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Backup Documents 01/14/2020 Item #16I1 BOARD OF COUNTY COMMISSIONERS V MISCELLANEOUS CORRESPONDENCE January 14, 2020 1. MISCELLANEOUS ITEMS TO FILE FOR RECORD WITH ACTION AS DIRECTED: A. DISTRICTS: 1) Cedar Hammock Community Development District: Meeting Agenda 10/15/2019 Meeting Minutes 09/26/2019; 10/15/2019 B. OTHER: 1) FEMA: Individual Assistance Program and Policy Guide (3/2019) 2) Florida Department of Economic Opportunity: Letter from Governor Ron DeSantis regarding Comprehensive Plan Amendment No. 19-05ESR 3) Legal Advertisement: INTP-PL20190000062: Vineyards PUD Official Interpretation 4) Office of the Attorney General: Letter from the Florida Office of the Attorney General regarding the Statewide Task Force on Opioid Abuse 1611A1 Cedar Hammock Community Development District Board of Supervisors Norman Day,Chairman Quentin Greeley,Vice Chairman Justin Faircloth,District Manager Fred Bally,Assistant Secretary Dan Cox,District Counsel John Martino,Assistant Secretary Sam Marshall,District Engineer Gene T.Bolton,Assistant Secretary Meeting Agenda October 15,2019—2:00 p.m. 1. Roll Call 2. Approval of Agenda 3. Public Comments on Agenda Items 4. Old Business A. Bulkhead&Bridgc Repair/Replacement Project Update 5. New Business A. Martella October 5,2019 Email B. Campus Suite ADA Website Compliance Proposal 6. Attorney's Report 7. Engineer's Report S. Manager's Report A. Approval of the Minutes of July 15, 2019 Meeting B. Approval of the Minutes of August 22,2019 Continued Meeting C. Acceptance of the Financials D. Motion to Assign Fund Balance E. Acceptance of the FY2019 Financial Audit Engagement Letter F. Follow Up Items G. FEMA Update H. Meeting Notice 9. Supervisors Requests 10.Audience Comments 11.Adjournment 1611A 1 rr_ i iftri PART OF THE USA TODAY NETWORK Published Daily Naples,FL 34110 Notice of Meetings Cedar Hammock CEDAR HAMMOCK COMMUN ITY INFRAMARK Community Development 210 N UNIVERSITY DR 702 District The Board of Supervisors of CORAL SPRINGS,FL 33071 the Cedar Hammock Com- munity Development District will hold their meetings for Fiscal Year 2020 at the Cedar Hammock Clubhouse, 8660 Affidavit of Publication Cedar Hammock Boulevard, STATE OF WISCONSIN Naples, Florida at 2:00 p.m. on the second Monday of the fol- COUNTY OF BROWN lowing months except as not- ed' Before the undersigned they serve as the authority, October 15,2019 personally appeared said legal clerk who on oath says that NoDe19,2019 December 9,2019 he/she serves as Legal Clerk of the Naples Daily News, a January 13,2020 daily newspaper published at Naples, in Collier County, February y ,2 2020 March9,2020 Florida; distributed in Collier and Lee counties of Florida; April 13,2020 that the attached copy of the advertising was published in May 11,2020 said newspaper on dates listed. Affiant further says that the There may be occasions when or said Naples Daily News is a newspaper published at one particip more Supervisors will pate by telephone. Naples, in said Collier County, Florida, and that the said Meetings may be continued to newspaper has heretofore been continuously published in w a date and timcertain which will be announced at said the meeting. Collier County, Florida; distributed in Collier and Lee In accordance with the provi- counties of Florida, each day and has been entered as cions of the Americans with second class mail matter at the post office In Naples, in DeDistitles special accontmoda- said Collier County, Florida, for a period of one year next trona at this meeting because om- preceding the first publication of the attached copy of a pairment disability shouldor physical the contact the advertisement; and affiant further says that he has neither District Management Compa- paid nor promised any person, or corporation any discount, nyy, k, veslrtro(9 ManaggeemeentntServices at (9 5 5A) rebate, commission or refund for the purpose of securing 603-0033. II you are hearing this advertisement for publication in the said newspaper. or speech impaired , please contact the Florida dh Ftelay Serv- ice at 7-1-1 for aid in contact- Published:September 20,2019 Ing the District Office. Each person who decides to appeal any action taken at these meetings is advised that person will need a record of Subscribed and sworn to before on September 20,2019: the proceedings and that ac- cordingly, the person may need to ensure that a verba- tim record of the proceedings is made, including the testi- mony and evidence upon which such appeal is to be _.— —— based. Notary,Slate of WI,County of Brown Justin Faircloth District Manager :ANA MOND! OC'.1-Ig8g0E019 NOl.ir y Public ii tale ci VViscorsin My commission expires August 6,2021 Publication Cost:$234.50 Ad No:0003586506 Customer No:1304217 00#: FY2020 Meetings 1611A1 0 ,_,-- ,• 2 z 0 ...„. 4 ..,... 0 0 4., .... _ u 0 „...,...t..„-, ::. . _,....,.........._ . • . (...) o fa., 4,.... (1) D • 'I. _ ,., .. . i V a 4 .) ..,... U CUAr. *Li 1 0 ,., ,..,, CL „.... . ._ _. 4.. .. . . ... 4.,..L, .,., . . .% , A • :.4.? -, U 4.--, , ,,s,,,,, •, :;. ' . t 1:. . '''............... *-ikk • :ft • , ...„. 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N 'D 1 6 1 1 A 1 CONTRACT DOCUMENTS FOR CEDAR HAMMOCK BRIDGE AND BULKHEAD REPAIRS AND REPLACEMENT PREPARED BY: BANKS ENGINEERING 10511 SIX MILE CYPRESS PARKWAY FORT MYERS, FLORIDA 33966 FOR CEDAR HAMMOCK CDD 1 6 I 1 A 1 C/O INFRAMARK INFRASTRUCTURE MANAGEMENT SERVICES 5911 COUNTRY LAKES DRIVE FORT MYERS, FLORIDA 33905 1611A1 TABLE OF CONTENTS CONTRACT DOCUMENTS Instructions I-1 to 1-4 Bid Form B-1 to B-6 Agreement A-1 to A-4 General Conditions 1 to 44 Supplementary Conditions SC-1 to SC-6 General Specifications GS-1 to GS-11 Technical Specifications - A Bridge Work TSA-1 to TSA-2 Technical Specifications - B Rock Wall Bulkhead Work TSB-1 to TSB-S Exhibit D Contractor's Application for Payment Exhibit E Insurance Requirements Exhibit F Waiver& Release of Lien Upon Progress Payment Waiver& Release of Lien Upon Final Payment Exhibit G Contract Change Order C:\Users\ABruce\AppData\Local\Microsoft\Windows\INetCache\Content.Outlook\913GV1RV\1263CDD_02 TableOfContents.doc 1611A 1 INSTRUCTIONS TO BIDDERS 1. Copies of Bidding Documents Complete sets of Bidding Documents may be obtained as set forth in the Invitation to Bid. Complete sets of Bidding Documents must be used in preparing Bids. Neither OWNER nor ENGINEER assumes any responsibility for errors or misinterpretations resulting from the use of incomplete Bidding Documents. OWNER and ENGINEER, in making copies of Bidding Documents available on the above terms do so only for the purpose of obtaining Bids on the Work and do not confer a license or grant for any other use. 2. Defined Terms Terms used in these Instructions to Bidders which are defined in the General Conditions have the meanings assigned to them in the General Conditions. The term"Bidder" means one who submits a Bid directly to OWNER,as distinct from a sub-bidder,who submits a bid to a Bidder. The term"Successful Bidder"means the lowest,qualified, responsible and responsive Bidder to whom OWNER(on the basis of OWNER'S evaluation as hereinafter provided)makes an award. The term "Bidding Documents" includes the Instructions to Bidders, the Bid Form and the proposed Contract Documents (including all Addenda issued prior to receipt of Bids). 3. Qualification of Bidders To demonstrate qualifications to perform the Work,each Bidder must be prepared to submit within five days of OWNER'S request: written evidence, such as financial data, previous experience, present commitments and other such data including a listing of previous related experience in like work complete with references and current telephone numbers. Each Bid must contain evidence of Bidders qualifications to do business in the state where the Project is located or covenant to obtain such qualifications prior to award of the contract. 4. Examination of Contract Documents and Site It is the responsibility of each Bidder before submitting a Bid to (a) examine the Contract Documents thoroughly, (b) visit the site to become familiar with local conditions that may affect cost, progress, performance or furnishing of the Work, (c) consider federal, state and local Laws and Regulations that may affect cost, progress, performance or furnishing of the Work,(d)study and carefully correlate Bidders observations with the Contract Documents,and (e) notify ENGINEER of all conflicts, errors or discrepancies in the Contract Documents. Any and all reports of exploration and tests of subsurface conditions at the site which have been utilized by the Engineer in preparation of the Contract Documents are set forth in the Supplementary Conditions. This information is not guaranteed accurate by the ENGINEER.The Bidder shall be responsible for verifying any reports to his satisfaction. Information and data reflected in the Contract Documents with respect to Underground Facilities at or contiguous to the site is based upon information and data furnished to OWNER CEDAR HAMMOCK Bridge and Bulkhead Replacement I-1 CAUsers\ABruce\AppDataV ocalWicrosoft\windows\INetCache\Content.0utlook\913GV1RVV263CDD 03 Instructions.doc 1611A1 and ENGINEER by owners of such Underground Facilities or others, and OWNER does not assume responsibility for the accuracy or completeness thereof. Before submitting a Bid, each Bidder will, at Bidders own expense, make or obtain any additional examinations, investigations, explorations, tests and studies and obtain any additional information and data which pertain to the physical conditions(surface,subsurface and Underground Facilities) at or contiguous to the site or otherwise which may affect cost, progress, performance or furnishing of the Work and which Bidder deems necessary to determine its Bid for performing and furnishing the Work in accordance with the time, price and other terms and conditions of the Contract Documents. On request in advance, OWNER will provide each Bidder access to the site to conduct such explorations and tests as each Bidder deems necessary for submission of a Bid. Bidder shall fill all holes, clean up and restore the site to its former condition upon completion of such explorations. The lands upon which the Work is to be performed, rights-of-way and easements for access thereto and other lands designated for used by CONTRACTOR in performing the Work are identified in the Contract Documents. All additional lands and access thereto required for temporary construction facilities or storage of materials and equipment are to be provided by CONTRACTOR. Easements for permanent structures or permanent changes in existing structures are to be obtained and paid for by OWNER unless otherwise provided in the Contract Documents. The submission of a Bid will constitute an incontrovertible representation by Bidder that Bidder has complied with every requirement of this Article 4, that without exception the Bid is premised upon performing and furnishing the Work required by the Contract Documents and such means, methods, techniques, sequences or procedures of construction as may be indicated in or required by the Contract Documents, and that the Contract Documents are sufficient in scope and detail to indicate and convey understanding of all terms and conditions for performance and furnishing of the Work. 5. Contract Time The number of days within which the Work is to be substantially completed and ready for final payment is set forth in the Agreement. 6. Liquidated Damages Provisions for liquidated damages are set forth in the Agreement. 7. Substitute of"Or-Equal" Items The Contract, if awarded, will be on the basis of materials and equipment described in the Drawings or specified in the Specifications without consideration of possible substitute or"or- equal"items. Whenever it is indicated in the Drawings,or specified in the Specifications,that a substitute or "or-equal" item of material or equipment may be furnished or used by CEDAR HAMMOCK Bridge and Bulkhead Replacement I-2 C:\Users\ABruce\AppData\Local\M',crosoft\Windows\INetCache\Content.Outlook\9J3GV1RV\1263CDD 03_Instructions.doc 1611A 1 CONTRACTOR if acceptable to ENGINEER, application for such acceptance will not be considered by ENGINEER until after the Effective Date of the Agreement. The procedure for and eration by in Paragraphs ohs any such 2apd 6.7.3ation by of the General rCo ditionsdand may be uplNEER is set plemented inrth in Paragraphs 6.7.1,6.7 Supplementary Conditions. B. Subcontractors and Suppliers All major subcontractors and suppliers shall be identified by the Bidder as set forth in the Bid Form. If OWNER or ENGINEER, after due investigation, has reasonable objections to any proposed subcontractor or supplier,he may request prior to Notice of Award that the apparent Successful Bidder submit an acceptable substitute without an increase in Bid Price. If apparent Successful Bidder declines to make any such substitution,OWNER may award the contract to next lowest of qualified Bidder that proposes to use acceptable subcontractors or suppliers. 9. Submission of Bids Bids shall be submitted on the fully executed Bid Form with all blanks completed in ink or by typewriter at the time and place indicated in the Invitation to Bid. The Bids shall be enclosed in an opaque sealed envelope, marked with the Project title and name and address of the Bidder and the notation "BID ENCLOSED." Bids sent by fax or email are not acceptable. 10. Modification or Withdrawal of Bids Bids may be modified or withdrawn by an appropriate document duly executed(in the manner that a Bid must be executed)and delivered to the place where Bids are to be submitted at any time prior to the opening of Bids. If,within twenty-four hours after Bids are opened,any Bidder files a duly signed,written notice with OWNER and promptly thereafter demonstrates to the reasonable satisfaction of OWNER ther may w tt therehdraw was a material ereafter,that Bidder will be disqualified from further bidding ondthde Work withdraw its Bid. T to be provided under the Contract Documents. 11. Openin_ g�f Bids Bids will be opened publicly. 12. Award of Contract Owner reserves the right to reject any and all bids, to waive any and all informalities not involving price, time or changes in the Work, and to negotiate contract terms with the Successful Bidder,and the right to disregard all nonconforming,nonresponsive,unbalanced or conditional Bids. Also, OWNER reserves the right to reject the Bid of any Bidder if OWNER believes that it would not be in the best interest of the Project to make an award to that Bidder, CEDAR HAMMOCK 13 Bridge and Bulkhead Replacement C:\Users\ABrJce\AppData\Local\Microsoft\Wiindows\INetCache\Content.Outlook\913GV1RVV263CDD_03_Instructions.doc 1 6 1 1 A 1 whether because the Bid is not responsive,or the bidder is unqualified or of doubtful financial ability or fails to meet any other pertinent standard or criteria established by OWNER. Discrepancies in the multiplication of units of Work and unit prices will be resolved in favor of the unit prices. Discrepancies between the indicated sum of any column of figures and the correct sum thereof will be resolved in favor of the correct sum. In evaluating Bids, OWNER will consider the qualifications of the Bidders,whether or not the Bids comply with the prescribed requirements,and such alternates,unit prices and other data, as may be requested in the Bid Form or prior to the Notice of Award. Owner may consider the qualifications and experience of Subcontractors,Suppliers and other persons and organizations proposed for those portions of the Work as to which the identity of Subcontractors,Suppliers and other persons and organizations must be submitted as provided in the Bid Form. OWNER also may consider the operating costs, maintenance requirements, performance data and guarantees of major items of materials and equipment proposed for incorporation in the Work when such data is required to be submitted prior to the Notice of Award. OWNER may conduct such investigations as OWNER deems necessary to assist in the evaluation of any Bid and to establish the responsibility, qualifications and financial ability of Bidders, proposed Subcontractors,Suppliers and other persons and organizations to perform and furnish the Work in accordance with the Contract Documents to OWNER'S satisfaction within the prescribed time. If the contract is to be awarded, it will be awarded to the lowest Bidder whose evaluation by OWNER indicates to OWNER that the award will be in the best interest of the Project. If the contract is to be awarded, OWNER will give the Successful Bidder a Notice of Award within the number of days after the day of the Bid opening as set forth in the Bid Form. 13. Signing of Agreement When OWNER gives a Notice of Award to the Successful Bidder,it will be accompanied by the required number of unsigned counterparts of the Agreement with all other written Contract Documents attached. Within the number of days as set forth in the Bid Form thereafter, CONTRACTOR shall sign and deliver the required number of counterparts of the Agreement and attached documents to OWNER. Within ten(10)days thereafter,OWNER shall deliver one fully signed counterpart to CONTRACTOR. Each counterpart is to be accompanied by a complete set of the Drawings with appropriate identification. CEDAR HAMMOCK Bridge and Bulkhead Replacement 1-4 C\Users\ABruce\AppData\LocalWicrosoft\Windows\I NetCache\Content.Outlook\913GV1 RV\1263CD D_03_Instruction s.d oc 1611A1 BIDDERS NAME BID FORM PROJECT IDENTIFICATION: CEDAR HAMMOCK BRIDGE AND BULKHEAD REPAIRS AND REPLACEMENT THIS BID IS SUBMITTED TO: CEDAR HAMMOCK CDD C/O INFRAMARK INFRASTRUCTURE MANAGEMENT SERVICES 5911 COUNTRY LAKES DRIVE FORT MYERS, FL 33905 1. The undersigned BIDDER proposes and agrees, if this BID is accepted, to enter into an Agreement with OWNER in the form included in the Contract Documents for the Contract Price and within the Contract Time indicated in this Bid and in accordance with the other Contract Documents. 2. BIDDER accepts all of the terms and conditions of the Instructions to Bidders. This Bid will remain open for ninety(90)days after the day of Bid opening. BIDDER will sign the Agreement and submit the Contract Security and other documents required by the Contract Documents within fifteen (15) days after the date of OWNER'S Notice of Award. 3. In submitting this Bid, BIDDER represents, as more fully set forth in the Agreement,that: a. BIDDER has examined copies of all the Contract Documents and of the following addenda: Number Date Number Date (receipt of all which is hereby acknowledged)and also copies of the Advertisement or Invitation to Bid and the Instructions to Bidders. b. BIDDER has examined the site and locality where the Work is to be performed, the legal requirements(federal,state and local laws,ordinances,rules and regulations)and the conditions affecting cost,progress or performance of the Work and has made such independent investigations as BIDDER deems necessary. c. This Bid is genuine and not made in the interest of or on behalf of any undisclosed person,firm or corporation and is not submitted in conformity with any agreement or rules of any group,association,organization or corporation;BIDDER has not directly or indirectly induced or solicited any other Bidder to submit a false or sham Bid; BIDDER has not solicited or induced any person,firm or corporation to refrain from bidding; CEDAR HAMMOCK Bridge and Bulkhead Replacement B-1 C:\Users\ABruce\AppData\Local\Microsoft\Windows\INetCache\Content.Outlook\913GV1RV\1263CDD_04 Bidform.doc 1 6 1 1 A 1 and BIDDER has not sought by collusion to obtain for himself any advance over any other Bidder or over OWNER. 4. BIDDER agrees that the Work will be substantially complete and ready for final payment in accordance with Paragraphs 14.8 and 14.13 of the General Conditions within the number of calendar days indicated in the Agreement. BIDDER accepts the provisions of the Agreement as to liquidated damages in the event of failure to complete the Work on time. 5. The following work will be accomplished by the.Subcontractors listed. Work Subcontractor CEDAR HAMMOCK Bridge and Bulkhead Replacement B-2 C:\Users\ABruce\AppData\Local\Microsoft\Windows\INetCache\Content.Outlook\913GV1RV\1263CDD_04 BidForm.doc 1611A . 1 6. BIDDER will complete the Work for the prices listed in the following Price Schedule. The unit prices quoted for the particular items are to be used exclusively for computing the total contract lost. The total shall be inclusive of all work necessary to complete the project. The project will be a unit price project as specified in the bid form. If the unit is a lump sum in the bid form,then that item shall be a lump sum item. 7. The terms used in this Bid which are defined in the General Conditions of the Contract Documents have the same meanings as assigned to them in those General Conditions. SUBMITTED ON , 2019. By: (Corporation or Firm Name) Corporate By: (Printed name of authorized officer) (Title) Seal Attest: (Printed Name) (Signature) Business Address: Phone Number: ( ) Qualifier: Licensed Contractor who qualifies the bidder. Name: , License Signature: License No. &State: License Limitations, if any: CEDAR HAMMOCK Bridge and Bulkhead Replacement B-3 C:\Users\ABruce\AppData\Local\Microsoft\W indows\I NetCache\Content.Outlook\913GV1 RV\1263CD D_04_BidForm.doc 1 6 1 1 A 1 AGREEMENT THIS AGREEMENT is dated as of the day of in the year 2013 by and between: Cedar Hammock CDD c/o lnframark Infrastructure Management Services 5911 Country Lakes Drive Fort Myers, Florida 33905 (hereinafter called OWNER) and (hereinafter called CONTRACTOR) OWNER and CONTRACTOR, in consideration of the mutual covenants hereinafter set forth, agree as follows: ARTICLE 1. WORK 1.1 CONTRACTOR shall complete all Work as specified or indicated in the Contract Documents. The Work is generally described as follows: CEDAR HAMMOCK BRIDGE AND BULKHEAD REPAIRS AND REPLACEMENT ARTICLE 2. ENGINEER 2.1 The Project has been designed by BANKS ENGINEERING,10511 Six Mile Cypress Parkway, Fort Myers, Florida 33966, who is hereinafter called ENGINEER and who will assume all duties and responsibilities and will have the rights and authority assigned to ENGINEER in the Contract Documents in connection with completion of the Work in accordance with the Contract Documents. ARTICLE 3. CONTRACT TIME 3.1 The Work will be substantially completed within 120 days after the date when the Contract Time commences to run as provided in Paragraph 2.3 of the General Conditions, and completed and ready for final payment in accordance with Paragraph 14.13 of the General Conditions within 150 days after the date when the Contract time commences to run. 3.2 Liquidated Damages. OWNER and CONTRACTOR recognize that time is of the essence of this Agreement and that OWNER will suffer financial loss if the Work is not substantially complete within the time specified in Paragraph 3.1 above, plus any extensions thereof allowed in accordance with Article 1 of the General Conditions. They also recognize the delays, expense and difficulties CEDAR HAMMOCK Bridge and Bulkhead Replacement A-1 Misers\ABruce\AppData\Local\Microsoft\Windows\I NetCache\Content.Outlook\913GV1RV\i263CDD_05_Agreement.doc 16 1 1 A 1 involved in proving in a legal or arbitration proceeding,the actual loss suffered by OWNER if the Work is not substantially complete on time. Accordingly, instead of requiring any such proof,OWNER and CONTRACTOR agree that as liquidated damages for delay(but not a penalty)CONTRACTOR shall pay OWNER Two Thousand Dollars ($2,000.00) for each day that expires after the time specified in Paragraph 3.1 for substantial completion until the Work is substantially complete. ARTICLE 4. CONTRACT PRICE 4.1 OWNER shall pay CONTRACTOR for performance and completion of the Work in accordance with the Contract Documents in current funds as specified by the unit price schedule Bid Form which is an exhibit to this agreement and is part of the Contract Document. The total of the unit price Contract is $ ARTICLE 5. PAYMENT PROCEDURES Contractor shall submit Applications for Payment in accordance with Article 14 of the General Conditions. Applications for payment will be processed by ENGINEER as provided in the General Conditions. 5.1 Progress Payments. OWNER shall make progress payments on account of the Contract Price on the basis of CONTRACTOR'S Applications for Payment as recommended by ENGINEER,on or about the fifteenth day of each month during construction as provided below. All progress payments will be on the basis of the progress of the Work measured by the schedule of values provided for in Paragraph 14.1 of the General Conditions. 5.1.1. Prior to and upon Substantial Completion,progress payments will be in an amount equal to 90%of the Work completed in accordance with Paragraph 14.7 of the General Conditions. 5.2 Final Payment. Upon final completion and acceptance of the Work in accordance with Paragraph 4.13 of the General Conditions, OWNER shall pay the remainder of the Contract Price as recommended by ENGINEER as provided in said Paragraph 14.13. ARTICLE 6. CONTRACTOR'S REPRESENTATION In order to induce OWNER to enter into this Agreement, CONTRACTOR makes the following representations: 6.1 CONTRACTOR has familiarized himself with the nature and extent of the Contract Documents, Work, locality and with all local conditions and federal, state and local laws, ordinances, rules and regulations that in any manner my affect cost, progress and performance of the Work. 6.2 CONTRACTOR has made or caused to be made examinations,investigations and tests and studies as he deems necessary for the performance of the Work at the Contract price, within the Contract time and in accordance with the other terms and conditions of the Contract Documents;and no additional examinations, investigations, tests, reports or similar data are or will be required by CONTRACTOR for such purposes. 6.3 CONTRACTOR has reviewed and checked all information and data shown or indicated on CEDAR HAMMOCK Bridge and Bulkhead Replacement A-2 C'.\Users\ABruce\APPData\I Deal\Microsoft\Windows\INetCache\Content.Outlook\913GV1RV\1263CDD_05_Agreement.doc 1 6 I 1 A 1 the Contract Documents with respect to existing Underground Facilities at or contiguous to the site and assumes responsibility for the accurate location of said Underground Facilities. No additional examinations, investigations, explorations, tests, reports, studies or similar information or data in respect of said Underground Facilities are or will be required by CONTRACTOR in order to perform and furnish the Work at the Contract Price, within the Contract Time and in accordance with the other terms,and conditions of the Contract Documents,including specifically the provisions of Paragraph 4.3 of the General Conditions. 6.4 CONTRACTOR has correlated the results of all such observations, examinations, investigations, tests, reports and data with the terms and conditions of the Contract Documents. 6.5 CONTRACTOR has given ENGINEER written notice of all conflicts, errors or discrepancies that he has discovered in the Contract Documents and the written resolution thereof by ENGINEER and is acceptable to CONTRACTOR. ARTICLE 7. CONTRACT DOCUMENTS The Contract Documents which comprise the entire agreement between OWNER and CONTRACTOR are attached to this Agreement, made a part hereof and consist of the following: 7.1 This agreement(pages A-1 to A-4, inclusive) Bid Form (pages B-1 to B-9) 7.2 General Conditions (pages 1 to 44, inclusive) 7.3 Supplementary Conditions (pages SC-1 to SC-6, inclusive). 7.4 General Specifications (Pages GS-1 to GS-11, inclusive). 7.5 Technical Specifications A- Bridge Work(Pages TSA-1 to TSA-2, inclusive). 7.6 Technical Specifications B- Bulkhead Work(Pages TSB-1 to TSB-5, inclusive). 7.7 Forge Engineering Geotechnical Report,Proposed Bulkhead Wall Replacement Project, Cedar Hammock Community, Dated October 30, 2018. 7.8 Banks Engineering Cedar Hammock Wall Replacement Survey Dated January 27,2017. 7.9 Ingenium, Inc. Cedar Hammock Bulkhead Construction Plans, Sheets 1- 20, Dated January 23, 2019. 7.10 Bridging Solutions, LLC Cedar Hammock CDD Golf Cart Bridge Replacement Plans, Sheets 1 —8, Dated January 2, 2019. Exhibit"D" - Contractor's Application for Payment CEDAR HAMMOCK Bridge and Bulkhead Replacement A-3 c:\Users\Aeruce\AppDataVocal\Microsoft\Windows\INetCache\Content.Outlook\913GV1MA1263CDD_OS Agreement.doc 1 6 1 1 A 1 Exhibit "E" - Insurance Requirements Exhibit"F"-Waiver& Release of Lien Upon Final Payment and Waiver&Release of Lien Upon Progress Payment Exhibit "G" - Contract Change Order Form There are no Contract Documents other than those listed above in this Article 7. The Contract Documents may only be altered,amended or repealed by a Modification(as defined in Section 1 of the General Conditions.) ARTICLE 8. MISCELLANEOUS 8.1 Terms used in this Agreement which are defined in Article 1 of the General Conditions shall have the meanings indicated in the General Conditions. 