patient
records.
• It will comply with Lead-Based Paint Poison Prevention Act (42 U.S.C.: 4821 et seq.) which
prohibits the use of lead based paint in construction of rehabilitation or residential structures.
• It will comply with the Energy Policy and Conservation Act (P.L. 94-163; 42 U.S.C. 6201-
6422), and the provisions of the state Energy Conservation Plan adopted pursuant thereto.
• It will comply with environmental standards which may be prescribed pursuant to the
National
• Environmental Policy Act of 1969,42 U.S.C. 4321-4347.
• It will assist the awarding agency in assuring compliance with the Preservation of
Archeological and Historical Preservation Act of 1966, 16 U.S.C. 469a, et seq.
• It will comply with the environmental standards which may be prescribed pursuant to the
Safe Drinking Water Act of 1974 (42 U.S.C. 300f-300j) regarding the protection of
underground water sources.
• It will comply with the Clean Air Act of 1955, as amended, 42 U.S.C. 7401-7642.
• It will comply with the Clean Water Act of 1977, as amended, 42 U.S.C. 7419-7626.
• It will comply with the Endangered Species Act of 1973, 16 U.S.C. 1531-1544.
• It will comply with the Intergovernmental Personnel Act of 1970, 42 U.S.C. 4728-763.
• It will comply with the Wild and Scenic Rivers Act of 1968, 16 U.S.C. 1271-1287, related
to protecting components or potential components of the national wild and scenic rivers
system.
loci
■ It will comply with the following Executive Orders: EO 11514 (NEPA); EO 11738
(violating facilities); EO 11988 (Floodplain Management); EO 11990 (Wetlands); and EO
12898 (Environmental Justice).
■ It will comply with the Coastal Barrier Resources Act of 1977, 16 U.S.C. 3510.
■ It will assure project consistency with the approved state program developed under the
Coastal Zone Management Act of 1972, 16 U.S.C. 1451-1464.
■ It will comply with the Fish and Wildlife Coordination Act of 1958; 16 U.S.C. 661-666.
(11:103y Io sliew peJa;slbaa aye obol pue aweu allo3v eta 1.o'(9oo1.o6 SZOSNI
•po Iesal s1/146u 1111 •NOLLVII0d2103 02100`060Z-8961 O (50/0602)9Z a2100v
--------------.--- ---g.:4 :-.. dx/suommts .zetAy
ZTT4£ Z3 `saldem
3 TTEay TureTmEy LZEE
3AIiVIN3S3ad3a03ZIHOHlntl 59£9-5T �OEa�uoa
r quemgaEdea butsEgo. nd
'SNOISIAOad AOIIOd 3HI H1IM 3ONVa2I000V ><uamuaano0 AqunoO aatTToa
NI 03a3AI130 38 11IM 30110N `dO32J3H1 3.1.v0 NOI1VNIdX3 3H1
3N0A38 031130NV3 38 S313110d 0381 13S30 3A081/3141 JO ANY O1nOHS
NOILV1130Nb0 21301OH 31V314112130
•govaquoo uagq-rab
ACT peatnbea se A4TI ;geTZ Teaeuae butpaebea peansuT TeuaT;Tppe ue se pe;s•rT ST queunraano0 Aquno3 aeTTT00
(pahnbai s(ads slow A'alnpayos s,ewaa leuoplpptl'-04 asoov 1.13snv) S313IH3A/S801.01301/SN0Iltl83d0 AO 801.1411138313
000'000'0T$ w 10/144(p000L1 910Z/81/8 ST OZ/81/8 Oti00414Td0'IdOST XZI'II YI'I 'IVNOISS33021d 0
000'00010T ht/9149O2il31/30Vw SWIVIO 9TOZ/8T/8 STOZ/8T/8 04OO4MP10'IdOST NOIsfl'IZOd S2IO.LDY23SNO0 0
000'000'1 $ 1114111 A0110d-3SV3S10'1'3 MOleq SNOIIV83d0 JO NOI1dI8OS3O