8.2 No assignment by a party hereto of any rights under or interests in the Contract Documents will be binding on another party hereto without the written consent of the party sought to be bound;and specifically,but without limitations,moneys that may become due and monies that are due may not be assigned without such consent(except to the extent that the affect of this restriction may be limited by law), and unless specifically stated to the contrary in any written consent to an assignment,no assignment will release or discharge the assignor from any duty or responsibility under the Contract Documents. 8.3 OWNER and CONTRACTOR each binds himself,his partners,successors,assigned and legal representatives to the other party hereto, his partners,successors,assigns and legal representatives in respect to all covenants, agreements and obligations contained in the Contract Documents. 8.4 CONTRACTOR shall adhere to and abide by all conditions specified in all permits obtained from agencies for the construction of this project including but not limited to the South Florida Water Management District drainage permit,the Collier County Site Work Permit and Collier County Building permits, or other applicable jurisdictional agency construction permit. This Agreement will be effective on , 2019. OWNER: CONTRACTOR: Cedar Hammock CDD By: By: (CORPORATE SEAL) Attest: Attest: Address for Given Notices: Address for Given Notices: CEDAR HAMMOCK Bridge and Bulkhead Replacement A-4 C:\Users\ABrJce\AppData\Local\Microsoft\windows\INetCache\Content.Outlook\913GV1RV\1263CDD 05_Agreement.doc 1611A1 Cedar Hammock CDD c/o Inframark Infrastructure Management Services 5911 Country Lakes Drive Fort Myers, Florida 33905 (License No. and State) CEDAR HAMMOCK Bridge and Bulkhead Replacement A-5 C:\Users\ABruce\AppData\Local\Microsoft\Windows\INetCache\Content.Outlook\913GV1RV\1263CDD O5 Agreement.doc 1 6 1 1 A 1 This document has important legal consequences;consultation with an attorney is encouraged with respect to its use or modification. This document should be adapted to the particular circumstances of the contemplated Project and the Controlling Law. STANDARD GENERAL CONDITIONS OF THE CONSTRUCTION CONTRACT Prepared by ENGINEERS JOINT CONTRACT DOCUMENTS COMMITTEE and Issued and Published Jointly By çOFESSLT)NGINEERSA e ,. ENGINEERS 41116 , I001010 rouNOCO U M 0.> I11S2 PROFESSIONAL ENGINEERS IN PRIVATE PRACTICE a practice division of the NATIONAL SOCIETY OF PROFESSIONAL ENGINEERS AMERICAN CONSULTING ENGINEERS COUNCIL AMERICAN SOCIETY OF CIVIL ENGINEERS This document has been approved and endorsed by The Associated General Contractors of America Construction Specifications Institute These General Conditions have been prepared for use with the Owner-Contractor Agreements(No. 1910-8-A-1 or 1910-8- A-2) (1996 Editions). Their provisions are interrelated and a change in one may necessitate a change in the other. Comments concerning their usage are contained in the EJCDC User's Guide (No. 1910-50). For guidance in the preparation of Supplementary Conditions,see Guide to the Preparation of Supplementary Conditions(No. 1910-17)(1996 Edition). EJCDC No. 1910-8(1996 Edition) 1 6 1 1 A 1 Copyright©1996 National Society of Professional Engineers 1420 King Street,Alexandria,VA 22314 American Consulting Engineers Council 1015 15th Street N.W.,Washington,DC 20005 American Society of Civil Engineers 345 East 47th Street,New York,NY 10017 00700-2 1 6 I 1 A 1 TABLE OF CONTENTS Page ARTICLE 1 -DEFINITIONS AND TERMINOLOGY 6 1.01 Defined Terms 6 1.02 Terminology 8 ARTICLE 2-PRELIMINARY MATTERS 9 2.01 Delivery of Bonds 9 2.02 Copies of Documents 9 2.03 Commencement of Contract Times;Notice to Proceed 9 2.04 Starting the Work 9 2.05 Before Starting Construction 9 2.06 Preconstruction Conference 10 2.07 Initial Acceptance of Schedules 10 ARTICLE 3-CONTRACT DOCUMENTS:INTENT,AMENDING,REUSE 10 3.01 Intent 10 3.02 Reference Standards 11 3.03 Reporting and Resolving Discrepancies 11 3.04 Amending and Supplementing Contract Documents 11 3.05 Reuse of Documents 11 ARTICLE 4-AVAILABILITY OF LANDS;SUBSURFACE AND PHYSICAL CONDITIONS;REFERENCE POINTS 12 4.01 Availability of Lands 12 4.02 Subsurface and Physical Conditions 12 4.03 Differing Subsurface or Physical Conditions 12 4.04 Underground Facilities 13 4.05 Reference Points 14 4.06 Hazardous Environmental Condition at Site 14 ARTICLE 5-BONDS AND INSURANCE 15 5.01 Performance,Payment,and Other Bonds 15 5.02 Licensed Sureties and Insurers 16 5.03 Certificates of Insurance 16 5.04 CONTRACTOR'S Liability Insurance 16 5.05 OWNER'S Liability Insurance 17 5.06 Property Insurance 17 5.07 Waiver of Rights 18 5.08 Receipt and Application of Insurance Proceeds 18 5.09 Acceptance of Bonds and Insurance;Option to Replace 19 5.10 Partial Utilization,Acknowledgment of Property Insurer 19 ARTICLE 6-CONTRACTOR'S RESPONSIBILITIES 19 6.01 Supervision and Superintendence 19 6.02 Labor; Working Hours 19 6.03 Services,Materials,and Equipment 19 6.04 Progress Schedule 20 6.05 Substitutes and"Or-Equals" 20 6.07 Patent Fees and Royalties 22 00700-3 1611A 1 6.08 Permits 22 6.09 Laws and Regulations 23 6.10 Taxes 23 6.11 Use of Site and Other Areas 23 6.13 Safety and Protection 24 6.14 Safety Representative 24 6.15 Hazard Communication Programs 24 6.16 Emergencies 24 6.17 Shop Drawings and Samples 24 6.18 Continuing the Work 26 6.19 CONTRACTORS General Warranty and Guarantee 26 6.20 Indemnification 26 ARTICLE 7-OTHER WORK 27 7.01 Related Work at Site 27 7.02 Coordination 27 ARTICLE 8-OWNER'S RESPONSIBILITIES 28 8.01 Communications to Contractor 28 8.02 Replacement of ENGINEER 28 8.03 Furnish Data 28 8.04 Pay Promptly When Due 28 8.05 Lands and Easements;Reports and Tests 28 8.06 Insurance 28 8.07 Change Orders 28 8.08 Inspections, Tests,and Approvals 28 8.09 Limitations on OWNER'S Responsibilities 28 8.10 Undisclosed Hazardous Environmental Condition 28 8.11 Evidence of Financial Arrangements 28 ARTICLE 9-ENGINEER'S STATUS DURING CONSTRUCTION 28 9.01 OWNER'S Representative 28 9.02 Visits to Site 28 9.03 Project Representative 29 9.04 Clarifications and Interpretations 29 9.05 Authorized Variations in Work 29 9.06 Rejecting Defective Work 29 9.07 Shop Drawings, Change Orders and Payments 29 9.09 Decisions on Requirements of Contract Documents and Acceptability of Work 30 9.10 Limitations on ENGINEER'S Authority and Responsibilities 30 ARTICLE 10-CHANGES IN THE WORK;CLAIMS 30 10.01 Authorized Changes in the Work 30 10.02 Unauthorized Changes in the Work 30 10.03 Execution of Change Orders 31 10.04 Notification to Surety 31 10.05 Claims and Disputes 31 ARTICLE 11-COST OF THE WORK;CASH ALLOWANCES;UNIT PRICE WORK 32 11.01 Cost of the Work 32 11.02 Cash Allowances 33 11.03 Unit Price Work 34 00700-4 1611A 1 ARTICLE 12-CHANGE OF CONTRACT PRICE;CHANGE OF CONTRACT TIMES 34 12.01 Change of Contract Price 34 12.02 Change of Contract Times 35 12.03 Delays Beyond CONTRACTORS Control 35 12,04 Delays Within CONTRACTOR'S Control 35 12.06 Delay Damages 35 ARTICLE 13 - TESTS AND INSPECTIONS; CORRECTION, REMOVAL OR ACCEPTANCE OF DEFECTIVE WORK 36 13.01 Notice of Defects 36 13.02 Access to Work 36 13.03 Tests and Inspections 36 13.04 Uncovering Work 36 13.05 OWNER May Stop the Work 37 13.06 Correction or Removal of Defective Work 37 13.07 Correction Period 37 13.08 Acceptance of Defective Work 37 13.09 OWNER May Correct Defective Work 38 ARTICLE 14-PAYMENTS TO CONTRACTOR AND COMPLETION 38 14.01 Schedule of Values 38 14.02 Progress Payments 38 14.03 CONTRACTOR'S Warranty of Title 40 14.04 Substantial Completion 40 14.05 Partial Utilization 41 14.06 Final Inspection 41 14.07 Final Payment 41 14.09 Waiver of Claims 42 ARTICLE 15-SUSPENSION OF WORK AND TERMINATION 42 15.01 OWNER May Suspend Work 42 15.02 OWNER May Terminate for Cause 42 15.03 OWNER May Terminate For Convenience 43 15.04 CONTRACTOR May Stop Work or Terminate 43 ARTICLE 16-DISPUTE RESOLUTION 44 16.01 Methods and Procedures 44 ARTICLE 17-MISCELLANEOUS 44 17.01 Giving Notice 44 17.02 Computation of Times 44 17.03 Cumulative Remedies 44 17.04 Survival of Obligations 44 17.05 Controlling Law 44 00700-5 1 6 1 1 A 1 GENERAL CONDITIONS ARTICLE 1 -DEFINITIONS AND TERMINOLOGY 10. Claim--A demand or assertion by OWNER or CONTRACTOR seeking an adjustment of Contract Price 1.01 Defined Terms or Contract Times, or both, or other relief with respect to the terms of the Contract. A demand for money or services A. Wherever used in the Contract Documents and by a third party is not a Claim. printed with initial or all capital letters, the terms listed below will have the meanings indicated which are 11. Contract—The entire and integrated written applicable to both the singular and plural thereof. agreement between the OWNER and CONTRACTOR concerning the Work. The Contract supersedes prior 1. Addenda—Written or graphic instruments negotiations, representations, or agreements, whether issued prior to the opening of Bids which clarify,correct,or written or oral. change the Bidding Requirements or the Contract Documents. 12. Contract Documents--The Contract Docu- ments establish the rights and obligations of the parties and 2. Agreement--The written instrument which is include the Agreement, Addenda (which pertain to the evidence of the agreement between OWNER and Contract Documents), CONTRACTOR'S Bid (including CONTRACTOR covering the Work, documentation accompanying the Bid and any post Bid documentation submitted prior to the Notice of Award) 3. Application for Payment--The form when attached as an exhibit to the Agreement,the Notice to acceptable to ENGINEER which is to he used by CON- Proceed, the Bonds, these General Conditions, the TRACTOR during the course of the Work in requesting Supplementary Conditions, the Specifications and the progress or final payments and which is to be accompanied Drawings as the same are more specifically identified in the by such supporting documentation as is required by the Agreement,together with all Written Amendments,Change Contract Documents. Orders, Work Change Directives, Field Orders, and ENGINEER'S written interpretations and clarifications 4. Asbestos--Any material that contains more issued on or after the Effective Date of the Agreement. than one percent asbestos and is friable or is releasing Approved Shop Drawings and the reports and drawings of asbestos fibers into the air above current action levels subsurface and physical conditions are not Contract established by the United States Occupational Safety and Documents. Only printed or hard copies of the items listed Health Administration. in this paragraph are Contract Documents. Files in electronic media format of text,data,graphics,and the like 5. Bid--The offer or proposal of a bidder submit- that may be furnished by OWNER to CONTRACTOR are ted on the prescribed form setting forth the prices for the not Contract Documents. Work to be performed. 13. Contract Price--The moneys payable by 6. Bidding Documents--The Bidding OWNER to CONTRACTOR for completion of the Work Requirements and the proposed Contract Documents (in- in accordance with the Contract Documents as stated in the eluding all Addenda issued prior to receipt of Bids). Agreement(subject to the provisions of paragraph 11.03 in the case of Unit Price Work). 7. Bidding Requirements—The Advertisement or Invitation to Bid,Instructions to Bidders,Bid security form, 14. Contract Times--The number of days or the if any,and the Bid form with any supplements. dates stated in the Agreement to: (i) achieve Substantial Completion;and(ii)complete the Work so that it is ready 8. Bonds--Performance and payment bonds and for final payment as evidenced by ENGINEER'S written other instruments of security. recommendation of final payment. 9. Change Order--A document recommended 15. CONTRACTOR--The individual or entity by ENGINEER which is signed by CONTRACTOR and with whom OWNER has entered into the Agreement. OWNER and authorizes an addition,deletion,or revision in 16. Cost of the Work--See paragraph 11.01.A for the Work or an adjustment in the Contract Price or the definition. Contract Times,issued on or after the Effective Date of the Agreement. 00700-6 1 6 1 1 A 1 17. Drawings--That part of the Contract date or time prior to Substantial Completion of all the Documents prepared or approved by ENGINEER which Work. graphically shows the scope, extent, and character of the Work to be performed by CONTRACTOR. Shop 28. Notice of Award--The written notice by Drawings and other CONTRACTOR submittals are not OWNER to the apparent successful bidder stating that upon Drawings as so defined. timely compliance by the apparent successful bidder with the conditions precedent listed therein, OWNER will sign 18. Effective Date of the Agreement--The date and deliver the Agreement. indicated in the Agreement on which it becomes effective, but if no such date is indicated,it means the date on which 29. Notice to Proceed--A written notice given by the Agreement is signed and delivered by the last of the two OWNER to CONTRACTOR fixing the date on which the parties to sign and deliver. Contract Times will commence to run and on which CONTRACTOR shall start to perform the Work under the 19. ENGINEER--The individual or entity named Contract Documents. as such in the Agreement. 30. OWNER--The individual,entity,public body, 20. ENGINEER'S Consultant--An individual or or authority with whom CONTRACTOR has entered into entity having a contract with ENGINEER to furnish the Agreement and for whom the Work is to be performed. services as ENGINEER'S independent professional associate or consultant with respect to the Project and who 31. Partial Utilization--Use by OWNER of a is identified as such in the Supplementary Conditions. substantially completed part of the Work for the purpose for which it is intended (or a related purpose) prior to 21. Field Order--A written order issued by Substantial Completion of all the Work. ENGINEER which requires minor changes in the Work but which does not involve a change in the Contract Price or 32. PCBs—Polychlorinated biphenyls. the Contract Times. 33. Petroleum--Petroleum, including crude oil or 22. General Requirements--Sections of Division any fraction thereof which is liquid at standard conditions l of the Specifications. The General Requirements pertain of temperature and pressure (60 degrees Fahrenheit and to all sections of the Specifications. 14.7 pounds per square inch absolute), such as oil, petroleum, fuel oil, oil sludge, oil refuse, gasoline, 23. Hazardous Environmental Condition--The kerosene, and oil mixed with other non-Hazardous Waste presence at the Site of Asbestos, PCBs, Petroleum, and crude oils. Hazardous Waste, or Radioactive Material in such quantities or circumstances that may present a substantial 34. Project--The total construction of which the danger to persons or property exposed thereto in connection Work to be performed under the Contract Documents may with the Work. be the whole,or a part as may be indicated elsewhere in the Contract Documents. 24. Hazardous Waste--The term Hazardous Waste shall have the meaning provided in Section 1004 of 35. Project Manual--The bound documentary the Solid Waste Disposal Act (42 USC Section 6903) as information prepared for bidding and constructing the amended from time to time. Work. A listing of the contents of the Project Manual, which may be bound in one or more volumes,is contained 25. Laws and Regulations;Laws or Regulations-- in the table(s)of contents. Any and all applicable laws,rules,regulations,ordinances, codes, and orders of any and all governmental bodies, 36. Radioactive Material--Source, special nude- agencies,authorities,and courts having jurisdiction. ar,or byproduct material as defined by the Atomic Energy Act of 1954 (42 USC Section 2011 et seq.) as amended 26. Liens--Charges, security interests, or from time to time. encumbrances upon Project funds, real property, or personal property. 37. Resident Project Representative--The autho- rized representative of ENGINEER who may be assigned 27. Milestone--A principal event specified in the to the Site or any part thereof. Contract Documents relating to an intermediate completion 00700-7 1 6 1 1 A 1 38. Samples--Physical examples of materials, television,water,wastewater,storm water,other liquids or equipment,or workmanship that are representative of some chemicals,or traffic or other control systems. portion of the Work and which establish the standards by which such portion of the Work will be judged. 47. Unit Price Work--Work to be paid for on the basis of unit prices. 39. Shop Drawings--All drawings, diagrams, illustrations,schedules,and other data or information which 48. Work--The entire completed construction or are specifically prepared or assembled by or for CON- the various separately identifiable parts thereof required to TRACTOR and submitted by CONTRACTOR to illustrate be provided under the Contract Documents. Work includes some portion of the Work. and is the result of performing or providing all labor, services, and documentation necessary to produce such 40. Site--Lands or areas indicated in the Contract construction, and furnishing, installing, and incorporating Documents as being furnished by OWNER upon which the all materials and equipment into such construction, all as Work is to be performed, including rights-of-way and required by the Contract Documents. easements for access thereto, and such other lands furnished by OWNER which are designated for the use of 49. Work Change Directive--A written statement CONTRACTOR. to CONTRACTOR issued on or after the Effective Date of the Agreement and signed by OWNER and recommended 41. Specifications--That part of the Contract by ENGINEER ordering an addition,deletion, or revision Documents consisting of written technical descriptions of in the Work, or responding to differing or unforeseen materials,equipment,systems,standards,and workmanship subsurface or physical conditions under which the Work is as applied to the Work and certain administrative details to be performed or to emergencies. A Work Change applicable thereto. Directive will not change the Contract Price or the Contract Times but is evidence that the parties expect that the change 42. Subcontractor—An individual or entity ordered or documented by a Work Change Directive will having a direct contract with CONTRACTOR or with any be incorporated in a subsequently issued Change Order other Subcontractor for the performance of a part of the following negotiations by the parties as to its effect,if any, Work at the Site. on the Contract Price or Contract Times. 43. Substantial Completion--The time at which 50. Written Amendment--A written statement the Work(or a specified part thereof)has progressed to the modifying the Contract Documents, signed by OWNER point where,in the opinion of ENGINEER,the Work(or a and CONTRACTOR on or after the Effective Date of the specified part thereof) is sufficiently complete, in Agreement and normally dealing with the nonengineering accordance with the Contract Documents,so that the Work or nontechnical rather than strictly construction-related (or a specified part thereof)can be utilized for the purposes aspects of the Contract Documents. for which it is intended. The terms "substantially complete"and"substantially completed"as applied to all or 1.02 Terminology part of the Work refer to Substantial Completion thereof. A. Intent of Certain Terms or Adjectives 44. Supplementary Conditions--That part of the Contract Documents which amends or supplements these 1. Whenever in the Contract Documents the General Conditions. terms "as allowed," "as approved," or terms of like effect or import are used,or the adjectives"reasonable," 45. Supplier--A manufacturer, fabricator, suppli- "suitable," "acceptable," "proper," "satisfactory," or er, distributor, materialman, or vendor having a direct adjectives of like effect or import are used to describe contract with CONTRACTOR or with any Subcontractor an action or determination of ENGINEER as to the to furnish materials or equipment to be incorporated in the Work, it is intended that such action or determination Work by CONTRACTOR or any Subcontractor. will be solely to evaluate, in general, the completed Work for compliance with the requirements of and 46. Underground Facilities--All underground information in the Contract Documents and confor- pipelines, conduits, ducts, cables,wires,manholes, vaults, mance with the design concept of the completed Project tanks, tunnels, or other such facilities or attachments, and as a functioning whole as shown or indicated in the any encasements containing such facilities,including those Contract Documents (unless there is a specific that convey electricity, gases, steam, liquid petroleum statement indicating otherwise). The use of any such products, telephone or other communications, cable term or adjective shall not be effective to assign to 00700-8 1611A1 ENGINEER any duty or authority to supervise or direct technical or construction industry or trade meaning are used the performance of the Work or any duty or authority in the Contract Documents in accordance with such to undertake responsibility contrary to the provisions of recognized meaning. paragraph 9.10 or any other provision of the Contract Documents. ARTICLE 2-PRELIMINARY MATTERS B. Day 1. The word "day" shall constitute a 2.01 Delivery of Bonds calendar day of 24 hours measured from midnight to the next midnight. A. When CONTRACTOR delivers the executed Agreements to OWNER, CONTRACTOR shall also C. Defective deliver to OWNER such Bonds as CONTRACTOR may be required to furnish. 1. The word "defective," when modifying the word "Work," refers to Work that is 2.02 Copies of Documents unsatisfactory,faulty,or deficient in that it does not conform to the Contract Documents or does not A. OWNER shall furnish to CONTRACTOR up to meet the requirements of any inspection, reference ten copies of the Contract Documents. Additional copies standard,test,or approval referred to in the Contract will be furnished upon request at the cost of reproduction. Documents, or has been damaged prior to ENGINEER'S recommendation of final payment 2.03 Commencement of Contract Times;Notice to (unless responsibility for the protection thereof has Proceed been assumed by OWNER at Substantial Completion in accordance with paragraph 14.04 or A. The Contract Times will commence to run on the 14.05). thirtieth day after the Effective Date of the Agreement or,if a Notice to Proceed is given, on the day indicated in the D. Furnish,Install,Perform,Provide Notice to Proceed. A Notice to Proceed may be given at any time within 30 days after the Effective Date of the 1. The word "furnish," when used in Agreement. In no event will the Contract Times commence connection with services, materials, or equipment, to run later than the sixtieth day after the day of Bid shall mean to supply and deliver said services, opening or the thirtieth day after the Effective Date of the materials, or equipment to the Site (or some other Agreement,whichever date is earlier. specified location)ready for use or installation and in usable or operable condition. 2.04 Starting the Work 2. The word "install," when used in A. CONTRACTOR shall start to perform the Work connection with services, materials, or equipment, on the date when the Contract Times commence to run. No shall mean to put into use or place in final position Work shall be done at the Site prior to the date on which said services,materials,or equipment complete and the Contract Times commence to run. ready for intended use. 2.05 Before Starting Construction 3. The words"perform"or"provide,"when used in connection with services, materials, or A. CONTRACTOR'S Review of Contract Docu- equipment, shall mean to furnish and install said ments: Before undertaking each part of the Work, services, materials, or equipment complete and CONTRACTOR shall carefully study and compare the ready for intended use. Contract Documents and check and verify pertinent figures therein and all applicable field measurements. 4. When "furnish," "install," "perform," or CONTRACTOR shall promptly report in writing to "provide" is not used in connection with services, ENGINEER any conflict,error, ambiguity, or discrepancy materials,or equipment in a context clearly requiring an which CONTRACTOR may discover and shall obtain a obligation of CONTRACTOR,"provide"is implied. written interpretation or clarification from ENGINEER before proceeding with any Work affected thereby; E. Unless stated otherwise in the Contract Docu- however, CONTRACTOR shall not be liable to OWNER ments, words or phrases which have a well-known or ENGINEER for failure to report any conflict, error, 00700-9 1611A1 ambiguity, or discrepancy in the Contract Documents 2.07 Initial Acceptance of Schedules unless CONTRACTOR knew or reasonably should have known thereof. A. Unless otherwise provided in the Contract Docu- ments, at least ten days before submission of the first B. Preliminary Schedules: Within ten days after the Application for Payment a conference attended by CON- Effective Date of the Agreement (unless otherwise speci- TRACTOR,ENGINEER,and others as appropriate will be fled in the General Requirements), CONTRACTOR shall held to review for acceptability to ENGINEER as provided submit to ENGINEER for its timely review: below the schedules submitted in accordance with paragraph 2.05.B. CONTRACTOR shall have an 1. a preliminary progress schedule indicat- additional ten days to make corrections and adjustments ing the times(numbers of days or dates)for starting and to complete and resubmit the schedules. No progress and completing the various stages of the Work, payment shall be made to CONTRACTOR until acceptable including any Milestones specified in the Contract schedules arc submitted to ENGINEER. Documents; 1. The progress schedule will be acceptable 2. a preliminary schedule of Shop Drawing to ENGINEER if it provides an orderly progression and Sample submittals which will list each required of the Work to completion within any specified submittal and the times for submitting, reviewing, Milestones and the Contract Times. Such accep- and processing such submittal;and tance will not impose on ENGINEER responsibility for the progress schedule, for sequencing, schedul- 3. a preliminary schedule of values for all ing, or progress of the Work nor interfere with or of the Work which includes quantities and prices of relieve CONTRACTOR from CONTRACTOR'S items which when added together equal the Contract full responsibility therefore. Price and subdivides the Work into component parts in sufficient detail to serve as the basis for progress 2. CONTRACTOR'S schedule of Shop payments during performance of the Work. Such Drawing and Sample submittals will be acceptable prices will include an appropriate amount of to ENGINEER if it provides a workable overhead and profit applicable to each item of arrangement for reviewing and processing the Work, required submittals. 3. CONTRACTOR'S schedule of values C. Evidence of Insurance: Before any Work at the will be acceptable to ENGINEER as to form and Site is started, CONTRACTOR and OWNER shall each substance if it provides a reasonable allocation of deliver to the other,with copies to each additional insured the Contract Price to component parts of the Work. identified in the Supplementary Conditions, certificates of insurance(and other evidence of insurance which either of them or any additional insured may reasonably request) ARTICLE 3-CONTRACT DOCUMENTS:INTENT, which CONTRACTOR and OWNER respectively are AMENDING,REUSE required to purchase and maintain in accordance with Article 5. 3.01 Intent 2.06 Preconstruction Conference A. The Contract Documents are complementary; A. Within 20 days after the Contract Times start to what is called for by one is as binding as if called for by all. run,but before any Work at the Site is started,a conference attended by CONTRACTOR, ENGINEER, and others as appropriate will be held to establish a working B. It is the intent of the Contract Documents to understanding among the parties as to the Work and to describe a functionally complete Project(or part thereof)to discuss the schedules referred to in paragraph 2.05.B, be constructed in accordance with the Contract Documents. procedures for handling Shop Drawings and other Any labor, documentation, services, materials, or equip- submittals, processing Applications for Payment, and ment that may reasonably be inferred from the Contract maintaining required records. Documents or from prevailing custom or trade usage as being required to produce the intended result will be provided whether or not specifically called for at no additional cost to OWNER. 00700- 10 1611A1 C. Clarifications and interpretations of the Contract such conflict, error, ambiguity, or discrepancy Documents shall be issued by ENGINEER as provided in unless CONTRACTOR knew or reasonably should Article 9. have known thereof. 3.02 Reference Standards B. Resolving Discrepancies A. Standards, Specifications, Codes, Laws, and 1. Except as may be otherwise specifically Regulations stated in the Contract Documents,the provisions of the Contract Documents shall take precedence in 1. Reference to standards, specifications, resolving any conflict, error, ambiguity, or manuals, or codes of any technical society, discrepancy between the provisions of the Contract organization, or association, or to Laws or Documents and: Regulations, whether such reference be specific or by implication, shall mean the standard, a. the provisions of any standard, specification,manual,code,or Laws or Regulations specification, manual, code, or instruction in effect at the time of opening of Bids (or on the (whether or not specifically incorporated by Effective Date of the Agreement if there were no reference in the Contract Documents);or Bids),except as may be otherwise specifically stated in the Contract Documents. b. the provisions of any Laws or Regulations applicable to the performance of the 2. No provision of any such standard, Work(unless such an interpretation of the provi- specification,manual or code,or any instruction of sions of the Contract Documents would result in a Supplier shall be effective to change the duties or violation of such Law or Regulation). responsibilities of OWNER, CONTRACTOR, or ENGINEER,or any of their subcontractors,consul- 3.04 Amending and Supplementing Contract tants, agents, or employees from those set forth in Documents the Contract Documents, nor shall any such provision or instruction be effective to assign to A. The Contract Documents may be amended to OWNER, ENGINEER, or any of ENGINEER'S provide for additions,deletions, and revisions in the Work Consultants, agents, or employees any duty or or to modify the terms and conditions thereof in one or authority to supervise or direct the performance of more of the following ways:(i)a Written Amendment;(ii) the Work or any duty or authority to undertake a Change Order,or(iii)a Work Change Directive. responsibility inconsistent with the provisions of the Contract Documents. B. The requirements of the Contract Documents may be supplemented, and minor variations and deviations in 3.03 Reporting and Resolving Discrepancies the Work may be authorized, by one or more of the following ways: (i) a Field Order; (ii) ENGINEER'S A. Reporting Discrepancies approval of a Shop Drawing or Sample; or (iii) ENGINEER'S written interpretation or clarification. 1. If, during the performance of the Work, CONTRACTOR discovers any conflict, error, 3.05 Reuse of Documents ambiguity, or discrepancy within the Contract Documents or between the Contract Documents and A. CONTRACTOR and any Subcontractor or any provision of any Law or Regulation applicable Supplier or other individual or entity performing or to the performance of the Work or of any standard, furnishing any of the Work under a direct or indirect specification,manual or code,or of any instruction contract with OWNER: (i) shall not have or acquire any of any Supplier, CONTRACTOR shall report it to title to or ownership rights in any of the Drawings, ENGINEER in writing at once. CONTRACTOR Specifications, or other documents (or copies of any shall not proceed with the Work affected thereby thereof)prepared by or bearing the seal of ENGINEER or (except in an emergency as required by paragraph ENGINEER'S Consultant, including electronic media 6.16.A) until an amendment or supplement to the editions; and (ii) shall not reuse any of such Drawings, Contract Documents has been issued by one of the Specifications, other documents, or copies thereof on methods indicated in paragraph 3.04; provided, extensions of the Project or any other project without however,that CONTRACTOR shall not be liable to written consent of OWNER and ENGINEER and specific OWNER or ENGINEER for failure to report any written verification or adaption by ENGINEER. This 00700-11 1611A1 prohibition will survive fmal payment, completion, and Underground Facilities) that ENGINEER has used acceptance of the Work, or termination or completion of in preparing the Contract Documents. the Contract. Nothing herein shall preclude CONTRACTOR from retaining copies of the Contract B. Limited Reliance by CONTRACTOR on Technical Documents for record purposes. Data Authorized: CONTRACTOR may rely upon the general accuracy of the"technical data"contained in such reports and drawings,but such reports and drawings are not ARTICLE 4-AVAILABILITY OF LANDS; Contract Documents. Such"technical data"is identified in SUBSURFACE AND PHYSICAL CONDITIONS; the Supplementary Conditions. Except for such reliance on REFERENCE POINTS such"technical data,"CONTRACTOR may not rely upon or make any Claim against OWNER,ENGINEER,or any of ENGINEER'S Consultants with respect to: 4.01 Availability of Lands 1. the completeness of such reports and A. OWNER shall furnish the Site. OWNER shall drawings for CONTRACTOR'S purposes, includ- notify CONTRACTOR of any encumbrances or restrictions ing, but not limited to, any aspects of the means, not of general application but specifically related to use of methods, techniques, sequences, and procedures of the Site with which CONTRACTOR must comply in construction to be employed by CONTRACTOR, performing the Work. OWNER will obtain in a timely and safety precautions and programs incident manner and pay for easements for permanent structures or thereto;or permanent changes in existing facilities. If CON- TRACTOR and OWNER are unable to agree on entitle- 2. other data, interpretations, opinions,and meat to or on the amount or extent, if any, of any adjust- information contained in such reports or shown or ment in the Contract Price or Contract Times,or both,as a indicated in such drawings;or result of any delay in OWNER'S furnishing the Site, CONTRACTOR may make a Claim therefore as provided 3. any CONTRACTOR interpretation of or in paragraph 10.05. conclusion drawn from any"technical data" or any such other data, interpretations, opinions, or infor- B. Upon reasonable written request, OWNER shall mation. furnish CONTRACTOR with a current statement of record legal title and legal description of the lands upon which the 4.03 DJering Subsurface or Physical Conditions Work is to be performed and OWNER'S interest therein as necessary for giving notice of or filing a mechanic's or A. Notice: If CONTRACTOR believes that any construction lien against such lands in accordance with subsurface or physical condition at or contiguous to the Site applicable Laws and Regulations. that is uncovered or revealed either: C. CONTRACTOR shall provide for all additional 1. is of such a nature as to establish that any lands and access thereto that may be required for temporary "technical data" on which CONTRACTOR is construction facilities or storage of materials and equip- entitled to rely as provided in paragraph 4.02 is ment. materially inaccurate;or 4.02 Subsurface and Physical Conditions 2. is of such a nature as to require a change in the Contract Documents;or A. Reports and Drawings: The Supplementary Conditions identify: 3. differs materially from that shown or indicated in the Contract Documents;or 1. those reports of explorations and tests of subsurface conditions at or contiguous to the Site 4. is of an unusual nature, and differs materially from that ENGINEER has used in preparing the Contract conditions ordinarily encountered and generally recognized Documents;and as inherent in work of the character provided for in the Contract Documents; 2. those drawings of physical conditions in or relating to existing surface or subsurface struc- then CONTRACTOR shall,promptly after becoming aware tures at or contiguous to the Site (except thereof and before further disturbing the subsurface or physical conditions or performing any Work in connection 00700- 12 1611A1 therewith(except in an emergency as required by paragraph c. CONTRACTOR failed to give the 6.16.A),notify OWNER and ENGINEER in writing about written notice within the time and as required by such condition. CONTRACTOR shall not further disturb paragraph 4.03.A. such condition or perform any Work in connection therewith(except as aforesaid)until receipt of written order 3. If OWNER and CONTRACTOR are to do so. unable to agree on entitlement to or on the amount or extent,if any,of any adjustment in the Contract B. ENGINEER'S Review: After receipt of written Price or Contract Times, or both, a Claim may be notice as required by paragraph 4.03.A, ENGINEER will made therefore as provided in paragraph 10.05. promptly review the pertinent condition, determine the However, OWNER, ENGINEER, and necessity of OWNER'S obtaining additional exploration or ENGINEER'S Consultants shall not be liable to tests with respect thereto, and advise OWNER in writing CONTRACTOR for any claims, costs, losses, or (with a copy to CONTRACTOR) of ENGINEER'S damages (including but not limited to all fees and findings and conclusions. charges of engineers,architects,attorneys,and other professionals and all court or arbitration or other C. Possible Price and Times Adjustments dispute resolution costs) sustained by CONTRACTOR on or in connection with any other 1. The Contract Price or the Contract project or anticipated project. Times, or both, will be equitably adjusted to the extent that the existence of such differing subsurface 4.04 Underground Facilities or physical condition causes an increase or decrease in CONTRACTOR'S cost of, or time required for, A. Shown or Indicated: The information and data performance of the Work; subject, however, to the shown or indicated in the Contract Documents with respect following: to existing Underground Facilities at or contiguous to the Site is based on information and data furnished to OWNER a. such condition must meet any one or or ENGINEER by the owners of such Underground Facili- more of the categories described in paragraph ties, including OWNER, or by others. Unless it is 4.03.A;and otherwise expressly provided in the Supplementary Condi- tions: b.with respect to Work that is paid for on a Unit Price Basis, any adjustment in Contract 1. OWNER and ENGINEER shall not be Price will be subject to the provisions of para- responsible for the accuracy or completeness of any graphs 9.08 and 11.03. such information or data;and 2. CONTRACTOR shall not be entitled to 2. the cost of all of the following will be any adjustment in the Contract Price or Contract included in the Contract Price,and CONTRACTOR Times if shall have full responsibility for: a. CONTRACTOR knew of the existence a. reviewing and checking all such of such conditions at the time CONTRACTOR information and data, made a final commitment to OWNER in respect of Contract Price and Contract Times by the b. locating all Underground Facilities submission of a Bid or becoming bound under a shown or indicated in the Contract Documents, negotiated contract;or c. coordination of the Work with the b. the existence of such condition could owners of such Underground Facilities, reasonably have been discovered or revealed as including OWNER,during construction,and a result of any examination,investigation,explo- ration, test, or study of the Site and contiguous d. the safety and protection of all such areas required by the Bidding Requirements or Underground Facilities and repairing any Contract Documents to be conducted by or for damage thereto resulting from the Work. CONTRACTOR prior to CONTRACTOR'S making such final commitment;or B. Not Shown or Indicated 00700- 13 1 6 1 1 A 1 I. If an Underground Facility is uncovered or property monuments by professionally qualified or revealed at or contiguous to the Sitc which was personnel. not shown or indicated, or not shown or indicated with reasonable accuracy in the Contract 4.06 Hazardous Environmental Condition at Site Documents, CONTRACTOR shall, promptly after becoming aware thereof and before further A. Reports and Drawings: Reference is made to the disturbing conditions affected thereby or performing Supplementary Conditions for the identification of those any Work in connection therewith (except in an reports and drawings relating to a Hazardous emergency as required by paragraph 6.16.A), Environmental Condition identified at the Site, if any,that identify the owner of such Underground Facility have been utilized by the ENGINEER in the preparation of and give written notice to that owner and to the Contract Documents. OWNER and ENGINEER. ENGINEER will promptly review the Underground Facility and B. Limited Reliance by CONTRACTOR on Technical determine the extent, if any, to which a change is Data Authorized: CONTRACTOR may rely upon the required in the Contract Documents to reflect and general accuracy of the"technical data"contained in such document the consequences of the existence or reports and drawings,but such reports and drawings are not location of the Underground Facility. During such Contract Documents. Such"technical data"is identified in time, CONTRACTOR shall be responsible for the the Supplementary Conditions. Except for such reliance on safety and protection of such Underground Facility. such"technical data,"CONTRACTOR may not rely upon or make any Claim against OWNER, ENGINEER or any of ENGINEER'S Consultants with respect to: 2. If ENGINEER concludes that a change in the Contract Documents is required, a Work 1. the completeness of such reports and Change Directive or a Change Order will be issued drawings for CONTRACTOR'S purposes, to reflect and document such consequences. An including, but not limited to, any aspects of the equitable adjustment shall be made in the Contract means, methods, techniques, sequences and Price of Contract Times, or both,to the extent that procedures of construction to be employed by they are attributable to the existence or location of CONTRACTOR and safety precautions and any Underground Facility that was not shown or programs incident thereto;or indicated or not shown or indicated with reasonable accuracy in the Contract Documents and that 2. other data, interpretations, opinions and CONTRACTOR did not know of and could not information contained in such reports or shown or reasonably have been expected to be aware of or to indicated in such drawings;or have anticipated. If OWNER and CONTRACTOR are unable to agree on entitlement to or on the 3. any CONTRACTOR interpretation of or amount or extent,if any,of any such adjustment in conclusion drawn from any"technical data"or any Contract Price or Contract Times, OWNER or such other data, interpretations, opinions or CONTRACTOR may make a Claim therefor as information. provided in paragraph 10.05. C. CONTRACTOR shall not be responsible for any 4.05 Reference Points Hazardous Environmental Condition uncovered or revealed at the Site which was not shown or indicated in Drawings A. OWNER shall provide engineering surveys to or Specifications or identified in the Contract Documents to establish reference points for construction which in be within the scope of the Work. CONTRACTOR shall be ENGINEER'S judgment are necessary to enable CON- responsible for a Hazardous Environmental Condition TRACTOR to proceed with the Work. CONTRACTOR created with any materials brought to the Site by CON- shall be responsible for laying out the Work, shall protect TRACTOR, Subcontractors, Suppliers, or anyone else for and preserve the established reference points and property whom CONTRACTOR is responsible. monuments, and shall make no changes or relocations without the prior written approval of OWNER. D. If CONTRACTOR encounters a Hazardous CONTRACTOR shall report to ENGINEER whenever any Environmental Condition or if CONTRACTOR or anyone reference point or property monument is lost or destroyed for whom CONTRACTOR is responsible creates a or requires relocation because of necessary changes in Hazardous Environmental Condition, CONTRACTOR grades or locations, and shall be responsible for the shall immediately: (i) secure or otherwise isolate such accurate replacement or relocation of such reference points condition; (ii) stop all Work in connection with such 00700- 14 1611A1 condition and in any area affected thereby (except in an 4.06.E shall obligate OWNER to indemnify any individual emergency as required by paragraph 6.16);and(iii)notify or entity from and against the consequences of that OWNER and ENGINEER (and promptly thereafter individual's or entity's own negligence. confirm such notice in writing). OWNER shall promptly consult with ENGINEER concerning the necessity for H. To the fullest extent permitted by Laws and OWNER to retain a qualified expert to evaluate such condi- Regulations, CONTRACTOR shall indemnify and hold tion or take corrective action,if any. harmless OWNER, ENGINEER, ENGINEER'S Consul- tants, and the officers, directors, partners, employees, E. CONTRACTOR shall not be required to resume agents, other consultants, and subcontractors of each and Work in connection with such condition or in any affected any of them from and against all claims,costs,losses,and area until after OWNER has obtained any required permits damages (including but not limited to all fees and charges related thereto and delivered to CONTRACTOR written of engineers, architects, attorneys, and other professionals notice: (i) specifying that such condition and any affected and all court or arbitration or other dispute resolution costs) area is or has been rendered safe for the resumption of arising out of or relating to a Hazardous Environmental Work;or(ii)specifying any special conditions under which Condition created by CONTRACTOR or by anyone for such Work may be resumed safely. If OWNER and whom CONTRACTOR is responsible. Nothing in this CONTRACTOR cannot agree as to entitlement to or on the paragraph 4.06.F shall obligate CONTRACTOR to amount or extent, if any, of any adjustment in Contract indemnify any individual or entity from and against the Price or Contract Times,or both,as a result of such Work consequences of that individual's or entity's own negli- stoppage or such special conditions under which Work is gence. agreed to be resumed by CONTRACTOR,either party may make a Claim therefore as provided in paragraph 10.05. I. The provisions of paragraphs 4.02,4.03,and 4.04 are not intended to apply to a Hazardous Environmental F. If after receipt of such written notice Condition uncovered or revealed at the Site. CONTRACTOR does not agree to resume such Work based on a reasonable belief it is unsafe,or does not agree to resume such Work under such special conditions, then ARTICLE 5-BONDS AND INSURANCE OWNER may order the portion of the Work that is in the area affected by such condition to be deleted from the Work. If OWNER and CONTRACTOR cannot agree as to 5.01 Performance,Payment,and Other Bonds entitlement to or on the amount or extent, if any, of an adjustment in Contract Price or Contract Times as a result A. CONTRACTOR shall furnish performance and of deleting such portion of the Work,then either party may payment Bonds, each in an amount at least equal to the make a Claim therefore as provided in paragraph 10.05. Contract Price as security for the faithful performance and OWNER may have such deleted portion of the Work payment of all CONTRACTOR'S obligations under the performed by OWNER'S own forces or others in accor- Contract Documents. These Bonds shall remain in effect at dance with Article 7. least until one year after the date when final payment becomes due, except as provided otherwise by Laws or G. To the fullest extent permitted by Laws and Regulations or by the Contract Documents. CONTRAC- Regulations, OWNER shall indemnify and hold harmless TOR shall also furnish such other Bonds as are required by CONTRACTOR, Subcontractors, ENGINEER, the Contract Documents. ENGINEER'S Consultants and the officers, directors, partners, employees, agents, other consultants, and B. All Bonds shall be in the form prescribed by the subcontractors of each and any of them from and against all Contract Documents except as provided otherwise by Laws claims, costs, losses, and damages (including but not or Regulations, and shall be executed by such sureties as limited to all fees and charges of engineers, architects, are named in the current list of "Companies Holding attorneys, and other professionals and all court or Certificates of Authority as Acceptable Sureties on Federal arbitration or other dispute resolution costs) arising out of Bonds and as Acceptable Reinsuring Companies" as pub- or relating to a Hazardous Environmental Condition, lished in Circular 570 (amended) by the Financial provided that such Hazardous Environmental Condition: Management Service, Surety Bond Branch, U.S. (i) was not shown or indicated in the Drawings or Department of the Treasury. All Bonds signed by an agent Specifications or identified in the Contract Documents to be must be accompanied by a certified copy of such agent's included within the scope of the Work, and (ii) was not authority to act. created by CONTRACTOR or by anyone for whom CONTRACTOR is responsible. Nothing in this paragraph 00700- 15 1 6 1 1 A 1 C. If the surety on any Bond furnished by CON- 2. claims for damages because of bodily TRACTOR is declared bankrupt or becomes insolvent or injury,occupational sickness or disease,or death of its right to do business is terminated in any state where any CONTRACTOR'S employees; part of the Project is located or it ceases to meet the requirements of paragraph 5.01.B, CONTRACTOR shall 3. claims for damages because of bodily within 20 days thereafter substitute another Bond and injury, sickness or disease, or death of any person surety,both of which shall comply with the requirements of other than CONTRACTOR'S employees; paragraphs 5.01.B and 5.02. 4. claims for damages insured by 5.02 Licensed Sureties and Insurers reasonably available personal injury liability coverage which are sustained:(i)by any person as a A. All Bonds and insurance required by the Contract result of an offense directly or indirectly related to Documents to be purchased and maintained by OWNER or the employment of such person by CONTRACTOR shall be obtained from surety or insurance CONTRACTOR,or(ii)by any other person for any companies that are duly licensed or authorized in the other reason; jurisdiction in which the Project is located to issue Bonds or insurance policies for the limits and coverages so required. 5. claims for damages, other than to the Such surety and insurance companies shall also meet such Work itself; because of injury to or destruction of additional requirements and qualifications as may be tangible property wherever located, including loss provided in the Supplementary Conditions. of use resulting therefrom;and 5.03 Certificates of Insurance 6. claims for damages because of bodily injury or death of any person or property damage A. CONTRACTOR shall deliver to OWNER, with arising out of the ownership,maintenance or use of copies to each additional insured identified in the Supple- any motor vehicle. mentary Conditions, certificates of insurance (and other evidence of insurance requested by OWNER or any other B. The policies of insurance so required by this additional insured) which CONTRACTOR is required to paragraph 5.04 to be purchased and maintained shall: purchase and maintain. OWNER shall deliver to CONTRACTOR, with copies to each additional insured 1. with respect to insurance required by identified in the Supplementary Conditions, certificates of paragraphs 5.04.A.3 through 5.04.A.6 inclusive, insurance (and other evidence of insurance requested by include as additional insureds (subject to any CONTRACTOR or any other additional insured) which customary exclusion in respect of professional OWNER is required to purchase and maintain. liability) OWNER, ENGINEER, ENGINEER'S Consultants, and any other individuals or entities 5.04 CONTRACTOR'S Liability Insurance identified in the Supplementary Conditions, all of whom shall be listed as additional insureds, and A. CONTRACTOR shall purchase and maintain such include coverage for the respective officers, liability and other insurance as is appropriate for the Work directors, partners, employees, agents, and other being performed and as will provide protection from claims consultants and subcontractors of each and any of set forth below which may arise out of or result from all such additional insureds, and the insurance CONTRACTOR'S performance of the Work and afforded to these additional insureds shall provide CONTRACTOR'S other obligations under the Contract primary coverage for all claims covered thereby; Documents, whether it is to be performed by CONTRACTOR, any Subcontractor or Supplier, or by 2. include at least the specific coverages anyone directly or indirectly employed by any of them to and be written for not less than the limits of liability perform any of the Work,or by anyone for whose acts any provided in the Supplementary Conditions or of them may be liable: required by Laws or Regulations, whichever is greater; 1. claims under workers' compensation, disability benefits, and other similar employee 3. include completed operations insurance; benefit acts; 4. include contractual liability insurance covering CONTRACTOR'S indemnity obligations under paragraphs 6.07,6.11,and 6.20; 00700-16 1 6 1 1 A 1 them,each of whom is deemed to have an insurable 5. contain a provision or endorsement that interest and shall be listed as an additional insured; the coverage afforded will not be canceled,materi- 2. be written on a Builder's Risk"all-risk" ally changed or renewal refused until at least thirty or open peril or special causes of loss policy form days prior written notice has been given to OWNER that shall at least include insurance for physical loss and CONTRACTOR and to each other additional or damage to the Work, temporary buildings, false insured identified in the Supplementary Conditions work, and materials and equipment in transit, and to whom a certificate of insurance has been issued shall insure against at least the following perils or (and the certificates of insurance furnished by the causes of loss: fire, lightning, extended coverage, CONTRACTOR pursuant to paragraph 5.03 will so theft,vandalism and malicious mischief,earthquake, provide); collapse,debris removal,demolition occasioned by enforcement of Laws and Regulations, water dam- 6. remain in effect at least until final age,and such other perils or causes of loss as may payment and at all times thereafter when CON- be specifically required by the Supplementary TRACTOR may be correcting,removing,or replac- Conditions; ing defective Work in accordance with paragraph 13.07;and 3. include expenses incurred in the repair or replacement of any insured property(including but 7. with respect to completed operations not limited to fees and charges of engineers and insurance, and any insurance coverage written on a architects); claims-made basis,remain in effect for at least two years after final payment (and CONTRACTOR 4. cover materials and equipment stored at shall furnish OWNER and each other additional the Site or at another location that was agreed to in insured identified in the Supplementary Conditions, writing by OWNER prior to being incorporated in to whom a certificate of insurance has been issued, the Work,provided that such materials and equip- evidence satisfactory to OWNER and any such meat have been included in an Application for additional insured of continuation of such insurance Payment recommended by ENGINEER; at final payment and one year thereafter). 