000'000'T $ 33AO1dW3 V3-3SV3S10 13 repun aquosep'seA}I
9I0Z/8T/8 STOZ/81/8 OSO£T£60M
V/N anon-lox-3 a381N3141/a301Ad O
000'000'T 5 iN30100V H0V3'13 3A11n03X3/a3N12MdR1o13121d0ad ANV
213 S11WIl A2101 N/A Alnevn.S113AO1d1N3(NV
-Hl0 -n1VIS OM NOIIVSN3dw00 Sa3)1aOM V
$ 9TOZ/8T/8 STOZ/81/8 8EOZZ000OT $NOIIN313a 030 "—
000100015 $ 31V03a0OV 30VW-SWIV10 8vn SS30X3
000'000'S $ 30N3a210000 H0V3 an000 X avn vllaaawn X g
•$
$ (tueprrue led) SO1nV — soinv 03N114
3JVWV0 Al233dOad 03NM0-NON _
$ (uaprroe gad)AanfNl A11008 50111 SOlnV `—
_ 9TOZ/8T/8 SiOZ/8T/8 6VOETE6dVE 031n03HOS 03NMO T)V 1
$ (uosJed Jed)AanrNI A11008 0111 ANV X
X
000'0001Z $ ()ueplooe e3)
11W11 310NIS 03N18W00 AlnlBtln 31180WOlntl
5 301l I mad A0110d x
000'000'Z $ 00V dO/dW00-S10n00ad aid S311ddV 11Wn 31V03ieov 1N3O
000'0001Z $ 31V031:100V 1Va3N3O
000'000'T $ Aan1NI AOV 91VNOSa3d
000101 5 (uosied euo buy)dX3 03W 9SOZ/81/8 STOZ/81/8 OL8TT650Zn an3Oo X 30VWSWIVI0
000'00E $ (aouaun000 e3)S3SIW3ad A1l18V111Va3N9e 1VIOa3WWO0
031N3a Ol 3OVWV0 X
000'000'T $ 30N3aan000 HOV3 AlfIBtln lVa3Nae
81118I1 (AAAAIOa/WW)'(AAAA/aaiww) 113awnN A311Od OAM SNI 33NvdfSNI d0 3dAl all
dX3 A3110d dd3 AOfOd awls lam` SNI
-S111IV10 OIVd A8 03011038 N338 3AVH AVW NMOHS S11WI1.S310110d HOTS JO SNOLLIONOO ONY SN0ISf11OX3
'SWeJ31 3H1 liV oi 1Of8fS SI NI31:13H 038I2JOS30 S310110d 3H1 A8 03O2JOddV 30NV2JfSNI 3H1 'NIY12J3d AVW 210 03fSSI 38 AVIA! 31Y0I311N30
SIH1 HOIHM 01 13 dS32) 1-111M 1N31A1f1000 2131410 d0 10V2J1N00 ANY JO NOI110NOO NO IN 31 '1N3W3211f1032J ANY eNIONVISHIIMION "031YOIONI
001213d AOIIOd 3H1 2103 3AO8Y 031.AVN a38f1SN1 3H1 01 03lsS1 N338 3AVH M0138 a31SI1 30NV2Jf1SNI JO S31O11Od 3H1 1VH1 Ad112i93 01 SI SIH1
:2I38Wf1N NOISIA321 - Z3 - Mir' - 9T-ST:2138Wf1N 31VOIA112130 S30V2I3A00
:a 8381.151,11 OVZVE 'I3 E-4osEaes
3 a3ansNI
:a 831:1nsN1 a.sES AMXd TEUOTssa3Oad 8969
Auedmo0 eoueansul uoq suvAS:O a3ansNl •ONI 'SfDIA Ias 'TdZN areim 2iIANa SMIZO
Aq.'FT TgeTI pue Aq.tuuIepuz asq.s:8a3anSNI
031111sNl
•OD •suI ueoTaatuv gOTanz:va3ansNI EVESS NN Exuoo<eUUt
#3IVN 3OV213A00 ON10210ddV(s)831:1nSN1
moo•dnoabuesuagsTaw 7uoq.seidx:ssiroaln°-a ;sem peog t1e35 00111
tori-es9(Zs6)4(oN'OA 0001-£S9(Z56) :(113 3NOHd) eoue.Znsul dnox0 uesue stat
uoq.sead ATTax 10y1NOrg a30naoad
•(s);uaweslopue lions lo nail a Deploy a;eoylpeo
at o;s;y6li Ja;uoo;ou scop a;eolylpao sly;uo;uewe;e;s y luewesiopue ue aalnbai dew sa!o!lod ule ieo'Aopod atop suol;lpuoo pue sura;ay;
o;;3afgns `03A1VM SI NOI1V00218fS JI 'pesiopue eq;snw (sal)Aollod ma'a321fSNl lyN011laay ue Si Japioy a;eol#l;Jao 011111 :INV1210dW1
•d301OH 31VOId112I30 3141 aNY`2130la021d MO 3AIIV1N3S321d321
a3Z1210HIIIV '(S)21321nSNl ONIf1SSi 3H1 N33M138 lOV JINOO V 31n111SN00 ION S30a 3ONV2ifSNI AO 31V01d112130 SIHJ •M0138
S310110d 3141 A8 030210ddy 30V2I3A00 3H1 2131111 210 CN31X3 'CN3WV Al3A11V93N HO Al3AIIVW211ddV ION 5300 31VOldl12130
SIHJ •213a1OH 31y01d112130 3H1 NOdfl SIHOI I ON S2I3dN00 aNY AINO NOIIVW210-4NI JO 21311VW V SV 03I1SSi SI 31V31d112133 SIHJ
sTOZ/oT/TT 4rAmporvklivcr33N1SN1 AJ - 18Vii AO VOIdItt33 l j
®
4 '1.; 6'