5. allow for partial utilization of the Work 5.05 OWNERS Liability Insurance by OWNER; A. In addition to the insurance required to be provid- 6. include testing and startup;and ed by CONTRACTOR under paragraph 5.04,OWNER,at OWNER'S option, may purchase and maintain at 7. be maintained in effect until fmal pay- OWNER'S expense OWNER'S own liability insurance as meat is made unless otherwise agreed to in writing will protect OWNER against claims which may arise from by OWNER, CONTRACTOR, and ENGINEER operations under the Contract Documents. with 30 days written notice to each other additional insured to whom a certificate of insurance has been 5.06 Property Insurance issued. A. Unless otherwise provided in the Supplementary B. OWNER shall purchase and maintain such boiler Conditions,OWNER shall purchase and maintain property and machinery insurance or additional property insurance insurance upon the Work at the Site in the amount of the as may be required by the Supplementary Conditions or full replacement cost thereof(subject to such deductible Laws and Regulations which will include the interests of amounts as may be provided in the Supplementary OWNER, CONTRACTOR, Subcontractors, ENGINEER, Conditions or required by Laws and Regulations). This ENGINEER'S Consultants, and any other individuals or insurance shall: entities identified in the Supplementary Conditions,each of whom is deemed to have an insurable interest and shall be 1. include the interests of OWNER, CON- listed as an insured or additional insured. TRACTOR, Subcontractors, ENGINEER, ENGINEER'S Consultants, and any other C. All the policies of insurance (and the certificates individuals or entities identified in the or other evidence thereof) required to be purchased and Supplementary Conditions, and the officers, maintained in accordance with paragraph 5.06 will contain directors, partners, employees, agents, and other a provision or endorsement that the coverage afforded will consultants and subcontractors of each and any of not be canceled or materially changed or renewal refused 00700-17 1611A1 until at least 30 days prior written notice has been given to (and the officers,directors,partners,employees,agents,and OWNER and CONTRACTOR and to each other additional other consultants and subcontractors of each and any of insured to whom a certificate of insurance has been issued them) under such policies for losses and damages so and will contain waiver provisions in accordance with caused. None of the above waivers shall extend to the paragraph 5.07. rights that any party making such waiver may have to the proceeds of insurance held by OWNER as trustee or other- D. OWNER shall not be responsible for purchasing wise payable under any policy so issued. and maintaining any property insurance specified in this paragraph 5.06 to protect the interests of CONTRACTOR, B. OWNER waives all rights against Subcontractors,or others in the Work to the extent of any CONTRACTOR, Subcontractors, ENGINEER, deductible amounts that are identified in the Supplementary ENGINEER'S Consultants, and the officers, directors, Conditions. The risk of loss within such identified partners, employees, agents, and other consultants and deductible amount will be borne by CONTRACTOR, subcontractors of each and any of them for: Subcontractors,or others suffering any such loss,and if any of them wishes property insurance coverage within the 1. loss due to business interruption,loss of limits of such amounts,each may purchase and maintain it use, or other consequential loss extending beyond at the purchaser's own expense. direct physical loss or damage to OWNER'S property or the Work caused by, arising out of, or E. If CONTRACTOR requests in writing that other resulting from fire or other peril whether or not special insurance be included in the property insurance insured by OWNER;and policies provided under paragraph 5.06, OWNER shall, if possible, include such insurance, and the cost thereof will 2. loss or damage to the completed Project be charged to CONTRACTOR by appropriate Change or part thereof caused by,arising out of,or resulting Order or Written Amendment. Prior to commencement of from fire or other insured peril or cause of loss the Work at the Site, OWNER shall in writing advise covered by any property insurance maintained on CONTRACTOR whether or not such other insurance has the completed Project or part thereof by OWNER been procured by OWNER. during partial utilization pursuant to paragraph 14.05, after Substantial Completion pursuant to 5.07 Waiver of Rights paragraph 14.04,or after final payment pursuant to paragraph 14.07. A. OWNER and CONTRACTOR intend that all policies purchased in accordance with paragraph 5.06 will C. Any insurance policy maintained by OWNER protect OWNER, CONTRACTOR, Subcontractors, covering any loss,damage or consequential loss referred to ENGINEER, ENGINEER'S Consultants, and all other in paragraph 5.07.B shall contain provisions to the effect individuals or entities identified in the Supplementary that in the event of payment of any such loss,damage,or Conditions to be listed as insureds or additional insureds consequential loss, the insurers will have no rights of (and the officers,directors,partners,employees,agents,and recovery against CONTRACTOR, Subcontractors, other consultants and subcontractors of each and any of ENGINEER, or ENGINEER'S Consultants and the them) in such policies and will provide primary coverage officers, directors, partners, employees, agents, and other for all losses and damages caused by the perils or causes of consultants and subcontractors of each and any of them. loss covered thereby. All such policies shall contain provisions to the effect that in the event of payment of any 5.08 Receipt and Application of Insurance Proceeds loss or damage the insurers will have no rights of recovery against any of the insureds or additional insureds A. Any insured loss under the policies of insurance thereunder. OWNER and CONTRACTOR waive all rights required by paragraph 5.06 will be adjusted with OWNER against each other and their respective officers, directors, and made payable to OWNER as fiduciary for the insureds, partners, employees, agents, and other consultants and as their interests may appear,subject to the requirements of subcontractors of each and any of them for all losses and any applicable mortgage clause and of paragraph 5.08.B. damages caused by,arising out of or resulting from any of OWNER shall deposit in a separate account any money so the perils or causes of loss covered by such policies and any received and shall distribute it in accordance with such other property insurance applicable to the Work; and, in agreement as the parties in interest may reach. If no other addition, waive all such rights against Subcontractors, special agreement is reached, the damaged Work shall be ENGINEER, ENGINEER'S Consultants, and all other repaired or replaced, the moneys so received applied on individuals or entities identified in the Supplementary account thereof,and the Work and the cost thereof covered Conditions to be listed as insureds or additional insureds by an appropriate Change Order or Written Amendment. 00700-18 1611A1 B. OWNER as fiduciary shall have power to adjust ARTICLE 6-CONTRACTOR'S RESPONSIBILITIES and settle any loss with the insurers unless one of the parties in interest shall object in writing within 15 days after the occurrence of loss to OWNER'S exercise of this 6.01 Supervision and Superintendence power. If such objection be made, OWNER as fiduciary shall make settlement with the insurers in accordance with A. CONTRACTOR shall supervise, inspect, and such agreement as the parties in interest may reach. If no direct the Work competently and efficiently,devoting such such agreement among the parties in interest is reached, attention thereto and applying such skills and expertise as OWNER as fiduciary shall adjust and settle the loss with may be necessary to perform the Work in accordance with the insurers and, if required in writing by any party in the Contract Documents. CONTRACTOR shall be solely interest, OWNER as fiduciary shall give bond for the responsible for the means,methods,techniques,sequences, proper performance of such duties. and procedures of construction,but CONTRACTOR shall not be responsible for the negligence of OWNER or 5.09 Acceptance of Bonds and Insurance;Option to ENGINEER in the design or specification of a specific Replace means, method, technique, sequence, or procedure of construction which is shown or indicated in and expressly A. If either OWNER or CONTRACTOR has any required by the Contract Documents. CONTRACTOR objection to the coverage afforded by or other provisions of shall be responsible to see that the completed Work the Bonds or insurance required to be purchased and complies accurately with the Contract Documents. maintained by the other party in accordance with Article 5 on the basis of non-conformance with the Contract B. At all times during the progress of the Work, Documents, the objecting party shall so notify the other CONTRACTOR shall assign a competent resident superin- party in writing within 10 days after receipt of the tendent thereto who shall not be replaced without written certificates (or other evidence requested) required by notice to OWNER and ENGINEER except under paragraph 2.05.C. OWNER and CONTRACTOR shall extraordinary circumstances. The superintendent will be each provide to the other such additional information in CONTRACTOR'S representative at the Site and shall have respect of insurance provided as the other may reasonably authority to act on behalf of CONTRACTOR. All request. If either party does not purchase or maintain all of communications given to or received from the superin- the Bonds and insurance required of such party by the Con- tendent shall be binding on CONTRACTOR. tract Documents, such party shall notify the other party in writing of such failure to purchase prior to the start of the 6.02 Labor; Working Hours Work,or of such failure to maintain prior to any change in the required coverage. Without prejudice to any other right A. CONTRACTOR shall provide competent, or remedy, the other party may elect to obtain equivalent suitably qualified personnel to survey, lay out, and Bonds or insurance to protect such other party's interests at construct the Work as required by the Contract Documents. the expense of the party who was required to provide such CONTRACTOR shall at all times maintain good discipline coverage,and a Change Order shall be issued to adjust the and order at the Site. Contract Price accordingly. B. Except as otherwise required for the safety or 5.10 Partial Utilization,Acknowledgment of Property protection of persons or the Work or property at the Site or Insurer adjacent thereto, and except as otherwise stated in the Contract Documents, all Work at the Site shall be A. If OWNER finds it necessary to occupy or use a performed during regular working hours, and CON- portion or portions of the Work prior to Substantial TRACTOR will not permit overtime work or the Completion of all the Work as provided in paragraph 14.05, performance of Work on Saturday, Sunday, or any legal no such use or occupancy shall commence before the holiday without OWNER'S written consent(which will not insurers providing the property insurance pursuant to be unreasonably withheld) given after prior written notice paragraph 5.06 have acknowledged notice thereof and in to ENGINEER. writing effected any changes in coverage necessitated thereby. The insurers providing the property insurance 6.03 Services,Materials, and Equipment shall consent by endorsement on the policy or policies,but the property insurance shall not be canceled or permitted to A. Unless otherwise specified in the General Re- lapse on account of any such partial use or occupancy. quirements,CONTRACTOR shall provide and assume full responsibility for all services, materials, equipment, labor, 00700-19 1 6 1 1 A 1 transportation, construction equipment and machinery, Suppliers may be submitted to ENGINEER for review tools,appliances,fuel,power,light,heat,telephone,water, under the circumstances described below. sanitary facilities, temporary facilities, and all other facilities and incidentals necessary for the performance, 1. "Or-Equal" Items: If in ENGINEER'S testing,start-up,and completion of the Work. sole discretion an item of material or equipment pro- posed by CONTRACTOR is functionally equal to B. All materials and equipment incorporated into the that named and sufficiently similar so that no Work shall be as specified or, if not specified, shall be of change in related Work will be required,it may be good quality and new,except as otherwise provided in the considered by ENGINEER as an"or-equal"item,in Contract Documents. All warranties and guarantees which case review and approval of the proposed specifically called for by the Specifications shall expressly item may, in ENGINEER'S sole discretion, be run to the benefit of OWNER. If required by ENGINEER, accomplished without compliance with some or all CONTRACTOR shall furnish satisfactory evidence of the requirements for approval of proposed substi- (including reports of required tests) as to the source,kind, tote items. For the purposes of this paragraph and quality of materials and equipment. All materials and 6.05.A.1,a proposed item of material or equipment equipment shall be stored, applied, installed, connected, will be considered functionally equal to an item so erected, protected, used, cleaned, and conditioned in named if: accordance with instructions of the applicable Supplier, except as otherwise may be provided in the Contract Docu- a. in the exercise of reasonable judgment ments. ENGINEER determines that: (i) it is at least equal in quality,durability,appearance,strength, 6.04 Progress Schedule and design characteristics; (ii) it will reliably perform at least equally well the function A. CONTRACTOR shall adhere to the progress imposed by the design concept of the completed schedule established in accordance with paragraph 2.07 as Project as a functioning whole,and; it may be adjusted from time to time as provided below. b. CONTRACTOR certifies that(i)there is 1. CONTRACTOR shall submit to ENGI- no increase in cost to the OWNER; and (ii) it NEER for acceptance (to the extent indicated in will conform substantially,even with deviations, paragraph 2.07) proposed adjustments in the prog- to the detailed requirements of the item named ress schedule that will not result in changing the in the Contract Documents. Contract Times(or Milestones). Such adjustments will conform generally to the progress schedule then 2. Substitute Items in effect and additionally will comply with any provisions of the General Requirements applicable a. If in ENGINEER'S sole discretion an thereto. item of material or equipment proposed by CONTRACTOR does not qualify as an 2. Proposed adjustments in the progress "or-equal" item under paragraph 6.05,A.1, it schedule that will change the Contract Times (or will be considered a proposed substitute item. Milestones) shall be submitted in accordance with the requirements of Article 12. Such adjustments b. CONTRACTOR shall submit sufficient may only be made by a Change Order or Written information as provided below to allow ENGI- Amendment in accordance with Article 12. NEER to determine that the item of material or equipment proposed is essentially equivalent to 6.05 Substitutes and "Or-Equals" that named and an acceptable substitute therefore. Requests for review of proposed A. Whenever an item of material or equipment is substitute items of material or equipment will specified or described in the Contract Documents by using not be accepted by ENGINEER from anyone the name of a proprietary item or the name of a particular other than CONTRACTOR Supplier, the specification or description is intended to establish the type, function, appearance, and quality c. The procedure for review by ENGI- required. Unless the specification or description contains NEER will be as set forth in paragraph or is followed by words reading that no like,equivalent,or 6.05.A.2.d, as supplemented in the General "or-equal"item or no substitution is permitted,other items Requirements and as ENGINEER may decide is of material or equipment or material or equipment of other appropriate under the circumstances. 00700-20 1611A1 proposal or submittal made pursuant to paragraphs 6.05.A d. CONTRACTOR shall first make written and 6.05.B. ENGINEER will be the sole judge of accept- application to ENGINEER for review of a ability. No "or-equal" or substitute will be ordered, proposed substitute item of material or installed or utilized until ENGINEER'S review is complete, equipment that CONTRACTOR seeks to furnish which will be evidenced by either a Change Order for a or use. The application shall certify that the substitute or an approved Shop Drawing for an"or equal." proposed substitute item will perform ade- ENGINEER will advise CONTRACTOR in writing of any quately the functions and achieve the results negative determination. called for by the general design, be similar in substance to that specified,and be suited to the D. Special Guarantee: OWNER may require CON- same use as that specified. The application will TRACTOR to furnish at CONTRACTOR'S expense a state the extent, if any,to which the use of the special performance guarantee or other surety with respect proposed substitute item will prejudice to any substitute. CONTRACTOR'S achievement of Substantial Completion on time, whether or not use of the E. ENGINEER'S Cost Reimbursement: ENGINEER proposed substitute item in the Work will re- will record time required by ENGINEER and quire a change in any of the Contract Docu- ENGINEER'S Consultants in evaluating substitute ments (or in the provisions of any other direct proposed or submitted by CONTRACTOR pursuant to contract with OWNER for work on the Project) paragraphs 6.05.A.2 and 6.05.13 and in making changes in to adapt the design to the proposed substitute the Contract Documents(or in the provisions of any other item and whether or not incorporation or use of direct contract with OWNER for work on the Project) the proposed substitute item in connection with occasioned thereby. Whether or not ENGINEER approves the Work is subject to payment of any license a substitute item so proposed or submitted by CON- fee or royalty. All variations of the proposed TRACTOR,CONTRACTOR shall reimburse OWNER for substitute item from that specified will be identi- the charges of ENGINEER and ENGINEER'S Consultants fled in the application, and available for evaluating each such proposed substitute. engineering, sales, maintenance, repair, and replacement services will be indicated. The F. CONTRACTOR'S Expense: CONTRACTOR application will also contain an itemized esti- shall provide all data in support of any proposed substitute mate of all costs or credits that will result or"or-equal"at CONTRACTOR'S expense. directly or indirectly from use of such substitute item, including costs of redesign and claims of 6.06 Concerning Subcontractors, Suppliers, and other contractors affected by any resulting Others change, all of which will be considered by ENGINEER in evaluating the proposed A. CONTRACTOR shall not employ any Subcon- substitute item. ENGINEER may require CON- tractor, Supplier, or other individual or entity (including TRACTOR to furnish additional data about the those acceptable to OWNER as indicated in paragraph proposed substitute item. 6.06.B), whether initially or as a replacement, against whom OWNER may have reasonable objection. CON- B. Substitute Construction Methods or Procedures: TRACTOR shall not be required to employ any Sub- If a specific means, method, technique, sequence, or contractor,Supplier,or other individual or entity to furnish procedure of construction is shown or indicated in and or perform any of the Work against whom expressly required by the Contract Documents, CON- CONTRACTOR has reasonable objection. TRACTOR may furnish or utilize a substitute means,meth- od, technique, sequence, or procedure of construction B. If the Supplementary Conditions require the approved by ENGINEER. CONTRACTOR shall submit identity of certain Subcontractors, Suppliers, or other sufficient information to allow ENGINEER, in individuals or entities to be submitted to OWNER in ENGINEER'S sole discretion, to determine that the advance for acceptance by OWNER by a specified date substitute proposed is equivalent to that expressly called for prior to the Effective Date of the Agreement, and if by the Contract Documents. The procedure for review by CONTRACTOR has submitted a list thereof in accordance ENGINEER will be similar to that provided in subpara- with the Supplementary Conditions,OWNER'S acceptance graph 6.05.A.2. (either in writing or by failing to make written objection thereto by the date indicated for acceptance or objection in C. ENGINEER'S Evaluation: ENGINEER will be the Bidding Documents or the Contract Documents)of any allowed a reasonable time within which to evaluate each such Subcontractor, Supplier, or other individual or entity 00700-21 1b11A1 so identified may be revoked on the basis of reasonable TOR and the Subcontractor or Supplier will contain objection after due investigation. CONTRACTOR shall provisions whereby the Subcontractor or Supplier waives submit an acceptable replacement for the rejected all rights against OWNER,CONTRACTOR,ENGINEER, Subcontractor, Supplier, or other individual or entity, and ENGINEER'S Consultants, and all other individuals or the Contract Price will be adjusted by the difference in the entities identified in the Supplementary Conditions to be cost occasioned by such replacement, and an appropriate listed as insureds or additional insureds (and the officers, Change Order will be issued or Written Amendment directors,partners,employees,agents,and other consultants signed. No acceptance by OWNER of any such Subcon- and subcontractors of each and any of them)for all losses tractor, Supplier, or other individual or entity, whether and damages caused by, arising out of, relating to, or initially or as a replacement,shall constitute a waiver of any resulting from any of the perils or causes of loss covered by right of OWNER or ENGINEER to reject defective Work. such policies and any other property insurance applicable to the Work. If the insurers on any such policies require C. CONTRACTOR shall be fully responsible to separate waiver forms to be signed by any Subcontractor or OWNER and ENGINEER for all acts and omissions of the Supplier,CONTRACTOR will obtain the same. Subcontractors,Suppliers,and other individuals or entities performing or furnishing any of the Work just as 6.07 Patent Fees and Royalties CONTRACTOR is responsible for CONTRACTOR'S own acts and omissions. Nothing in the Contract Documents A. CONTRACTOR shall pay all license fees and shall create for the benefit of any such Subcontractor, royalties and assume all costs incident to the use in the Supplier, or other individual or entity any contractual performance of the Work or the incorporation in the Work relationship between OWNER or ENGINEER and any of any invention,design,process,product,or device which such Subcontractor, Supplier or other individual or entity, is the subject of patent rights or copyrights held by others. nor shall it create any obligation on the part of OWNER or If a particular invention,design,process,product,or device ENGINEER to pay or to see to the payment of any moneys is specified in the Contract Documents for use in the due any such Subcontractor,Supplier,or other individual or performance of the Work and if to the actual knowledge of entity except as may otherwise be required by Laws and OWNER or ENGINEER its use is subject to patent rights Regulations. or copyrights calling for the payment of any license fee or royalty to others, the existence of such rights shall be D. CONTRACTOR shall be solely responsible for disclosed by OWNER in the Contract Documents. To the scheduling and coordinating the Work of Subcontractors, fullest extent permitted by Laws and Regulations, Suppliers, and other individuals or entities performing or CONTRACTOR shall indemnify and hold harmless furnishing any of the Work under a direct or indirect OWNER, ENGINEER, ENGINEER'S Consultants, and contract with CONTRACTOR. the officers, directors, partners, employees or agents, and other consultants of each and any of them from and against E. CONTRACTOR shall require all Subcontractors, all claims, costs, losses, and damages (including but not Suppliers,and such other individuals or entities performing limited to all fees and charges of engineers, architects, or furnishing any of the Work to communicate with ENGI- attorneys, and other professionals and all court or NEER through CONTRACTOR. arbitration or other dispute resolution costs) arising out of or relating to any infringement of patent rights or F. The divisions and sections of the Specifications copyrights incident to the use in the performance of the and the identifications of any Drawings shall not control Work or resulting from the incorporation in the Work of CONTRACTOR in dividing the Work among Subcon- any invention, design, process, product, or device not tractors or Suppliers or delineating the Work to be specified in the Contract Documents. performed by any specific trade. 6.08 Permits G. All Work performed for CONTRACTOR by a Subcontractor or Supplier will be pursuant to an appro- A. Unless otherwise provided in the Supplementary priate agreement between CONTRACTOR and the Conditions, CONTRACTOR shall obtain and pay for all Subcontractor or Supplier which specifically binds the construction permits and licenses. OWNER shall assist Subcontractor or Supplier to the applicable terms and CONTRACTOR, when necessary, in obtaining such conditions of the Contract Documents for the benefit of permits and licenses. CONTRACTOR shall pay all OWNER and ENGINEER. Whenever any such agreement governmental charges and inspection fees necessary for the is with a Subcontractor or Supplier who is listed as an prosecution of the Work which are applicable at the time of additional insured on the property insurance provided in opening of Bids, or, if there are no Bids, on the Effective paragraph 5.06, the agreement between the CONTRAC- Date of the Agreement. CONTRACTOR shall pay all 00700-22 1 6 I 1 A 1 charges of utility owners for connections to the Work,and materials or equipment. CONTRACTOR shall OWNER shall pay all charges of such utility owners for assume full responsibility for any damage to any capital costs related thereto,such as plant investment fees. such land or area, or to the owner or occupant thereof, or of any adjacent land or areas resulting 6.09 Laws and Regulations from the performance of the Work. A. CONTRACTOR shall give all notices and comply 2. Should any claim be made by any such with all Laws and Regulations applicable to the owner or occupant because of the performance of performance of the Work. Except where otherwise the Work, CONTRACTOR shall promptly settle expressly required by applicable Laws and Regulations, with such other party by negotiation or otherwise neither OWNER nor ENGINEER shall be responsible for resolve the claim by arbitration or other dispute monitoring CONTRACTOR'S compliance with any Laws resolution proceeding or at law. or Regulations. 3. To the fullest extent permitted by Laws B. If CONTRACTOR performs any Work knowing and Regulations, CONTRACTOR shall indemnify or having reason to know that it is contrary to Laws or and hold harmless OWNER, ENGINEER, Regulations, CONTRACTOR shall bear all claims, costs, ENGINEER'S Consultant, and the officers, losses, and damages (including but not limited to all fees directors, partners, employees, agents, and other and charges of engineers, architects, attorneys, and other consultants of each and any of them from and professionals and all court or arbitration or other dispute against all claims, costs, losses, and damages resolution costs) arising out of or relating to such Work; (including but not limited to all fees and charges of however, it shall not be CONTRACTOR'S primary engineers, architects, attorneys, and other responsibility to make certain that the Specifications and professionals and all court or arbitration or other Drawings are in accordance with Laws and Regulations, dispute resolution costs)arising out of or relating to but this shall not relieve CONTRACTOR of any claim or action, legal or equitable, brought by CONTRACTOR'S obligations under paragraph 3.03. any such owner or occupant against OWNER, ENGINEER, or any other party indemnified C. Changes in Laws or Regulations not known at the hereunder to the extent caused by or based upon time of opening of Bids(or, on the Effective Date of the CONTRACTOR'S performance of the Work. Agreement if there were no Bids)having an effect on the cost or time of performance of the Work may be the subject B. Removal of Debris During Performance of the of an adjustment in Contract Price or Contract Times. If Work: During the progress of the Work CONTRACTOR OWNER and CONTRACTOR are unable to agree on shall keep the Site and other areas free from accumulations entitlement to or on the amount or extent, if any, of any of waste materials,rubbish,and other debris. Removal and such adjustment,a Claim may be made therefor as provided disposal of such waste materials,rubbish,and other debris in paragraph 10.05. shall conform to applicable Laws and Regulations. 6.10 Taxes C. Cleaning: Prior to Substantial Completion of the Work CONTRACTOR shall clean the Site and make it A. CONTRACTOR shall pay all sales, consumer, ready for utilization by OWNER. At the completion of the use, and other similar taxes required to be paid by Work CONTRACTOR shall remove from the Site all tools, CONTRACTOR in accordance with the Laws and appliances, construction equipment and machinery, and Regulations of the place of the Project which are applicable surplus materials and shall restore to original condition all during the performance of the Work. property not designated for alteration by the Contract Documents. 6.11 Use of Site and Other Areas D. Loading Structures: CONTRACTOR shall not A. Limitation on Use of Site and Other Areas load nor permit any part of any structure to be loaded in any manner that will endanger the structure, nor shall 1. CONTRACTOR shall confine CONTRACTOR subject any part of the Work or adjacent construction equipment,the storage of materials and property to stresses or pressures that will endanger it. equipment,and the operations of workers to the Site and other areas permitted by Laws and Regulations, and shall not unreasonably encumber the Site and other areas with construction equipment or other 00700-23 1611A 1 6.12 Record Documents Consultant,or anyone employed by any of them,or anyone for whose acts any of them may be liable, and not A. CONTRACTOR shall maintain in a safe place at attributable,directly or indirectly,in whole or in part,to the the Site one record copy of all Drawings, Specifications, fault or negligence of CONTRACTOR or any Addenda, Written Amendments, Change Orders, Work Subcontractor, Supplier, or other individual or entity Change Directives,Field Orders,and written interpretations directly or indirectly employed by any of them). and clarifications in good order and annotated to show CONTRACTOR'S duties and responsibilities for safety changes made during construction. These record and for protection of the Work shall continue until such documents together with all approved Samples and a time as all the Work is completed and ENGINEER has counterpart of all approved Shop Drawings will be issued a notice to OWNER and CONTRACTOR in available to ENGINEER for reference. Upon completion accordance with paragraph 14.07.B that the Work is accept- of the Work, these record documents, Samples, and Shop able(except as otherwise expressly provided in connection Drawings will be delivered to ENGINEER for OWNER. with Substantial Completion). 6.13 Safety and Protection 6.14 Safety Representative A. CONTRACTOR shall be solely responsible for A. CONTRACTOR shall designate a qualified and initiating, maintaining and supervising all safety precau- experienced safety representative at the Site whose duties tions and programs in connection with the Work. and responsibilities shall be the prevention of accidents and CONTRACTOR shall take all necessary precautions for the the maintaining and supervising of safety precautions and safety of, and shall provide the necessary protection to programs. prevent damage,injury or loss to: 6.15 Hazard Communication Programs 1. all persons on the Site or who may be affected by the Work; A. CONTRACTOR shall be responsible for coordi- nating any exchange of material safety data sheets or other 2. all the Work and materials and equip- hazard communication information required to be made ment to be incorporated therein,whether in storage available to or exchanged between or among employers at on or off the Site;and the Site in accordance with Laws or Regulations. 3. other property at the Site or adjacent 6.16 Emergencies thereto,including trees,shrubs,lawns,walks,pave- ments, roadways, structures, utilities, and Under- A. In emergencies affecting the safety or protection ground Facilities not designated for removal,reloca- of persons or the Work or property at the Site or adjacent tion,or replacement in the course of construction. thereto, CONTRACTOR is obligated to act to prevent threatened damage, injury,or loss. CONTRACTOR shall B. CONTRACTOR shall comply with all applicable give ENGINEER prompt written notice if CONTRACTOR Laws and Regulations relating to the safety of persons or believes that any significant changes in the Work or property, or to the protection of persons or property from variations from the Contract Documents have been caused damage, injury, or loss; and shall erect and maintain all thereby or are required as a result thereof. If ENGINEER necessary safeguards for such safety and protection. determines that a change in the Contract Documents is CONTRACTOR shall notify owners of adjacent property required because of the action taken by CONTRACTOR in and of Underground Facilities and other utility owners response to such an emergency,a Work Change Directive when prosecution of the Work may affect them,and shall or Change Order will be issued. cooperate with them in the protection,removal,relocation, and replacement of their property. All damage,injury,or 6.17 Shop Drawings and Samples loss to any property referred to in paragraph 6.13.A.2 or 6.13.A.3 caused,directly or indirectly,in whole or in part, A. CONTRACTOR shall submit Shop Drawings to by CONTRACTOR, any Subcontractor, Supplier, or any ENGINEER for review and approval in accordance with other individual or entity directly or indirectly employed by the acceptable schedule of Shop Drawings and Sample any of them to perform any of the Work, or anyone for submittals. All submittals will be identified as ENGINEER whose acts any of them may be liable,shall be remedied by may require and in the number of copies specified in the CONTRACTOR(except damage or loss attributable to the General Requirements. The data shown on the Shop fault of Drawings or Specifications or to the acts or Drawings will be complete with respect to quantities, omissions of OWNER or ENGINEER or ENGINEER'S dimensions, specified performance and design criteria, 00700-24 1 6 1 1 A 1 materials, and similar data to show ENGINEER the satisfied CONTRACTOR'S obligations under the services, materials, and equipment CONTRACTOR Contract Documents with respect to proposes to provide and to enable ENGINEER to review CONTRACTOR'S review and approval of that the information for the limited purposes required by submittal. paragraph 6.17.E. 3. At the time of each submittal, CON- B. CONTRACTOR shall also submit Samples to TRACTOR shall give ENGINEER specific written ENGINEER for review and approval in accordance with notice of such variations, if any, that the Shop the acceptable schedule of Shop Drawings and Sample Drawing or Sample submitted may have from the submittals. Each Sample will be identified clearly as to requirements of the Contract Documents, such material,Supplier,pertinent data such as catalog numbers, notice to be in a written communication separate and the use for which intended and otherwise as ENGI- from the submittal; and, in addition, shall cause a NEER may require to enable ENGINEER to review the specific notation to be made on each Shop Drawing submittal for the limited purposes required by paragraph and Sample submitted to ENGINEER for review 6.17.E. The numbers of each Sample to be submitted will and approval of each such variation. be as specified in the Specifications. E. ENGINEER'S Review C. Where a Shop Drawing or Sample is required by the Contract Documents or the schedule of Shop Drawings 1. ENGINEER will timely review and and Sample submittals acceptable to ENGINEER as approve Shop Drawings and Samples in accordance required by paragraph 2.07, any related Work performed with the schedule of Shop Drawings and Sample prior to ENGINEER'S review and approval of the pertinent submittals acceptable to ENGINEER. submittal will be at the sole expense and responsibility of ENGINEER'S review and approval will be only to CONTRACTOR. determine if the items covered by the submittals will,after installation or incorporation in the Work, D. Submittal Procedures conform to the information given in the Contract Documents and be compatible with the design 1. Before submitting each Shop Drawing or concept of the completed Project as a functioning Sample,CONTRACTOR shall have determined and whole as indicated by the Contract Documents. verified: 2. ENGINEER'S review and approval will a. all field measurements, quantities, not extend to means, methods, techniques, dimensions, specified performance criteria, sequences, or procedures of construction (except installation requirements, materials, catalog where a particular means, method, technique, numbers, and similar information with respect sequence, or procedure of construction is thereto; specifically and expressly called for by the Contract Documents) or to safety precautions or programs b. all materials with respect to intended use, incident thereto. The review and approval of a fabrication, shipping, handling, storage, assem- separate item as such will not indicate approval of bly, and installation pertaining to the perfor- the assembly in which the item functions. mance of the Work; 3. ENGINEER'S review and approval of c. all information relative to means, meth- Shop Drawings or Samples shall not relieve CON- ods, techniques, sequences, and procedures of TRACTOR from responsibility for any variation construction and safety precautions and from the requirements of the Contract Documents programs incident thereto;and unless CONTRACTOR has in writing called ENGINEER'S attention to each such variation at d. CONTRACTOR shall also have the time of each submittal as required by paragraph reviewed and coordinated each Shop Drawing 6.17.D.3 and ENGINEER has given written or Sample with other Shop Drawings and approval of each such variation by specific written Samples and with the requirements of the Work notation thereof incorporated in or accompanying and the Contract Documents. the Shop Drawing or Sample approval;nor will any approval by ENGINEER relieve CONTRACTOR 2. Each submittal shall bear a stamp or from responsibility for complying with the require- specific written indication that CONTRACTOR has ments of paragraph 6.17.D.1. 00700-25 1 6 1 1 A 1 3. the issuance of a certificate of Substantial F. Resubmittal Procedures Completion by ENGINEER or any payment related thereto by OWNER; 1. CONTRACTOR shall make corrections required by ENGINEER and shall return the 4. use or occupancy of the Work or any required number of corrected copies of Shop part thereof by OWNER; Drawings and submit as required new Samples for review and approval. CONTRACTOR shall direct 5. any acceptance by OWNER or any specific attention in writing to revisions other than failure to do so; the corrections called for by ENGINEER on previ- ous submittals. 6. any review and approval of a Shop Drawing or Sample submittal or the issuance of a 6.18 Continuing the Work notice of acceptability by ENGINEER; A. CONTRACTOR shall carry on the Work and 7. any inspection, test, or approval by adhere to the progress schedule during all disputes or others;or disagreements with OWNER. No Work shall be delayed or postponed pending resolution of any disputes or 8. any correction of defective Work by disagreements, except as permitted by paragraph 15.04 or OWNER. as OWNER and CONTRACTOR may otherwise agree in writing. 6.20 Indemnification 6.19 CONTRACTOR'S General Warranty and A. To the fullest extent permitted by Laws and Guarantee Regulations, CONTRACTOR shall indemnify and hold harmless OWNER, ENGINEER, ENGINEER'S Consul- A. CONTRACTOR warrants and guarantees to tants, and the officers, directors, partners, employees, OWNER, ENGINEER, and ENGINEER'S Consultants agents, and other consultants and subcontractors of each that all Work will be in accordance with the Contract Docu- and any of them from and against all claims,costs, losses, ments and will not be defective. CONTRACTOR'S and damages (including but not limited to all fees and warranty and guarantee hereunder excludes defects or charges of engineers, architects, attorneys, and other damage caused by: professionals and all court or arbitration or other dispute resolution costs) arising out of or relating to the perfor- 1. abuse, modification, or improper main- mance of the Work, provided that any such claim, cost, tenance or operation by persons other than CON- loss,or damage: TRACTOR,Subcontractors,Suppliers,or any other individual or entity for whom CONTRACTOR is 1. is attributable to bodily injury, sickness, responsible;or disease, or death, or to injury to or destruction of tangible property (other than the Work itself), 2. normal wear and tear under normal including the loss of use resulting therefrom;and usage. 2. is caused in whole or in part by any R. CONTRACTOR'S obligation to perform and negligent act or omission of CONTRACTOR, any complete the Work in accordance with the Contract Subcontractor, any Supplier, or any individual or Documents shall be absolute. None of the following will entity directly or indirectly employed by any of constitute an acceptance of Work that is not in accordance them to perform any of the Work or anyone for with the Contract Documents or a release of whose acts any of them may be liable,regardless of CONTRACTOR'S obligation to perform the Work in whether or not caused in part by any negligence or accordance with the Contract Documents: omission of an individual or entity indemnified hereunder or whether liability is imposed upon such 1. observations by ENGINEER; indemnified party by Laws and Regulations regard- less of the negligence of any such individual or 2. recommendation by ENGINEER or pay- entity. ment by OWNER of any progress or final payment; B. In any and all claims against OWNER or ENGI- NEER or any of their respective consultants, agents, 00700-26 1611A1 officers,directors,partners,or employees by any employee utility owner(and OWNER, if OWNER is performing the (or the survivor or personal representative of such other work with OWNER'S employees) proper and safe employee) of CONTRACTOR, any Subcontractor, any access to the Site and a reasonable opportunity for the Supplier, or any individual or entity directly or indirectly introduction and storage of materials and equipment and employed by any of them to perform any of the Work, or the execution of such other work and shall properly anyone for whose acts any of them may be liable, the coordinate the Work with theirs. Unless otherwise indemnification obligation under paragraph 6.20.A shall provided in the Contract Documents, CONTRACTOR not be limited in any way by any limitation on the amount shall do all cutting, fitting, and patching of the Work that or type of damages, compensation, or benefits payable by may be required to properly connect or otherwise make its or for CONTRACTOR or any such Subcontractor,Suppli- several parts come together and properly integrate with er, or other individual or entity under workers' compen- such other work. CONTRACTOR shall not endanger any sation acts,disability benefit acts,or other employee benefit work of others by cutting,excavating,or otherwise altering acts. their work and will only cut or alter their work with the written consent of ENGINEER and the others whose work C. The indemnification obligations of CONTRAC- will be affected. The duties and responsibilities of TOR under paragraph 6.20.A shall not extend to the CONTRACTOR under this paragraph are for the benefit of liability of ENGINEER and ENGINEER'S Consultants or such utility owners and other contractors to the extent that to the officers, directors, partners, employees, agents, and there are comparable provisions for the benefit of other consultants and subcontractors of each and any of CONTRACTOR in said direct contracts between OWNER them arising out of: and such utility owners and other contractors. 1. the preparation or approval of, or the C. If the proper execution or results of any part of failure to prepare or approve, maps, Drawings, CONTRACTOR'S Work depends upon work performed opinions,reports,surveys,Change Orders,designs, by others under this Article 7, CONTRACTOR shall or Specifications;or inspect such other work and promptly report to ENGI- NEER in writing any delays, defects, or deficiencies in 2. giving directions or instructions, or such other work that render it unavailable or unsuitable for failing to give them,if that is the primary cause of the proper execution and results of CONTRACTOR'S the injury or damage. Work. CONTRACTOR'S failure to so report will constitute an acceptance of such other work as fit and proper for integration with CONTRACTOR'S Work ARTICLE 7-OTHER WORK except for latent defects and deficiencies in such other work. 7.01 Related Work at Site 7.02 Coordination A, OWNER may perform other work related to the A. If OWNER intends to contract with others for the Project at the Site by OWNER'S employees, or let other performance of other work on the Project at the Site, the direct contracts therefor,or have other work performed by following will be set forth in Supplementary Conditions: utility owners. If such other work is not noted in the Con- tract Documents,then: 1. the individual or entity who will have authority and responsibility for coordination of the 1. written notice thereof will be given to activities among the various contractors will be CONTRACTOR prior to starting any such other identified; work;and 2. the specific matters to be covered by 2. if OWNER and CONTRACTOR are such authority and responsibility will be itemized; unable to agree on entitlement to or on the amount and or extent,if any,of any adjustment in the Contract Price or Contract Times that should be allowed as a 3. the extent of such authority and responsi- result of such other work, a Claim may be made bilities will be provided. therefor as provided in paragraph 10.05. B. Unless otherwise provided in the Supplementary B. CONTRACTOR shall afford each other Conditions,OWNER shall have sole authority and respon- contractor who is a party to such a direct contract and each sibility for such coordination. 00700-27 1 6 1 1 A 1 8.08 Inspections, Tests,and Approvals ARTICLE 8-OWNER'S RESPONSIBILITIES A. OWNER'S responsibility in respect to certain inspections, tests, and approvals is set forth in paragraph 13.03.B. 8.01 Communications to Contractor 8.09 Limitations on OWNER'S Responsibilities A. Except as otherwise provided in these General Conditions, OWNER shall issue all communications to A. The OWNER shall not supervise, direct,or have CONTRACTOR through ENGINEER. control or authority over, nor be responsible for, CONTRACTOR'S means,methods,techniques,sequences, 8.02 Replacement of ENGINEER or procedures of construction,or the safety precautions and programs incident thereto, or for any failure of CON- A. In case of termination of the employment of TRACTOR to comply with Laws and Regulations applica- ENGINEER,OWNER shall appoint an engineer to whom ble to the performance of the Work. OWNER will not be CONTRACTOR makes no reasonable objection, whose responsible for CONTRACTOR'S failure to perform the status under the Contract Documents shall be that of the Work in accordance with the Contract Documents. former ENGINEER. 8.10 Undisclosed Hazardous Environmental 8.03 Furnish Data Condition A. OWNER shall promptly furnish the data required A. OWNER'S responsibility in respect to an undis- of OWNER under the Contract Documents. closed Hazardous Environmental Condition is set forth in paragraph 4.06. 8.04 Pay Promptly When Due 8.11 Evidence of Financial Arrangements A. OWNER shall make payments to CONTRAC- TOR promptly when they are due as provided in A. If and to the extent OWNER has agreed to furnish paragraphs 14.02.0 and 14.07.C. CONTRACTOR reasonable evidence that financial arrangements have been made to satisfy OWNER'S 8.05 Lands and Easements;Reports and Tests obligations under the Contract Documents, OWNER'S responsibility in respect thereof will be as set forth in the A. OWNER'S duties in respect of providing lands Supplementary Conditions. and easements and providing engineering surveys to establish reference points are set forth in paragraphs 4.01 and 4.05. Paragraph 4.02 refers to OWNER'S identifying ARTICLE 9-ENGINEER'S STATUS DURING and making available to CONTRACTOR copies of reports CONSTRUCTION of explorations and tests of subsurface conditions and drawings of physical conditions in or relating to existing surface or subsurface structures at or contiguous to the Site 9.01 OWNER'S Representative that have been utilized by ENGINEER in preparing the Contract Documents. A. ENGINEER will be OWNER'S representative during the construction period. The duties and responsi- 8.06 Insurance bilities and the limitations of authority of ENGINEER as OWNER'S representative during construction are set forth A. OWNER'S responsibilities, if any, in respect to in the Contract Documents and will not be changed without purchasing and maintaining liability and property insurance written consent of OWNER and ENGINEER. are set forth in Article 5. 9.02 Visits to Site 8.07 Change Orders A. ENGINEER will make visits to the Site at inter- A. OWNER is obligated to execute Change Orders as vals appropriate to the various stages of construction as indicated in paragraph 10.03. ENGINEER deems necessary in order to observe as an experienced and qualified design professional the progress that has been made and the quality of the various aspects of 00700-28 1 6 1 1 A 1 CONTRACTOR'S executed Work. Based on information or interpretation,a Claim may be made therefor as provided obtained during such visits and observations,ENGINEER, in paragraph 10.05. for the benefit of OWNER,will determine,in general,if the Work is proceeding in accordance with the Contract 9.05 Authorized Variations in Work Documents. ENGINEER will not be required to make exhaustive or continuous inspections on the Site to check A. ENGINEER may authorize minor variations in the the quality or quantity of the Work. ENGINEER'S efforts Work from the requirements of the Contract Documents will be directed toward providing for OWNER a greater which do not involve an adjustment in the Contract Price or degree of confidence that the completed Work will conform the Contract Times and are compatible with the design generally to the Contract Documents. On the basis of such concept of the completed Project as a functioning whole as visits and observations, ENGINEER will keep OWNER indicated by the Contract Documents. These may be informed of the progress of the Work and will endeavor to accomplished by a Field Order and will be binding on guard OWNER against defective Work. OWNER and also on CONTRACTOR,who shall perform the Work involved promptly. If OWNER and CONTRAC- B. ENGINEER'S visits and observations are subject TOR are unable to agree on entitlement to or on the amount to all the limitations on ENGINEER'S authority and or extent,if any,of any adjustment in the Contract Price or responsibility set forth in paragraph 9.10,and particularly, Contract Times, or both, as a result of a Field Order, a but without limitation, during or as a result of Claim may be made therefore as provided in paragraph ENGINEER'S visits or observations of CONTRACTOR'S 10,05. Work ENGINEER will not supervise, direct, control, or have authority over or be responsible for 9.06 Rejecting Defective Work CONTRACTOR'S means,methods,techniques,sequences, or procedures of construction,or the safety precautions and A. ENGINEER will have authority to disapprove or programs incident thereto, or for any failure of reject Work which ENGINEER believes to be defective,or CONTRACTOR to comply with Laws and Regulations that ENGINEER believes will not produce a completed applicable to the performance of the Work. Project that conforms to the Contract Documents or that will prejudice the integrity of the design concept of the 9.03 Project Representative completed Project as a functioning whole as indicated by the Contract Documents. ENGINEER will also have A. If OWNER and ENGINEER agree, ENGINEER authority to require special inspection or testing of the will furnish a Resident Project Representative to assist Work as provided in paragraph 13.04,whether or not the ENGINEER in providing more extensive observation of the Work is fabricated,installed,or completed. Work. The responsibilities and authority and limitations thereon of any such Resident Project Representative and 9.07 Shop Drawings,Change Orders and Payments assistants will be as provided in paragraph 9.10 and in the Supplementary Conditions. If OWNER designates another A. In connection with ENGINEER'S authority as to representative or agent to represent OWNER at the Site Shop Drawings and Samples,see paragraph 6.17. who is not ENGINEER'S Consultant, agent or employee, the responsibilities and authority and limitations thereon of B. In connection with ENGINEER'S authority as to such other individual or entity will be as provided in the Change Orders,see Articles 10,11,and 12. Supplementary Conditions. C. In connection with ENGINEER'S authority as to 9.04 Clarifications and Interpretations Applications for Payment,see Article 14. A. ENGINEER will issue with reasonable prompt- 9.08 Determinations for Unit Price Work ness such written clarifications or interpretations of the requirements of the Contract Documents as ENGINEER A. ENGINEER will determine the actual quantities may determine necessary, which shall be consistent with and classifications of Unit Price Work performed by the intent of and reasonably inferable from the Contract CONTRACTOR. ENGINEER will review with CON- Documents. Such written clarifications and interpretations TRACTOR the ENGINEER'S preliminary determinations will be binding on OWNER and CONTRACTOR. If on such matters before rendering a written decision thereon OWNER and CONTRACTOR are unable to agree on (by recommendation of an Application for Payment or entitlement to or on the amount or extent, if any, of any otherwise). ENGINEER'S written decision thereon will be adjustment in the Contract Price or Contract Times,or both, final and binding (except as modified by ENGINEER to that should be allowed as a result of a written clarification reflect changed factual conditions or more accurate data) 00700-29 1611A1 upon OWNER and CONTRACTOR, subject to the perform the Work in accordance with the Contract provisions of paragraph 10.05. Documents. 9.09 Decisions on Requirements of Contract C. ENGINEER will not be responsible for the acts or Documents and Acceptability of Work omissions of CONTRACTOR or of any Subcontractor,any Supplier, or of any other individual or entity performing A. ENGINEER will be the initial interpreter of the any of the Work. requirements of the Contract Documents and judge of the acceptability of the Work thereunder. Claims,disputes and D. ENGINEER'S review of the final Application for other matters relating to the acceptability of the Work,the Payment and accompanying documentation and all mainte- quantities and classifications of Unit Price Work, the nance and operating instructions, schedules, guarantees, interpretation of the requirements of the Contract Bonds, certificates of inspection, tests and approvals, and Documents pertaining to the performance of the Work,and other documentation required to be delivered by paragraph Claims seeking changes in the Contract Price or Contract 14.07.A will only be to determine generally that their Times will be referred initially to ENGINEER in writing,in content complies with the requirements of, and in the case accordance with the provisions of paragraph 10.05, with a of certificates of inspections, tests, and approvals that the request for a formal decision. results certified indicate compliance with, the Contract Documents. B. When functioning as interpreter and judge under this paragraph 9.09,ENGINEER will not show partiality to E. The limitations upon authority and responsibility OWNER or CONTRACTOR and will not be liable in set forth in this paragraph 9,10 shall also apply to connection with any interpretation or decision rendered in ENGINEER'S Consultants, Resident Project Repre- good faith in such capacity. The rendering of a decision by sentative,and assistants. ENGINEER pursuant to this paragraph 9.09 with respect to any such Claim,dispute,or other matter(except any which ARTICLE 10-CHANGES IN THE WORK;CLAIMS have been waived by the making or acceptance of final payment as provided in paragraph 14.07) will be a condition precedent to any exercise by OWNER or 10.01 Authorized Changes in the Work CONTRACTOR of such rights or remedies as either may otherwise have under the Contract Documents or by Laws A. Without invalidating the Agreement and without or Regulations in respect of any such Claim, dispute, or notice to any surety, OWNER may, at any time or from other matter. time to time, order additions, deletions,or revisions in the Work by a Written Amendment, a Change Order, or a 9.10 Limitations on ENGINEERS Authority and Work Change Directive. Upon receipt of any such Responsibilities document, CONTRACTOR shall promptly proceed with the Work involved which will be performed under the A. Neither ENGINEER'S authority or responsibility applicable conditions of the Contract Documents(except as under this Article 9 or under any other provision of the otherwise specifically provided). Contract Documents nor any decision made by ENGINEER in good faith either to exercise or not exercise B. If OWNER and CONTRACTOR are unable to such authority or responsibility or the undertaking, agree on entitlement to,or on the amount or extent,if any, exercise, or performance of any authority or responsibility of an adjustment in the Contract Price or Contract Times,or by ENGINEER shall create, impose, or give rise to any both,that should be allowed as a result of a Work Change duty in contract,tort,or otherwise owed by ENGINEER to Directive, a Claim may be made therefor as provided in CONTRACTOR, any Subcontractor, any Supplier, any paragraph 10.05. other individual or entity,or to any surety for or employee 10.02 Unauthorized Changes in the Work or agent of any of them. B. ENGINEER will not supervise,direct,control,or A. CONTRACTOR shall not be entitled to an have authority over or be responsible for increase in the Contract Price or an extension of the CONTRACTOR'S means,methods,techniques,sequences, Contract Times with respect to any work performed that is or procedures of construction,or the safety precautions and not required by the Contract Documents as amended, programs incident thereto, or for any failure of modified,or supplemented as provided in paragraph 3.04, CONTRACTOR to comply with Laws and Regulations except in the case of an emergency as provided in applicable to the performance of the Work. ENGINEER paragraph 6.16 or in the case of uncovering Work as will not be responsible for CONTRACTOR'S failure to provided in paragraph 13.04.B. 00700-30 1611A1 support of such Claim,dispute,or other matter). A Claim 10.03 Execution of Change Orders for an adjustment in Contract Price shall be prepared in accordance with the provisions of paragraph 12.01.B. A A. OWNER and CONTRACTOR shall execute Claim for an adjustment in Contract Time shall be prepared appropriate Change Orders recommended by ENGINEER in accordance with the provisions of paragraph 12.02.B. (or Written Amendments)covering: Each Claim shall be accompanied by claimant's written statement that the adjustment claimed is the entire 1. changes in the Work which are: (i) adjustment to which the claimant believes it is entitled as a ordered by OWNER pursuant to paragraph 10.01.A, result of said event. The opposing party shall submit any (ii) required because of acceptance of defective response to ENGINEER and the claimant within 30 days Work under paragraph 13.08.A or OWNER'S after receipt of the claimant's last submittal (unless correction of defective Work under paragraph ENGINEER allows additional time). 13.09,or(iii)agreed to by the parties; B. ENGINEER'S Decision: ENGINEER will render 2. changes in the Contract Price or Contract a formal decision in writing within 30 days after receipt of Times which are agreed to by the parties,including the last submittal of the claimant or the last submittal of the any undisputed sum or amount of time for Work opposing party,if any. ENGINEER'S written decision on actually performed in accordance with a Work such Claim, dispute, or other matter will be final and Change Directive;and binding upon OWNER and CONTRACTOR unless: 3. changes in the Contract Price or Contract 1. an appeal from ENGINEER'S decision Times which embody the substance of any written is taken within the time limits and in accordance decision rendered by ENGINEER pursuant to para- with the dispute resolution procedures set forth in graph 10.05;provided that,in lieu of executing any Article 16;or such Change Order, an appeal may be taken from any such decision in accordance with the provisions 2. if no such dispute resolution procedures of the Contract Documents and applicable Laws and have been set forth in Article 16,a written notice of Regulations, but during any such appeal, intention to appeal from ENGINEER'S written CONTRACTOR shall carry on the Work and decision is delivered by OWNER or CONTRAC- adhere to the progress schedule as provided in TOR to the other and to ENGINEER within 30 days paragraph 6.18.A. after the date of such decision, and a formal proceeding is instituted by the appealing party in a 10.04 Notification to Surety forum of competent jurisdiction within 60 days after the date of such decision or within 60 days after A. If notice of any change affecting the general scope Substantial Completion, whichever is later (unless of the Work or the provisions of the Contract Documents otherwise agreed in writing by OWNER and (including, but not limited to, Contract Price or Contract CONTRACTOR), to exercise such rights or Times) is required by the provisions of any Bond to be remedies as the appealing party may have with given to a surety, the giving of any such notice will be respect to such Claim, dispute, or other matter in CONTRACTOR'S responsibility. The amount of each accordance with applicable Laws and Regulations. applicable Bond will be adjusted to reflect the effect of any such change. C. If ENGINEER does not render a formal decision in writing within the time stated in paragraph 10.05.B, a 10.05 Claims and Disputes decision denying the Claim in its entirety shall be deemed to have been issued 31 days after receipt of the last A. Notice: Written notice stating the general nature submittal of the claimant or the last submittal of the of each Claim,dispute,or other matter shall be delivered by opposing party,if any. the claimant to ENGINEER and the other party to the Contract promptly(but in no event later than 30 days)after D. No Claim for an adjustment in Contract Price or the start of the event giving rise thereto. Notice of the Contract Times (or Milestones) will be valid if not amount or extent of the Claim,dispute,or other matter with submitted in accordance with this paragraph 10.05. supporting data shall be delivered to the ENGINEER and the other party to the Contract within 60 days after the start of such event (unless ENGINEER allows additional time for claimant to submit additional or more accurate data in 00700-31 1611A1 ARTICLE 11 -COST OF THE WORK;CASH ALLOWANCES;UNIT PRICE WORK 3. Payments made by CONTRACTOR to Subcontractors for Work performed by Subcontractors. If required by OWNER, CON- 11.01 Cost of the Work TRACTOR shall obtain competitive bids from subcontractors acceptable to OWNER and CON- A. Costs Included: The term Cost of the Work TRACTOR and shall deliver such bids to OWNER, means the sum of all costs necessarily incurred and paid by who will then determine,with the advice of ENGI- CONTRACTOR in the proper performance of the Work. NEER, which bids, if any, will be acceptable. If When the value of any Work covered by a Change Order or any subcontract provides that the Subcontractor is to when a Claim for an adjustment in Contract Price is be paid on the basis of Cost of the Work plus a fee, determined on the basis of Cost of the Work,the costs to be the SubCONTRACTOR'S Cost of the Work and reimbursed to CONTRACTOR will be only those fee shall be determined in the same manner as additional or incremental costs required because of the CONTRACTOR'S Cost of the Work and fee as change in the Work or because of the event giving rise to provided in this paragraph 11.01. the Claim. Except as otherwise may be agreed to in writing by OWNER,such costs shall be in amounts no higher than 4. Costs of special consultants (including those prevailing in the locality of the Project,shall include but not limited to engineers, architects, testing only the following items,and shall not include any of the laboratories, surveyors, attorneys, and accountants) costs itemized in paragraph 11.01.B. employed for services specifically related to the Work. 1. Payroll costs for employees in the direct employ of CONTRACTOR in the performance of 5. Supplemental costs including the the Work under schedules of job classifications following: agreed upon by OWNER and CONTRACTOR Such employees shall include without limitation a.Thc proportion of necessary transportation, superintendents, foremen, and other personnel travel, and subsistence expenses of employed full time at the Site. Payroll costs for CONTRACTOR'S employees incurred in discharge employees not employed full time on the Work shall of duties connected with the Work. be apportioned on the basis of their time spent on the Work. Payroll costs shall include, but not be b. Cost,including transportation and main- limited to,salaries and wages plus the cost of fringe tenance, of all materials, supplies, equipment, benefits, which shall include social security machinery,appliances,office,and temporary facili- contributions, unemployment, excise, and payroll ties at the Site, and hand tools not owned by the taxes,workers'compensation,health and retirement workers,which are consumed in the performance of benefits, bonuses, sick leave, vacation and holiday the Work,and cost,less market value,of such items pay applicable thereto. The expenses of performing used but not consumed which remain the property Work outside of regular working hours, on of CONTRACTOR. Saturday, Sunday, or legal holidays, shall be included in the above to the extent authorized by c. Rentals of all construction equipment OWNER, and machinery,and the parts thereof whether rented from CONTRACTOR or others in accordance with 2. Cost of all materials and equipment fur- rental agreements approved by OWNER with the niched and incorporated in the Work, including advice of ENGINEER, and the costs of costs of transportation and storage thereof, and transportation, loading, unloading, assembly, Suppliers' field services required in connection dismantling, and removal thereof. All such costs therewith. All cash discounts shall accrue to shall be in accordance with the terms of said rental CONTRACTOR unless OWNER deposits funds agreements. The rental of any such equipment,ma- with CONTRACTOR with which to make pay- chinery,or parts shall cease when the use thereof is ments,in which case the cash discounts shall accrue no longer necessary for the Work. to OWNER. All trade discounts, rebates and refunds and returns from sale of surplus materials d. Sales, consumer, use, and other similar and equipment shall accrue to OWNER, and taxes related to the Work, and for which CON- CONTRACTOR shall make provisions so that they TRACTOR is liable, imposed by Laws and Regu- may be obtained. lations. 00700-32 1 6 1 1 A 1 other personnel employed by CONTRACTOR, e. Deposits lost for causes other than negli- whether at the Site or in CONTRACTOR'S princi- gence of CONTRACTOR, any Subcontractor, or pal or branch office for general administration of the anyone directly or indirectly employed by any of Work and not specifically included in the agreed them or for whose acts any of them may be liable, upon schedule of job classifications referred to in and royalty payments and fees for permits and paragraph 11.01.A.1 or specifically covered by licenses. paragraph 11.01.A.4, all of which are to be considered administrative costs covered by the f. Losses and damages (and related CONTRACTOR'S fee. expenses) caused by damage to the Work, not compensated by insurance or otherwise, sustained 2. Expenses of CONTRACTOR'S princi- by CONTRACTOR in connection with the perfor- pal and branch offices other than mance of the Work (except losses and damages CONTRACTOR'S office at the Site. within the deductible amounts of property insurance established in accordance with paragraph 5.06.D), 3. Any part of CONTRACTOR'S capital provided such losses and damages have resulted expenses, including interest on CONTRACTOR'S from causes other than the negligence of capital employed for the Work and charges against CONTRACTOR, any Subcontractor, or anyone CONTRACTOR for delinquent payments. directly or indirectly employed by any of them or for whose acts any of them may be liable. Such 4. Costs due to the negligence of CON- losses shall include settlements made with the TRACTOR, any Subcontractor, or anyone directly written consent and approval of OWNER. No such or indirectly employed by any of them or for whose losses, damages, and expenses shall be included in acts any of them may be liable, including but not the Cost of the Work for the purpose of determining limited to, the correction of defective Work, CONTRACTOR'S fee. disposal of materials or equipment wrongly supplied,and making good any damage to property. g. The cost of utilities, fuel, and sanitary facilities at the Site. 5. Other overhead or general expense costs of any kind and the costs of any item not h. Minor expenses such as telegrams, long specifically and expressly included in paragraphs distance telephone calls, telephone service at the 11.01.A and 11.01.B. Site, expressage, and similar petty cash items in connection with the Work. C. CONTRACTOR'S Fee: When all the Work is performed on the basis of cost-plus,CONTRACTOR'S fee i. When the Cost of the Work is used to shall be determined as set forth in the Agreement. When determine the value of a Change Order or of a the value of any Work covered by a Change Order or when Claim, the cost of premiums for additional Bonds a Claim for an adjustment in Contract Price is determined and insurance required because of the changes in the on the basis of Cost of the Work, CONTRACTOR'S fee Work or caused by the event giving rise to the shall be determined as set forth in paragraph 12.01.C. Claim. D. Documentation: Whenever the Cost of the Work j.When all the Work is performed on the basis for any purpose is to be determined pursuant to paragraphs of cost-plus, the costs of premiums for all Bonds 11.01.A and 11.01.B, CONTRACTOR will establish and and insurance CONTRACTOR is required by the maintain records thereof in accordance with generally Contract Documents to purchase and maintain. accepted accounting practices and submit in a form acceptable to ENGINEER an itemized cost breakdown B. Costs Excluded:The term Cost of the Work shall together with supporting data. not include any of the following items: 11.02 Cash Allowances 1. Payroll costs and other compensation of CONTRACTOR'S officers, executives, principals A. It is understood that CONTRACTOR has includ- (of partnerships and sole proprietorships), general ed in the Contract Price all allowances so named in the managers, engineers, architects, estimators, attor- Contract Documents and shall cause the Work so covered neys, auditors, accountants, purchasing and con- to be performed for such sums as may be acceptable to tracting agents,expediters,timekeepers,clerks,and OWNER and ENGINEER. CONTRACTOR agrees that: 00700-33 1 6 1 1 A 1 3. if CONTRACTOR believes that 1. the allowances include the cost to CON- CONTRACTOR is entitled to an increase in TRACTOR(less any applicable trade discounts)of Contract Price as a result of having incurred addi- materials and equipment required by the allowances tional expense or OWNER believes that OWNER is to be delivered at the Site,and all applicable taxes; entitled to a decrease in Contract Price and the and parties are unable to agree as to the amount of any such increase or decrease. 2. CONTRACTOR'S costs for unloading and handling on the Site, labor, installation costs, overhead, profit, and other expenses contemplated ARTICLE 12-CHANGE OF CONTRACT PRICE; for the allowances have been included in the CHANGE OF CONTRACT TIMES Contract Price and not in the allowances, and no demand for additional payment on account of any of the foregoing will be valid. 12.01 Change of Contract Price B. Prior to final payment, an appropriate Change A. The Contract Price may only be changed by a Order will be issued as recommended by ENGINEER to Change Order or by a Written Amendment. Any Claim for reflect actual amounts due CONTRACTOR on account of an adjustment in the Contract Price shall be based on Work covered by allowances,and the Contract Price shall written notice submitted by the party making the Claim to be correspondingly adjusted. the ENGINEER and the other party to the Contract in accordance with the provisions of paragraph 10.05. 11.03 Unit Price Work B. The value of any Work covered by a Change A. Where the Contract Documents provide that all or Order or of any Claim for an adjustment in the Contract part of the Work is to be Unit Price Work, initially the Price will be determined as follows: Contract Price will be deemed to include for all Unit Price 1. where the Work involved is covered by Work an amount equal to the sum of the unit price for each unit prices contained in the Contract Documents,by separately identified item of Unit Price Work times the application of such unit prices to the quantities of estimated quantity of each item as indicated in the Agree- the items involved (subject to the provisions of ment. The estimated quantities of items of Unit Price Work paragraph 11.03);or are not guaranteed and are solely for the purpose of comparison of Bids and determining an initial Contract 2. where the Work involved is not covered Price. Determinations of the actual quantities and by unit prices contained in the Contract Documents, classifications of Unit Price Work performed by by a mutually agreed lump sum(which may include CONTRACTOR will be made by ENGINEER subject to an allowance for overhead and profit not necessarily the provisions of paragraph 9.08. in accordance with paragraph 12.01.C.2);or B. Each unit price will be deemed to include an 3. where the Work involved is not covered amount considered by CONTRACTOR to be adequate to by unit prices contained in the Contract Documents cover CONTRACTOR'S overhead and profit for each and agreement to a lump sum is not reached under separately identified item, paragraph 12.01.B.2,on the basis of the Cost of the Work(determined as provided in paragraph 11.01) C. OWNER or CONTRACTOR may make a Claim plus a CONTRACTOR'S fee for overhead and for an adjustment in the Contract Price in accordance with profit (determined as provided in paragraph paragraph 10.05 if: 12.01.C). 1. the quantity of any item of Unit Price C. CONTRACTOR'S Fee: The CONTRACTOR'S Work performed by CONTRACTOR differs mate- fee for overhead and profit shall be determined as follows: rially and significantly from the estimated quantity of such item indicated in the Agreement;and 1. a mutually acceptable fixed fee;or 2. there is no corresponding adjustment 2. if a fixed fee is not agreed upon,then a with respect any other item of Work;and fee based on the following percentages of the various portions of the Cost of the Work: 00700-34 1 6 1 1 A 1 a. for costs incurred under paragraphs 11.01.A.1 and 11.01.A.2, the 12.03 Delays Beyond CONTRACTOR'S Control CONTRACTOR'S fee shall be 15 percent; A. Where CONTRACTOR is prevented from b. for costs incurred under paragraph completing any part of the Work within the Contract Times 11.01.A.3, the CONTRACTOR'S fee shall be (or Milestones) due to delay beyond the control of five percent; CONTRACTOR, the Contract Times (or Milestones)will be extended in an amount equal to the time lost due to such c. where one or more tiers of subcon- delay if a Claim is made therefore as provided in paragraph tracts are on the basis of Cost of the Work plus a 12.02A. Delays beyond the control of CONTRACTOR fee and no fixed fee is agreed upon,the intent of shall include, but not be limited to, acts or neglect by paragraph 12.01.C.2.a is that the Subcontractor OWNER, acts or neglect of utility owners or other who actually performs the Work, at whatever contractors performing other work as contemplated by tier,will be paid a fee of 15 percent of the costs Article 7, fires, floods, epidemics, abnormal weather incurred by such Subcontractor under conditions,or acts of God. paragraphs 11.01.A.1 and 11.01.A.2 and that any higher tier Subcontractor and CON- 12.04 Delays Within CONTRACTOR'S Control TRACTOR will each be paid a fee of five percent of the amount paid to the next lower tier A. The Contract Times (or Milestones) will not be Subcontractor; extended due to delays within the control of CONTRACTOR. Delays attributable to and within the d. no fee shall be payable on the basis of control of a Subcontractor or Supplier shall be deemed to costs itemized under paragraphs 11.01.A.4, be delays within the control of CONTRACTOR. 11.01.A.5,and 11.01.B; 12.05 Delays Beyond OWNER'S and CONTRACTOR'S e. the amount of credit to be allowed by Control CONTRACTOR to OWNER for any change which results in a net decrease in cost will be the A. Where CONTRACTOR is prevented from amount of the actual net decrease in cost plus a completing any part of the Work within the Contract Times deduction in CONTRACTOR'S fee by an (or Milestones) due to delay beyond the control of both amount equal to five percent of such net OWNER and CONTRACTOR, an extension of the decrease;and Contract Times (or Milestones) in an amount equal to the time lost due to such delay shall be CONTRACTOR'S sole f. when both additions and credits are in- and exclusive remedy for such delay. volved in any one change, the adjustment in CONTRACTOR'S fee shall be computed on the 12.06 Delay Damages basis of the net change in accordance with para- graphs 12.01.C.2.a through 12.01.C.2.e, inclu- A. In no event shall OWNER or ENGINEER be sive. liable to CONTRACTOR,any Subcontractor,any Supplier, or any other person or organization,or to any surety for or 12.02 Change of Contract Times employee or agent of any of them,for damages arising out of or resulting from: A. The Contract Times(or Milestones)may only be changed by a Change Order or by a Written Amendment. 1. delays caused by or within the control of Any Claim for an adjustment in the Contract Times (or CONTRACTOR;or Milestones) shall be based on written notice submitted by the party making the claim to the ENGINEER and the other 2. delays beyond the control of both party to the Contract in accordance with the provisions of OWNER and CONTRACTOR including but not paragraph 10.05, limited to fires, floods, epidemics, abnormal weather conditions, acts of God, or acts or neglect B. Any adjustment of the Contract Times (or by utility owners or other contractors performing Milestones)covered by a Change Order or of any Claim for other work as contemplated by Article 7. an adjustment in the Contract Times(or Milestones)will be determined in accordance with the provisions of this B. Nothing in this paragraph 12.06 bars a change in Article 12. Contract Price pursuant to this Article 12 to compensate 00700-35 l6Ilpl CONTRACTOR due to delay, interference, or disruption to be inspected, tested, or approved by an employee or directly attributable to actions or inactions of OWNER or other representative of such public body, CONTRACTOR anyone for whom OWNER is responsible. shall assume full responsibility for arranging and obtaining such inspections, tests, or approvals, pay all costs in connection therewith,and furnish ENGINEER the required ARTICLE 13-TESTS AND INSPECTIONS; certificates of inspection or approval. CORRECTION,REMOVAL OR ACCEPTANCE OF DEFECTIVE WORK D. CONTRACTOR shall be responsible for arranging and obtaining and shall pay all costs in connec- tion with any inspections, tests, or approvals required for 13.01 Notice of Defects OWNER'S and ENGINEER'S acceptance of materials or equipment to be incorporated in the Work;or acceptance of A. Prompt notice of all defective Work of which materials, mix designs, or equipment submitted for OWNER or ENGINEER has actual knowledge will be approval prior to CONTRACTOR'S purchase thereof for given to CONTRACTOR. All defective Work may be incorporation in the Work. Such inspections, tests, or rejected, corrected, or accepted as provided in this approvals shall be performed by organizations acceptable to Article 13. OWNER and ENGINEER. 13.02 Access to Work E. If any Work(or the work of others)that is to be inspected, tested, or approved is covered by CONTRAC- A. OWNER, ENGINEER, ENGINEER'S Con- TOR without written concurrence of ENGINEER,it must, sultants, other representatives and personnel of OWNER, if requested by ENGINEER,be uncovered for observation. independent testing laboratories, and governmental agencies with jurisdictional interests will have access to the F. Uncovering Work as provided in paragraph Site and the Work at reasonable times for their observation, 13.03.E shall be at CONTRACTOR'S expense unless inspecting, and testing. CONTRACTOR shall provide CONTRACTOR has given ENGINEER timely notice of them proper and safe conditions for such access and advise CONTRACTOR'S intention to cover the same and ENGI- them of CONTRACTOR'S Site safety procedures and NEER has not acted with reasonable promptness in programs so that they may comply therewith as applicable. response to such notice. 13.03 Tests and Inspections 13.04 Uncovering Work A. CONTRACTOR shall give ENGINEER timely A. If any Work is covered contrary to the written notice of readiness of the Work for all required inspections, request of ENGINEER, it must, if requested by ENGI- tests, or approvals and shall cooperate with inspection and NEER, be uncovered for ENGINEER'S observation and testing personnel to facilitate required inspections or tests. replaced at CONTRACTOR'S expense. B. OWNER shall employ and pay for the services of B. If ENGINEER considers it necessary or advisable an independent testing laboratory to perform all that covered Work be observed by ENGINEER or inspect- inspections, tests, or approvals required by the Contract ed or tested by others, CONTRACTOR, at ENGINEER'S Documents except: request,shall uncover,expose,or otherwise make available for observation, inspection,or testing as ENGINEER may 1. for inspections, tests, or approvals require,that portion of the Work in question,furnishing all covered by paragraphs 13.03.0 and 13.03.D below; necessary labor,material,and equipment. If it is found that such Work is defective, CONTRACTOR shall pay all 2. that costs incurred in connection with Claims, costs, losses, and damages (including but not tests or inspections conducted pursuant to paragraph limited to all fees and charges of engineers, architects, 13.04.B shall be paid as provided in said paragraph attorneys, and other professionals and all court or 13.04.B;and arbitration or other dispute resolution costs) arising out of or relating to such uncovering, exposure, observation, 3. as otherwise specifically provided in the inspection, and testing, and of satisfactory replacement or Contract Documents. reconstruction (including but not limited to all costs of repair or replacement of work of others); and OWNER C. If Laws or Regulations of any public body having shall be entitled to an appropriate decrease in the Contract jurisdiction require any Work(or part thereof)specifically Price. If the parties are unable to agree as to the amount 00700-36 1611A1 thereof,OWNER may make a Claim therefore as provided from the Project and replace it with Work that is not in paragraph 10.05.If,however,such Work is not found to defective,and(iii)satisfactorily correct or repair or remove be defective,CONTRACTOR shall be allowed an increase and replace any damage to other Work, to the work of in the Contract Price or an extension of the Contract Times others or other land or areas resulting therefrom. If (or Milestones), or both, directly attributable to such CONTRACTOR does not promptly comply with the terms uncovering, exposure, observation, inspection, testing, of such instructions,or in an emergency where delay would replacement,and reconstruction. If the parties are unable to cause serious risk of loss or damage, OWNER may have agree as to the amount or extent thereof,CONTRACTOR the defective Work corrected or repaired or may have the may make a Claim therefore as provided in paragraph rejected Work removed and replaced,and all Claims,costs, 10.05. losses, and damages (including but not limited to all fees 13.05 OWNER May Stop the Work and charges of engineers, architects, attorneys, and other professionals and all court or arbitration or other dispute A. If the Work is defective,or CONTRACTOR fails resolution costs)arising out of or relating to such correction to supply sufficient skilled workers or suitable materials or or repair or such removal and replacement(including but equipment,or fails to perform the Work in such a way that not limited to all costs of repair or replacement of work of the completed Work will conform to the Contract others)will be paid by CONTRACTOR. Documents, OWNER may order CONTRACTOR to stop the Work, or any portion thereof, until the cause for such B. In special circumstances where a particular item of order has been eliminated;however,this right of OWNER equipment is placed in continuous service before to stop the Work shall not give rise to any duty on the part Substantial Completion of all the Work, the correction of OWNER to exercise this right for the benefit of period for that item may start to run from an earlier date if CONTRACTOR, any Subcontractor, any Supplier, any so provided in the Specifications or by Written Amend- other individual or entity,or any surety for,or employee or ment. agent of any of them. C. Where defective Work (and damage to other 13.06 Correction or Removal of Defective Work Work resulting therefrom)has been corrected or removed and replaced under this paragraph 13.07, the correction A. CONTRACTOR shall correct all defective Work, period hereunder with respect to such Work will be whether or not fabricated,installed,or completed,or,if the extended for an additional period of one year after such Work has been rejected by ENGINEER,remove it from the correction or removal and replacement has been Project and replace it with Work that is not defective. satisfactorily completed. CONTRACTOR shall pay all Claims, costs, losses, and damages(including but not limited to all fees and charges D. CONTRACTOR'S obligations under this of engineers, architects, attorneys, and other professionals paragraph 13.07 are in addition to any other obligation or and all court or arbitration or other dispute resolution costs) warranty. The provisions of this paragraph 13.07 shall not arising out of or relating to such correction or removal be construed as a substitute for or a waiver of the (including but not limited to all costs of repair or provisions of any applicable statute of limitation or repose. replacement of work of others). 13.08 Acceptance of Defective Work 13.07 Correction Period A. If,instead of requiring correction or removal and A. If within one year after the date of Substantial replacement of defective Work, OWNER (and, prior to Completion or such longer peiiod of time as may be ENGINEER'S recommendation of final payment, prescribed by Laws or Regulations or by the terms of any ENGINEER) prefers to accept it, OWNER may do so. applicable special guarantee required by the Contract CONTRACTOR shall pay all Claims, costs, losses, and Documents or by any specific provision of the Contract damages(including but not limited to all fees and charges Documents, any Work is found to be defective, or if the of engineers, architects, attorneys, and other professionals repair of any damages to the land or areas made available and all court or arbitration or other dispute resolution costs) for CONTRACTOR'S use by OWNER or permitted by attributable to OWNER'S evaluation of and determination Laws and Regulations as contemplated in paragraph 6.11.A to accept such defective Work(such costs to be approved is found to be defective, CONTRACTOR shall promptly, by ENGINEER as to reasonableness) and the diminished without cost to OWNER and in accordance with value of the Work to the extent not otherwise paid by OWNER'S written instructions: (i) repair such defective CONTRACTOR pursuant to this sentence. If any such land or areas, or(ii)correct such defective Work or,if the acceptance occurs prior to ENGINEER'S recommendation defective Work has been rejected by OWNER,remove it of final payment, a Change Order will be issued 00700-37 1 6 1 1 A 1 incorporating the necessary revisions in the Contract correction,removal, or replacement of CONTRACTOR'S Documents with respect to the Work,and OWNER shall be defective Work. entitled to an appropriate decrease in the Contract Price, reflecting the diminished value of Work so accepted. If the D. CONTRACTOR shall not be allowed an exten- parties are unable to agree as to the amount thereof, sion of the Contract Times(or Milestones)because of any OWNER may make a Claim therefore as provided in delay in the performance of the Work attributable to the paragraph 10.05. If the acceptance occurs after such exercise by OWNER of OWNER'S rights and remedies recommendation, an appropriate amount will be paid by under this paragraph 13.09. CONTRACTOR to OWNER. 13,09 OWNER May Correct Defective Work ARTICLE 14-PAYMENTS TO CONTRACTOR AND COMPLETION A. If CONTRACTOR fails within a reasonable time after written notice from ENGINEER to correct defective Work or to remove and replace rejected Work as required 14.01 Schedule of Values by ENGINEER in accordance with paragraph 13.06.A, or if CONTRACTOR fails to perform the Work in accordance A. The schedule of values established as provided in with the Contract Documents,or if CONTRACTOR fails to paragraph 2.07.A will serve as the basis for progress comply with any other provision of the Contract payments and will be incorporated into a form of Applica- Documents, OWNER may,after seven days written notice tion for Payment acceptable to ENGINEER. Progress to CONTRACTOR, correct and remedy any such payments on account of Unit Price Work will be based on deficiency. the number of units completed. B. In exercising the rights and remedies under this 14.02 Progress Payments paragraph, OWNER shall proceed expeditiously. In connection with such corrective and remedial action, A. Applications for Payments OWNER may exclude CONTRACTOR from all or part of the Site, take possession of all or part of the Work and 1. At least 20 days before the date estab- suspend CONTRACTOR'S services related thereto, take lished for each progress payment (but not more possession of CONTRACTOR'S tools, appliances, con- often than once a month), CONTRACTOR shall struction equipment and machinery at the Site,and incorpo- submit to ENGINEER for review an Application for rate in the Work all materials and equipment stored at the Payment filled out and signed by CONTRACTOR Site or for which OWNER has paid CONTRACTOR but covering the Work completed as of the date of the which are stored elsewhere. CONTRACTOR shall allow Application and accompanied by such supporting OWNER, OWNER'S representatives, agents and employ- documentation as is required by the Contract Docu- ees, OWNER'S other contractors, and ENGINEER and ments. If payment is requested on the basis of ENGINEER'S Consultants access to the Site to enable materials and equipment not incorporated in the OWNER to exercise the rights and remedies under this Work but delivered and suitably stored at the Site or paragraph. at another location agreed to in writing,the Applica- tion for Payment shall also be accompanied by a bill C. All Claims,costs,losses,and damages(including of sale,invoice,or other documentation warranting but not limited to all fees and charges of engineers, that OWNER has received the materials and equip- architects, attorneys, and other professionals and all court ment free and clear of all Liens and evidence that or arbitration or other dispute resolution costs)incurred or the materials and equipment are covered by sustained by OWNER in exercising the rights and remedies appropriate property insurance or other arrange- under this paragraph 13.09 will be charged against CON- ments to protect OWNER'S interest therein, all of TRACTOR, and a Change Order will be issued incorpo- which must be satisfactory to OWNER. rating the necessary revisions in the Contract Documents with respect to the Work;and OWNER shall be entitled to 2. Beginning with the second Application an appropriate decrease in the Contract Price. If the parties for Payment, each Application shall include an are unable to agree as to the amount of the adjustment, affidavit of CONTRACTOR stating that all OWNER may make a Claim therefor as provided in previous progress payments received on account of paragraph 10.05. Such claims, costs, losses and damages the Work have been applied on account to discharge will include but not be limited to all costs of repair, or CONTRACTOR'S legitimate obligations associated replacement of work of others destroyed or damaged by with prior Applications for Payment. 00700-38 1 6 1 1 A 1 3. The amount of retainage with respect to matters or issues between the parties that might progress payments will be as stipulated in the entitle CONTRACTOR to be paid additionally by Agreement. OWNER or entitle OWNER to withhold payment to CONTRACTOR. B. Review of Applications 4. Neither ENGINEER'S review of 1. ENGINEER will, within 10 days after CONTRACTOR'S Work for the purposes of receipt of each Application for Payment, either recommending payments nor ENGINEER'S recom- indicate in writing a recommendation of payment mendation of any payment,including final payment, and present the Application to OWNER or return will impose responsibility on ENGINEER to the Application to CONTRACTOR indicating in supervise, direct, or control the Work or for the writing ENGINEER'S reasons for refusing to means, methods, techniques, sequences, or proce- recommend payment. In the latter case, CON- dures of construction,or the safety precautions and TRACTOR may make the necessary corrections programs incident thereto, or for and resubmit the Application. CONTRACTOR'S failure to comply with Laws and Regulations applicable to CONTRACTOR'S 2. ENGINEER'S recommendation of any performance of the Work.Additionally,said review payment requested in an Application for Payment or recommendation will not impose responsibility will constitute a representation by ENGINEER to on ENGINEER to make any examination .to OWNER,based on ENGINEER'S observations on ascertain how or for what purposes the Site of the executed Work as an experienced and CONTRACTOR has used the moneys paid on qualified design professional and on ENGINEER'S account of the Contract Price, or to determine that review of the Application for Payment and the title to any of the Work,materials,or equipment has accompanying data and schedules,that to the best of passed to OWNER free and clear of any Liens. ENGINEER'S knowledge,information and belief: 5. ENGINEER may refuse to recommend a. the Work has progressed to the point the whole or any part of any payment if, in indicated; ENGINEER'S opinion, it would be incorrect to make the representations to OWNER referred to in b. the quality of the Work is generally in paragraph 14.02.B.2. ENGINEER may also refuse accordance with the Contract Documents (sub- to recommend any such payment or, because of ject to an evaluation of the Work as a function- subsequently discovered evidence or the results of ing whole prior to or upon Substantial Comple- subsequent inspections or tests,revise or revoke any tion,to the results of any subsequent tests called such payment recommendation previously made,to for in the Contract Documents,to a final deter- such extent as may be necessary in ENGINEER'S mination of quantities and classifications for opinion to protect OWNER from loss because: Unit Price Work under paragraph 9.08, and to any other qualifications stated in the a. the Work is defective, or completed recommendation);and Work has been damaged,requiring correction or replacement; c. the conditions precedent to CONTRACTOR'S being entitled to such pay- b. the Contract Price has been reduced by ment appear to have been fulfilled in so far as it Written Amendment or Change Orders; is ENGINEER'S responsibility to observe the Work. c. OWNER has been required to correct defective Work or complete Work in accordance 3. By recommending any such payment with paragraph 13.09;or ENGINEER will not thereby be deemed to have represented that: (i) inspections made to check the d. ENGINEER has actual knowledge of the quality or the quantity of the Work as it has been occurrence of any of the events enumerated in performed have been exhaustive, extended to every paragraph 15.02.A. aspect of the Work in progress,or involved detailed inspections of the Work beyond the responsibilities C. Payment Becomes Due specifically assigned to ENGINEER in the Contract Documents; or (ii) that there may not be other 00700-39 1 6 1 1 A 1 1. Ten days after presentation of the Application for Payment to OWNER with 14.04 Substantial Completion ENGINEER'S recommendation,the amount recom- mended will(subject to the provisions of paragraph A. When CONTRACTOR considers the entire Work 14.02.D)become due,and when due will be paid by ready for its intended use CONTRACTOR shall notify OWNER to CONTRACTOR. OWNER and ENGINEER in writing that the entire Work is substantially complete (except for items specifically D. Reduction in Payment listed by CONTRACTOR as incomplete)and request that ENGINEER issue a certificate of Substantial Completion. 1. OWNER may refuse to make payment of Promptly thereafter, OWNER, CONTRACTOR, and the full amount recommended by ENGINEER ENGINEER shall make an inspection of the Work to because: determine the status of completion. If ENGINEER does not consider the Work substantially complete,ENGINEER a. claims have been made against OWNER will notify CONTRACTOR in writing giving the reasons on account of CONTRACTOR'S performance therefore. If ENGINEER considers the Work substantially or furnishing of the Work; complete,ENGINEER will prepare and deliver to OWNER a tentative certificate of Substantial Completion which shall b. Liens have been filed in connection with fix the date of Substantial Completion. There shall be the Work, except where CONTRACTOR has attached to the certificate a tentative list of items to be delivered a specific Bond satisfactory to OWN- completed or corrected before fmal payment. OWNER ER to secure the satisfaction and discharge of shall have seven days after receipt of the tentative certifi- such Liens; cate during which to make written objection to ENGINEER as to any provisions of the certificate or attached list. If, c. there are other items entitling OWNER after considering such objections, ENGINEER concludes to a set-off against the amount recommended;or that the Work is not substantially complete, ENGINEER will within 14 days after submission of the tentative certifi- d. OWNER has actual knowledge of the cate to OWNER notify CONTRACTOR in writing,stating occurrence of any of the events enumerated in the reasons therefore. If,after consideration of OWNER'S paragraphs 14.02.B.5.a through 14.02.B.5.c or objections, ENGINEER considers the Work substantially paragraph 15.02.A. complete,ENGINEER will within said 14 days execute and deliver to OWNER and CONTRACTOR a definitive 2. If OWNER refuses to make payment of certificate of Substantial Completion (with a revised the full amount recommended by ENGINEER, tentative list of items to be completed or corrected) OWNER must give CONTRACTOR immediate reflecting such changes from the tentative certificate as written notice(with a copy to ENGINEER)stating ENGINEER believes justified after consideration of any the reasons for such action and promptly pay CON- objections from OWNER. At the time of delivery of the TRACTOR any amount remaining after deduction tentative certificate of Substantial Completion ENGINEER of the amount so withheld. OWNER shall promptly will deliver to OWNER and CONTRACTOR a written pay CONTRACTOR the amount so withheld, or recommendation as to division of responsibilities pending any adjustment thereto agreed to by OWNER and final payment between OWNER and CONTRACTOR with CONTRACTOR,when CONTRACTOR corrects to respect to security, operation, safety,and protection of the OWNER'S satisfaction the reasons for such action. Work, maintenance, heat, utilities, insurance, and warranties and guarantees. Unless OWNER and 3. If it is subsequently determined that CONTRACTOR agree otherwise in writing and so inform OWNER'S refusal of payment was not justified,the ENGINEER in writing prior to ENGINEER'S issuing the amount wrongfully withheld shall be treated as an definitive certificate of Substantial Completion, amount due as determined by paragraph 14.02.C.1. ENGINEER'S aforesaid recommendation will be binding on OWNER and CONTRACTOR until final payment. 14.03 CONTRACTOR'S Warranty of Title B. OWNER shall have the right to exclude A. CONTRACTOR warrants and guarantees that title CONTRACTOR from the Site after the date of Substantial to all Work, materials, and equipment covered by any Completion, but OWNER shall allow CONTRACTOR Application for Payment, whether incorporated in the reasonable access to complete or correct items on the Project or not,will pass to OWNER no later than the time tentative list. of payment free and clear of all Liens. 00700-40 1611A 1 14.05 Partial Utilization TRACTOR in writing of all particulars in which this inspection reveals that the Work is incomplete or defective. A. Use by OWNER at OWNER'S option of any CONTRACTOR shall immediately take such measures as substantially completed part of the Work which has are necessary to complete such Work or remedy such specifically been identified in the Contract Documents,or deficiencies. which OWNER, ENGINEER,and CONTRACTOR agree constitutes a separately functioning and usable part of the 14.07 Final Payment Work that can be used by OWNER for its intended purpose without significant interference with CONTRACTOR'S A. Application for Payment performance of the remainder of the Work, may be accomplished prior to Substantial Completion of all the 1. After CONTRACTOR has, in the Work subject to the following conditions. opinion of ENGINEER,satisfactorily completed all corrections identified during the fmal inspection 1. OWNER at any time may request CON- and has delivered,in accordance with the Contract TRACTOR in writing to permit OWNER to use any Documents, all maintenance and operating such part of the Work which OWNER believes to instructions, schedules, guarantees, Bonds, be ready for its intended use and substantially certificates or other evidence of insurance complete. If CONTRACTOR agrees that such part certificates of inspection, marked-up record docu- of the Work is substantially complete, CON- ments (as provided in paragraph 6.12), and other TRACTOR will certify to OWNER and ENGI- documents,CONTRACTOR may make application NEER that such part of the Work is substantially for final payment following the procedure for complete and request ENGINEER to issue a progress payments. certificate of Substantial Completion for that part of the Work. CONTRACTOR at any time may notify 2. The final Application for Payment shall OWNER and ENGINEER in writing that be accompanied(except as previously delivered)by: CONTRACTOR considers any such part of the (i) all documentation called for in the Contract Work ready for its intended use and substantially Documents, including but not limited to the complete and request ENGINEER to issue a certify- evidence of insurance required by subparagraph cate of Substantial Completion for that part of the 5.04.B.7; (ii) consent of the surety, if any, to fmal Work. Within a reasonable time after either such payment; and (iii) complete and legally effective request, OWNER, CONTRACTOR, and releases or waivers(satisfactory to OWNER)of all ENGINEER shall make an inspection of that part of Lien rights arising out of or Liens filed in the Work to determine its status of completion. If connection with the Work. ENGINEER does not consider that part of the Work to be substantially complete, ENGINEER will 3. In lieu of the releases or waivers of Liens notify OWNER and CONTRACTOR in writing specified in paragraph 14.07.A.2 and as approved giving the reasons therefore. If ENGINEER by OWNER,CONTRACTOR may furnish receipts considers that part of the Work to be substantially or releases in full and an affidavit of complete, the provisions of paragraph 14.04 will CONTRACTOR that: (i) the releases and receipts apply with respect to certification of Substantial include all labor, services, material,and equipment Completion of that part of the Work and the for which a Lien could be filed;and(ii)all payrolls, division of responsibility in respect thereof and material and equipment bills,and other indebtedness access thereto. connected with the Work for which OWNER or OWNER'S property might in any way be 2. No occupancy or separate operation of responsible have been paid or otherwise satisfied. If part of the Work may occur prior to compliance any Subcontractor or Supplier fails to furnish such a with the requirements of paragraph 5.10 regarding release or receipt in full, CONTRACTOR may property insurance. furnish a Bond or other collateral satisfactory to OWNER to indemnify OWNER against any Lien. 14.06 Final Inspection B. Review of Application and Acceptance A. Upon written notice from CONTRACTOR that the entire Work or an agreed portion thereof is complete, 1. If, on the basis of ENGINEER'S obser- ENGINEER will promptly make a final inspection with vation of the Work during construction and final OWNER and CONTRACTOR and will notify CON- inspection, and ENGINEER'S review of the final 00700-41 1 6 1 1 A 1 Application for Payment and accompanying docu- 1. a waiver of all Claims by OWNER mentation as required by the Contract Documents, against CONTRACTOR, except Claims arising ENGINEER is satisfied that the Work has been from unsettled Liens,from defective Work appear- completed and CONTRACTOR'S other obligations ing after fmal inspection pursuant to paragraph under the Contract Documents have been fulfilled, 14.06, from failure to comply with the Contract ENGINEER will,within ten days after receipt of the Documents or the terms of any special guarantees final Application for Payment, indicate in writing specified therein, or from CONTRACTOR'S ENGINEER'S recommendation of payment and continuing obligations under the Contract Docu- present the Application for Payment to OWNER for ments;and payment. At the same time ENGINEER will also give written notice to OWNER and CON- 2. a waiver of all Claims by CONTRAC- TRACTOR that the Work is acceptable subject to TOR against OWNER other than those previously the provisions of paragraph 14.09. Otherwise, made in writing which are still unsettled. ENGINEER will return the Application for Payment to CONTRACTOR, indicating in writing the reasons for refusing to recommend final ARTICLE 15-SUSPENSION OF WORK AND payment,in which case CONTRACTOR shall make TERMINATION the necessary corrections and resubmit the Application for Payment. 15.01 OWNER May Suspend Work C. Payment Becomes Due A. At any time and without cause, OWNER may 1. Thirty days after the presentation to suspend the Work or any portion thereof for a period of not OWNER of the Application for Payment and more than 90 consecutive days by notice in writing to accompanying documentation, the amount CONTRACTOR and ENGINEER which will fix the date recommended by ENGINEER will become due and, on which Work will be resumed. CONTRACTOR shall when due, will be paid by OWNER to CON- resume the Work on the date so fixed. CONTRACTOR TRACTOR. shall be allowed an adjustment in the Contract Price or an extension of the Contract Times, or both, directly 14.08 Final Completion Delayed attributable to any such suspension if CONTRACTOR makes a Claim therefore as provided in paragraph 10.05. A. If, through no fault of CONTRACTOR, final completion of the Work is significantly delayed, and if 15.02 OWNER May Terminate for Cause ENGINEER so confirms, OWNER shall, upon receipt of CONTRACTOR'S final Application for Payment and A. The occurrence of any one or more of the recommendation of ENGINEER, and without terminating following events will justify termination for cause: the Agreement,make payment of the balance due for that portion of the Work fully completed and accepted. If the 1. CONTRACTOR'S persistent failure to remaining balance to be held by OWNER for Work not perform the Work in accordance with the Contract fully completed or corrected is less than the retainage Documents(including,but not limited to,failure to stipulated in the Agreement, and if Bonds have been supply sufficient skilled workers or suitable materi- furnished as required in paragraph 5.01,the written consent als or equipment or failure to adhere to the progress of the surety to the payment of the balance due for that schedule established under paragraph 2.07 as portion of the Work fully completed and accepted shall be adjusted from time to time pursuant to paragraph submitted by CONTRACTOR to ENGINEER with the 6.04); Application for such payment. Such payment shall be made under the terms and conditions governing final 2. CONTRACTOR'S disregard of Laws or payment, except that it shall not constitute a waiver of Regulations of any public body having jurisdiction; Claims. 3. CONTRACTOR'S disregard of the 14.09 Waiver of Claims authority of ENGINEER;or A. The making and acceptance of final payment will 4. CONTRACTOR'S violation in any constitute: substantial way of any provisions of the Contract Documents. 00700-42 16I1A1 2. for expenses sustained prior to the B. If one or more of the events identified in effective date of termination in performing services paragraph 15.02.A occur, OWNER may, after giving and furnishing labor,materials, or equipment as re- CONTRACTOR(and the surety,if any)seven days written quired by the Contract Documents in connection notice, terminate the services of CONTRACTOR, exclude with uncompleted Work, plus fair and reasonable CONTRACTOR from the Site,and take possession of the sums for overhead and profit on such expenses; Work and of all CONTRACTOR'S tools,appliances,con- struction equipment,and machinery at the Site,and use the 3. for all claims,costs,losses,and damages same to the full extent they could be used by (including but not limited to all fees and charges of CONTRACTOR(without liability to CONTRACTOR for engineers, architects, attorneys, and other trespass or conversion), incorporate in the Work all professionals and all court or arbitration or other materials and equipment stored at the Site or for which dispute resolution costs) incurred in settlement of OWNER has paid CONTRACTOR but which are stored terminated contracts with Subcontractors,Suppliers, elsewhere, and fmish the Work as OWNER may deem and others;and expedient. In such case, CONTRACTOR shall not be entitled to receive any further payment until the Work is 4. for reasonable expenses directly finished. If the unpaid balance of the Contract Price attributable to termination. exceeds all claims, costs, losses, and damages (including but not limited to all fees and charges of engineers, B. CONTRACTOR shall not be paid on account of architects, attorneys, and other professionals and all court loss of anticipated profits or revenue or other economic loss or arbitration or other dispute resolution costs)sustained by arising out of or resulting from such termination. OWNER arising out of or relating to completing the Work, such excess will be paid to CONTRACTOR. If such 15.04 CONTRACTOR May Stop Work or Terminate claims, costs, losses, and damages exceed such unpaid balance, CONTRACTOR shall pay the difference to A. If,through no act or fault of CONTRACTOR,the OWNER. Such claims,costs,losses,and damages incurred Work is suspended for more than 90 consecutive days by by OWNER will be reviewed by ENGINEER as to their OWNER or under an order of court or other public reasonableness and, when so approved by ENGINEER, authority,or ENGINEER fails to act on any Application for incorporated in a Change Order. When exercising any Payment within 30 days after it is submitted, or OWNER rights or remedies under this paragraph OWNER shall not fails for 30 days to pay CONTRACTOR any sum finally be required to obtain the lowest price for the Work determined to be due, then CONTRACTOR may, upon performed. seven days written notice to OWNER and ENGINEER, C. Where CONTRACTOR'S services have been so and provided OWNER or ENGINEER do not remedy such terminated by OWNER,the termination will not affect any suspension or failure within that time, terminate the rights or remedies of OWNER against CONTRACTOR Contract and recover from OWNER payment on thc same then existing or which may thereafter accrue. Any terms as provided in paragraph 15.03. In lieu of terminat- retention or payment of moneys due CONTRACTOR by ing the Contract and without prejudice to any other right or OWNER will not release CONTRACTOR from liability. remedy,if ENGINEER has failed to act on an Application for Payment within 30 days after it is submitted, or 15.03 OWNER May Terminate For Convenience OWNER has failed for 30 days to pay CONTRACTOR any sum finally determined to be due, CONTRACTOR A. Upon seven days written notice to CON- may, seven days after written notice to OWNER and TRACTOR and ENGINEER,OWNER may,without cause ENGINEER, stop the Work until payment is made of all and without prejudice to any other right or remedy of such amounts due CONTRACTOR, including interest OWNER, elect to terminate the Contract. In such case, thereon. The provisions of this paragraph 15.04 are not CONTRACTOR shall be paid(without duplication of any intended to preclude CONTRACTOR from making a items): Claim under paragraph 10.05 for an adjustment in Contract Price or Contract Times or otherwise for expenses or 1. for completed and acceptable Work damage directly attributable to CONTRACTOR'S stopping executed in accordance with the Contract Docu- the Work as permitted by this paragraph. meets prior to the effective date of termination, including fair and reasonable sums for overhead and profit on such Work; 00700-43 1 6114 1 ARTICLE 16-DISPUTE RESOLUTION ing obligations indicated in the Contract Documents, will survive final payment, completion, and acceptance of the 16.01 Methods and Procedures Work or termination or completion of the Agreement. A. Dispute resolution methods and procedures, if 17.05 Controlling Law any,shall be as set forth in the Supplementary Conditions. If no method and procedure has been set forth,and subject A. This Contract is to be governed by the law of the to the provisions of paragraphs 9.09 and 10.05, OWNER state in which the Project is located. and CONTRACTOR may exercise such rights or remedies as either may otherwise have under the Contract Docu- ments or by Laws or Regulations in respect of any dispute. ARTICLE 17-MISCELLANEOUS 17.01 Giving Notice A. Whenever any provision of the Contract Documents requires the giving of written notice,it will be deemed to have been validly given if delivered in person to the individual or to a member of the firm or to an officer of the corporation for whom it is intended,or if delivered at or sent by registered or certified mail,postage prepaid,to the last business address known to the giver of the notice. 17.02 Computation of Times A. When any period of time is referred to in the Contract Documents by days, it will be computed to exclude the first and include the last day of such period. If the last day of any such period falls on a Saturday or Sunday or on a day made a legal holiday by the law of the applicable jurisdiction, such day will be omitted from the computation. 17.03 Cumulative Remedies A. The duties and obligations imposed by these General Conditions and the rights and remedies available hereunder to the parties hereto are in addition to, and are not to be construed in any way as a limitation of,any rights and remedies available to any or all of them which are otherwise imposed or available by Laws or Regulations,by special warranty or guarantee,or by other provisions of the Contract Documents, and the provisions of this paragraph will be as effective as if repeated specifically in the Contract Documents in connection with each particular duty,obligation,right,and remedy to which they apply. 17.04 Survival of Obligations A. All representations, indemnifications, warranties, and guarantees made in, required by, or given in accor- dance with the Contract Documents,as well as all continu- 00700-44 1611A 1 SUPPLEMENTARY CONDITIONS These Supplementary Conditions amend or supplement the Standard General Conditions and other provisions of these Contract Documents as indicated below. All provisions of the Standard General Conditions which are not so amended or supplemented remain in full force and effect. ARTICLE 1 - DEFINITIONS AND TERMINOLOGY The terms used in these Supplementary Conditions which are defined in the Standard General Conditions have the meanings assigned to them in the Standard General Conditions. 1.01 Defined Terms Add the following definition: 51. Plans - A term which may be used interchangeably with the terms "Drawings" and which will have the same meaning. ARTICLE 2 - PRELIMINARY MATTERS Delete the third sentence of Paragraph 2.03 in its entirety. ARTICLE 4 - AVAILABILITY OF LANDS; SUBSURFACE AND PHYSICAL CONDITIONS; REFERENCE POINTS 4.02 A. Subsurface and Physical Conditions No subsurface explorations have been made by ENGINEER in the preparation of the Contract Documents. CONTRACTOR has, however, conducted his own investigation of both surface and subsurface conditions and has based his bid thereon. All provisions in this section as to possible relief due to differing subsurface conditions are not applicable as CONTRACTOR's bid is based on performance. ARTICLE 5 - BONDS AND INSURANCE 5.01 Performance, Payment, and Other Bonds Delete- Not required 5.04 CONTRACTOR'S Liability Insurance See attached Exhibit"E" 5.05 OWNER'S Liability Insurance Delete Paragraph 5.05 in its entirety. 5.06 Property Insurance Delete Paragraphs 5.06A, 5.06.6 and 5.06.0 in their entirety. Delete Paragraph 5.06.E of the General Conditions in its entirety. 5.07 Waiver of Rights CEDAR HAMMOCK CDD Bridge and Bulkhead Replacement SC-1 C.Users\ABruce\AppData\Local\Microsof;\windows\INetCache\ContentOu'loo0J3GV1RV\1263CDD 07_SupplementaryConditions.doc 1611A1 Delete Paragraph 5.07 of the General Conditions in its entirety. 5.08 Receipt of Application of Insurance Proceeds Delete Paragraph 5.08.A of the General Conditions in its entirety. Delete the second sentence of Paragraph 5.08.B. ARTICLE 6 - CONTRACTOR'S RESPONSIBILITIES 6.02 Labor;Working Hours Delete paragraph 6.02.6 in its entirety. Add new paragraphs immediately after 6.02.6 of the General Conditions reading as follows: 6.02.0 Suitable qualified personnel means the field work must be supervised by a Surveyor, registered in the State of Florida, meeting the ENGINEER'S approval. 6.02.D All construction layout work shall meet or exceed the minimum technical standards as set forth in Chapter 21 HH, Florida Administrative Code. 6.08 Permits Replace paragraph 6.08.A with the following: A. OWNER shall obtain and pay for applicable impact fees and all permits required for the approval of the construction plans and specifications and the issuance of applicable permits by County and State regulatory agencies. OWNER shall also pay applicable inspection fees necessary for the prosecution of the Work. OWNER either has secured or will secure permits from South Florida Water Management District(ERP), from Collier County, and from Florida Department of Environmental Protection (NPDES). CONTRACTOR is responsible for obtaining any additional construction permits including, but not limited to, Right-of-Way Connection Permits, Blasting Permit and Burning Permits, including any required bonds. 6.12 Record Documents Delete the last sentence of paragraph 6.12.A. Add the following paragraph: 6.12.B. CONTRACTOR shall be responsible for preparing and delivering to ENGINEER final record drawings meeting the requirements hereof and all tests results required by the Specifications prior to the notification of Substantial Completion pursuant to Section 14.04 A. 6.17 Shop Drawings and Samples Delete this section entirely. ARTICLE 12 - CHANGE OF CONTRACT PRICE; CHANGE OF CONTRACT TIME 12.01 Change of Contract Price Add the following paragraphs at the end of paragraph 12.01.6.3: 12.01.6.4 Whenever a change in the Work is to be based on mutual acceptance of a lump CEDAR HAMMOCK CDD Bridge and Bulkhead Replacement SC-2 CAUsers\ABruce\AppData\Local\Microsoft\W ndows\INetCache\Content.Outloo0J3GV1RV\1263CDD_07 SupplementaryConditions.doc 1 6 1 1 A 1 sum pursuant to Paragraph 12.01.B.2, whether the amount is an addition, credit or no change-in-cost, CONTRACTOR shall submit an estimate substantiated by a complete itemized breakdown. The breakdown shall list quantities and unit prices for materials, labor, equipment, overhead and other items of cost. 12.01.B.5 Whenever a change involves the CONTRACTOR and one or more SUBCONTRACTOR'S and the change is an increase in the Contract Price, overhead and profit percentage for the CONTRACTOR and each SUBCONTRACTOR shall be itemized separately. 12.02 Change of Contract Time Add the following to the end of paragraph 12.02.B: The time lost due to delays beyond the control of the CONTRACTOR will be considered to be equivalent to the number of days the path of critical events is lengthened by the delay regardless of the duration of the delay. CONTRACTOR shall indicate this path of critical events, by diagram or narrative, in such detail as may be necessary to justify the claim and establish the number of days delay. The path of critical events is defined as that series of interdependent construction events which must be sequentially performed requiring a longer total time to perform than any other series. ARTICLE 13 -TESTS AND INSPECTIONS; CORRECTION, REMOVAL OR ACCEPTANCE OF DEFECTIVE WORK 13.03 Tests and Inspections Add the following language at the end of paragraph 13.03.A: "Timely Notice" shall mean communication of intent within 48 hours. Delete Paragraph 13.03.B in its entirety and add in its place: B. The cost of all geotechnical and material testing and all other tests required by the Contract Documents shall be initially paid by the CONTRACTOR and reimbursed by OWNER for all passing tests pursuant to the Bid Schedule. The testing shall be performed by a certified laboratory and all tests shall be signed and sealed by a Florida licensed professional ENGINEER. Delete Paragraph 13.03.0 in its entirety and add in its place: C. Inspections by ENGINEER notwithstanding, portions of the Work which are covered by existing governmental agency permits will not be considered complete until it is inspected and/or approved by the appropriate agencies. CONTRACTOR may not, therefore, request ENGINEER to issue a Certificate of Substantial Completion on the Work or any portion thereof pursuant to Section 14.04 A. until it has delivered all test results to ENGINEER and the Work has been approved. CONTRACTOR shall, therefore, assume full responsibility for arranging and obtaining such inspections, tests or approvals. So as to facilitate the testing of the Work and the establishment of conformance of the construction with the applicable regulations, CONTRACTOR shall arrange for portions of the Work to be inspected and approved as construction progresses. ARTICLE 14- PAYMENTS TO CONTRACTOR AND COMPLETION CEDAR HAMMOCK CDD Bridge and Bulkhead Replacement SC-3 C:\Users\ABruce\AppData\local\Microsoft\Windows\INetCache\Content.outloo0J3GV1RV\1263CDD_07 SupplementaryConditions.doc 1 6 1 1 A 1 14.01 Schedule of Values Delete this section entirely. 14.02 Progress Payments A. Applications for Payments Replace paragraph 1.with the following: 1. At least 20 days before the date established for each progress payment (but not more often than once a month), CONTRACTOR shall submit to ENGINEER for review an Application for Payment filled out and signed by CONTRACTOR covering the Work completed as of the date of the Application and accompanied by the results of the testing of the Work pursuant to Paragraph 13.03 B. and field survey data proving conformance of the Work with the requirements of the Contract Documents. Progress payments may not include the cost of materials and equipment not incorporated in the Work. Amend Paragraph 2.to add the following language at the end: CONTRACTOR shall use the standard forms provided as exhibits to the Construction Contract. B. Payment Becomes Due Delete the language "Ten days" in paragraph 14.02.C.1 and replace with the language "Thirty (30) days". ARTICLE 16 - DISPUTE RESOLUTION 16.01 Methods and Procedures Delete paragraph A. and replace it with the following: 16.1. All claims, disputes and other matters in question between OWNER and CONTRACTOR arising out of or relating to the Contract Documents or the breach thereof(except for claims which have been waived by the making or acceptance of final payment as provided by paragraph 14.07) will be decided by arbitration in accordance with the Construction Industry Arbitration Rules of the American Arbitration Association then obtaining, subject to the limitations of this Article 16. This Agreement so to arbitrate and any other Agreement or consent to arbitrate entered into in accordance herewith as provided in this Article 16 will be specifically enforceable under the prevailing law of any court having jurisdiction. 16.2. No demand for arbitration of any claim, dispute or other matter that is required to be referred to ENGINEER initially for decision in accordance with paragraph 9.09 will be made until the earlier of(a) the date on which ENGINEER has rendered a written decision or(b)the thirty-first day after the parties have presented their evidence to ENGINEER if a written decision has not been rendered by ENGINEER before that date. No demand for arbitration of any such claim, dispute or other matter will be made later than thirty days after the date on which ENGINEER has rendered a written decision in respect thereof in accordance with paragraph 9.09; and the failure to demand arbitration within said thirty days period will result in ENGINEER'S decision being final and binding upon OWNER and CONTRACTOR. If ENGINEER renders a decision after arbitration proceedings have been initiated, such decision CEDAR HAMMOCK CDD Bridge and Bulkhead Replacement SC-4 CMJsers\ABruce\App Data\local\Microsoft\Windows\INetCache\Content.Outlook\9J3GV1RV\1263CD0_07 Su pplementaryConditions.doc 1611A1 may be entered as evidence but will not supersede the arbitration proceedings except where the decision is acceptable to the parties concerned. No demand for arbitration of any written decision of ENGINEER rendered in accordance with paragraph 9.08 will be made later than ten days after the party making such demand has delivered written notice of intention to appeal as provided in paragraph 9.08. 16.3. Notice of the demand for arbitration will be filed in writing with the other party to the Agreement and with the American Arbitration Association, and a copy will be sent to ENGINEER for information. The demand for information will be made within the thirty-day or ten-day period specified in paragraph 16.2 as applicable, and in all other cases within a reasonable time after the claim dispute or other matter in question has arisen and in no event shall any such demand be made after the date when institution of legal or equitable proceedings based on such claim dispute or other matter in question would be barred by the applicable statute of limitations. 16.4. Except as provided in paragraph 16.5 below, no arbitration arising out of or relating to the Contract Documents shall include by consolidation,joinder or in any other manner any other person or entity (including ENGINEER, ENGINEER'S Consultant and the officers, directors, agents, employees or consultants of any of them) who is not a party to this Contract unless: 16.4.1. the inclusion of such other person or entity is necessary if complete relief is to be afforded among those who are already parties to the arbitration; and 16.4.2. such other person or entity is substantially involved in a question of law or fact which is common to those who are already parties to the arbitration and which will arise in such proceedings; and 16.4.3. the written consent of the other person or entity sought to be included and of OWNER and CONTRACTOR has been obtained for such inclusion, which consent shall make specific reference to this paragraph but no such consent shall constitute consent to arbitration of any dispute not specifically described in such consent or to arbitration with any party not specifically identified in such consent. 16.5. Notwithstanding paragraph 16.4, if a claim, dispute or other matter in question between OWNER and CONTRACTOR involves the Work of a SUBCONt RACTO, eithe her OOWNER or CONTRACTOR may join such SUBCONTRACTOR as a party on between OWNER and CONTRACTOR hereunder. CONTRACTOR shall include in all Sub- Contracts required by paragraph 6.11 a specific provision whereby the SUBCONTRACTOR consents to being joined in an arbitration between OWNER and CONTRACTOR involving the Work of such SUBCONTRACTOR. Nothing in this paragraph 16.5 nor in the provision of such Sub-Contract consenting to joinder shall create any claim, right or cause of action in favor of SUBCONTRACTOR and against OWNER, ENGINEER or ENGINEER'S Consultants that does not otherwise exist. 16.6. The award rendered by the arbitrators will be final. Judgment may be entered upon it in any CEDAR HAMMOCK CDD Bridge and Bulkhead Replacement SC-5 CAUsers\ABruce\AppDataVocal\Microsoft\windows\INetCache\Content.Outlook\913GV1RV\1263CDD_D7 SupplementaryConditions.doc 1 6 1 1 A 1 court having jurisdiction thereof and it will not be subject to modification or appeal. 16.7. OWNER and CONTRACTOR agree that they shall first submit any and all unsettled claims, counterclaims, disputes and other matters in question between them arising out of or relating to the Contract Documents or the breach thereof ("disputes") to mediation by The American Arbitration Association under the Construction Industry Mediation Rules of the American Arbitration Association prior to either of them initiating against the other a demand for arbitration pursuant to paragraphs 16.1 through 16.6, unless delay in initiating arbitration would irrevocably prejudice one of the parties. The respective thirty and ten day time limits within which to file demand for arbitration as provided in paragraphs 16.2 and 16.3 above shall be suspended with respect to a dispute submitted to mediation within those same applicable time limits and shall remain suspended until ten days after the termination of the mediation. The mediator of any dispute submitted to mediation under this Agreement shall not serve as arbitrator of such dispute unless otherwise agreed. CEDAR HAMMOCK CDD Bridge and Bulkhead Replacement SC-6 C:W sers\ABruce\AppData\toca I\Microsoft\Windows\INetCache\Content.0utlook\MGV 1 RV\1263CDD_07_Supplementa ryConditions.doc 1 6 1 1 A 1 GENERAL SPECIFICATIONS GS-1 SCOPE The General Specifications describes the CONTRACTOR'S responsibilities for all work under this Contract in addition to the more specific requirements of the Technical Specifications. GS-2 DEFINED TERMS The terms used in these General Specifications and Technical Specifications which are defined in the General Conditions have the meanings assigned to them in the General Conditions. GS-3 STANDARD SPECIFICATION REFERENCE All work, materials and construction methods will be in general conformance with the "Florida Department of Transportation Standard Specifications for Road and Bridge Construction," latest edition, hereinafter referred to as F.D.O.T.Specifications or F.D.O.T. Section for any particular section reference. Some work materials and construction methods will be in strict conformance with the F.D.O.T. Specifications as set forth in the Technical Specifications by the applicable F.D.O.T. Section Numbers. Where F.D.O.T. Section cited contains references to other Sections, they shall also be included as though cited herein. Where F.D.O.T. Specifications refer to the"Engineer," "Engineer of Tests,"or"Division of Tests," it shall be understood to mean the ENGINEER as such in the Agreement. Where F.D.O.T. Specifications refer to the "Department," it shall mean the OWNER as set forth in the Agreement. In case of conflict between the referenced F.D.O.T. Specifications and the Contract Documents,the Contract Documents shall govern. Reference to A.A.S.H.T.O. and A.S.T.M are to the latest editions of published Tests of the American Association of the State Highway and Transportation Officials and the American Society for Testing Materials, respectively. GS-4 MAINTENANCE OF TRAFFIC The CONTRACTOR shall maintain traffic within the limits and adjacent to the construction as required by and in accordance with F.D.O.T. Section 102, Federal Highway Administration Manual on Uniform Traffic Control Devices Part VI, and any applicable local regulations. The CONTRACTOR shall perform all construction activity so that access to the Sales Center can be maintained at all times and access to occupied homes can be maintained during non-working hours. Prior to access blockage,written notice will be given to the blocked resident a minimum of 48 hours in advance, either mailed or hand delivered with a copy of each furnished to the ENGINEER. GS-5 TREE AND SHRUB PROTECTION A. CONTRACTOR shall exercise care to protect all trees and shrubs designated to remain or not required to be cleared for construction. Trees and shrubs outside construction limits shall remain and shall be protected, and where damaged, restored to original condition. Trees CEDAR HAMMOCK Bridge and Bulkhead Replacement GS-1 C:\Users\Bruce\AppData\Locar\Microsoft\Windows\INetCache\Content.Outlook\913G V1 R V\1263C DD_0B_GeneralSpecs.doc 1 6 1 1 A 1 damaged within the construction limits due to negligence shall be restored to original condition. B. Tree limbs which interfere with construction operations and are approved for pruning shall be neatly cut with sharp pruning instruments;do not break or chop. All cut faces shall be coated with an approved tree pruning compound which is waterproof, antiseptic, elastic and free of kerosene,coal tar,creosote and other substances harmful to plants. Pruning operations shall be extended to restore the natural shape of the entire tree or shrub. C. CONTRACTOR shall protect tree and shrub root systems. Do not store construction materials, debris or excavated materials beyond construction limits. Do not permit vehicles or construction equipment beyond the limits of utility construction. Restrict foot traffic to prevent excessive compaction of soil over root system. Excavated material shall be stockpiled away from tree drip lines as approved by the ENGINEER. Protect tree and shrub root systems from damage due to noxious materials in solution caused by runoff or spillage during construction, operations or drainage from stored materials. Protect root systems from flooding, erosion or excessive wetting resulting from dewatering operations. Excavate within the drip line of trees only when approved by the ENGINEER. Where trees are designated to remain within the limits of construction and trenching for utilities is required within tree drip lines,cut roots with sharp pruning instruments; do not break or chop. Paint roots over 2" caliper with approved tree pruning compound. D. Trees damaged by construction operations shall be repaired promptly after damage occurs to prevent progressive deterioration of damaged trees. Removed trees, branches, roots and other excess materials shall be removed from the construction site to an approved landfill at the expense of the CONTRACTOR. GS-6 DAMAGE TO EXISTING STRUCTURES AND UTILITIES The CONTRACTOR shall be responsible for and make good all damage to pavement beyond the limits of this Contract, buildings, telephone or other cables, water pipes, sanitary pipes or other structures which may be encountered,whether or not shown on the Drawings. Information shown on the Drawings as to the location of existing utilities has been prepared from the most reliable data available to the ENGINEER. This information is not guaranteed,however,and it shall be this CONTRACTOR'S responsibility to determine the location, character and depth of any existing utilities. He shall assist the utility companies by every means possible to determine said locations. Extreme caution shall be exercised to eliminate any possibility of any damage to utilities resulting from his activities. GS-7 ADJUSTMENT OF GRADES Adjustments of grades shown on drawings may be necessary to conform to actual field conditions or to maintain cover under proposed future grades. Such adjustments shall be considered part ofthe job conditions and no extra compensation will be allowed for such changes except where specifically otherwise noted in the plans or specifications. Such adjustments must be approved by the ENGINEER CEDAR HAMMOCK Bridge and Bulkhead Replacement GS-2 C:\Users\ABruce\AppData\Local\Microsoft\Windows\I NetCache\Content Outlook\9J3GV1RV\1263CDD_08_GeneralSpecs.doc 1 6 1 1 A 1 prior to being made. GS-8 TRENCH EXCAVATION AND BACKFILLING 8.1 Protection of Existing Improvements Prior to excavating any section of work,the CONTRACTOR shall call all applicable underground utility companies and inform them that work on the specific section is about to commence and request that they field locate their utilities in the area. When proceeding with the work,the contractor shall exercise caution to protect all underground and overhead utilities and existing structures from damage. The CONTRACTOR shall provide all sheeting, shoring and bracing that may be required to properly protect adjacent property and structures. The CONTRACTOR shall repair to the satisfaction of the OWNER any surface or subsurface improvements damaged during the course of the work(unless such improvement is shown on the drawing). Should any utilities be encountered that are not shown on the drawing,the CONTRACTOR shall immediately notify the ENGINEER and shall take whatever caution necessary to protect the utility. 8.2 Trench Excavation All trenches will be open cut except where the ENGINEER gives written permission for tunneling. Unless otherwise specified, the CONTRACTOR may use the type of equipment he considers best to perform the excavation provided it is done within the work limits shown. The trenches should be at 12" above the pipe, no wider than 12" plus the outside diameter of the pipe unless otherwise required for the safe and proper execution of the work. 8_3 Pipe Bedding Perform final grading of trench bottoms by hand tools. Carry machine excavation only to such depth that soil bearing for pipes will not be disturbed. Grade the bottom of trenches evenly to insure uniform bearing for all pipes. Cut holes as necessary for joints and joint making. (1) As an alternate method, option with the CONTRACTOR, excavate trenches to at least 4 inches below the required bottom levels and refill to the proper grade with sand and gravel firmly compacted. (2)In Rock,cemented gravel,old masonry or other hard material,excavate to at least 4 inches below the pipe at all points and refill to grade with sand and/or gravel firmly compacted. (3)In fill containing refuse,organic matter or similar substances,or any other material deemed unsuitable by the ENGINEER,shall be removed and clean fill or gravel placed in the trench and firmly compacted. 8.4 Soil Materials for Trench Backfilling 1. Satisfactory trench backfill materials are defined as those soils complying with American CEDAR HAMMOCK Bridge and Bulkhead Replacement GS-3 C:Vlsers\ABruce\AppData\Local\Microsoft\Windows\INetCache\Content.Outlook\913GV1FM1263CDD 08_GeneralSpecs.doc 1 6 1 1 A 1 Association of State Highway and Transportation Officials(AASHTO)Soil Classification Groups A-1, A-2, A-3, A-4, A-5, A-6, A-7-5 or A-T6 providing such materials have a liquid limit not greater than 50, nor a plastic index not less than 7 nor greater than 20. Satisfactory soil materials shall be free of debris,waste, rock or gravel larger than 4 inches in any dimension. 2. Select materials are defined as those materials meeting the requirements for satisfactory trench backfill materials except that the material shall be free of rock or gravel larger than 2 inches in any dimension. Select materials from an offsite source shall be used for all utility backfill. 3. Unsatisfactory soil materials are defined as rock greater than 4 inches in any dimension, organic materials or soil materials with a liquid limit greater than 50, and/or plastic index less than 7 or greater than 20. 4. Granular Pipe Bedding Material-Granular pipe bedding material shall be well graded crushed stone or crushed gravel meeting the requirements of ASTM Designation C-33,Graduation No. 67 (3/4 inches to No.4 Sieve). 8.5 Rock Excavation Material to be excavated hereunder in trenches for utilities shall include earth, rock or any other material encountered in excavating to the depth and extent indicated on the drawings and herein specified. No adjustment in the contract price will be made on account of the absence or presence of rock,shale,masonry or other materials. In the case of any change ordered in writing by the ENGINEER in the quantity of excavation, the excavation involved shall be unclassified; the value shall be determined and the contract price will be adjusted as provided in the general conditions. Rock excavation for structures other than manholes shall be carried a minimum of 6" below the bottom of the structure. Rock excavation for sanitary manholes shall be a minimum of 12" below the bottom of the structure. The excavation will be brought back to grade with crushed gravel or sand. Any excess rock(larger than 4" in diameter) is to be disposed of onsite rock burial areas. These areas will be open pits where the CONTRACTOR can dispose rocks and boulders. CONTRACTOR is responsible for the transportation of all rocks to the rock burial area, including all trenching and placement of rock in the burial area. Excavation and backfilling of the rock burial areas will be provided by CONTRACTOR. 8.6 Water Removal CONTRACTOR shall keep trenches free from water while construction is in progress. Under no circumstances lay pipe or appurtenances in water. Pump or bail water from trench and bell holes to permit proper jointing of pipes. Conduct the discharge from trench dewatering to drains or natural drainage channels. The CONTRACTOR shall provide adequate equipment for removal of storm or surface water from the excavation area. If subsurface water is encountered,the CONTRACTOR shall use approved means to dewater the excavation. A well point system or other approved equipment shall be installed, if necessary,to maintain the excavation in a dry condition for placing structures and installing lines. CEDAR HAMMOCK Bridge and Bulkhead Replacement GS-4 Msers\ABruce\AppData\Local\Microsoft\Windows\INetCache\Content.Outlook\913GV1RV\1263CDD_08 GeneralSpecs.doc 1 6 1 1 A 1 The CONTRACTOR shall perform all dewatering operations so as not to cause injury to public or private property or cause a nuisance or menace to the public and he shall be solely responsible for obtaining any approvals or permits required for the disposal of water removed from the excavations. All dewatering activities shall be considered incidental to structure installation and will be considered to be included in the unit prices for pipe or structure installation. 8_7 Shoring Unless trenches banks are cut back on a staple slope,CONTRACTOR shall sheet and brace trenches as necessary to prevent caving or sliding,to provide protection for workmen and the pipe,and to protect adjacent structures and facilities. Do not brace sheeting against the pipe, but brace it so that no concentrated loads of horizontal thrust are transmitted to the pipe. It a portable metal box is used for bracing the slopes, take care not to disturb the pipe when the box is removed. All trenching and shoring shall be in accordance with OSHA requirements. 8.8 Disposition of Utilities Rules and Regulations governing the respective utilities shall be observed in executing all work under this heading. Active utilities,if encountered,shall be protected in accordance with written instructions of the ENGINEER (See GENERAL CONDITIONS). Inactive and abandoned utilities encountered in trenching operations shall be removed, plugged or capped. In absence of specific requirements,plug or cap such utilities lines at least 3 feet from utility to be installed or are required by local engineers. 8.9 Excess Excavated Material Unless otherwise specified,all suitable excavated material in excess of the needs for backfill and area fill shall become the property of the OWNER. All unsuitable material for backfill or area fill shall become the property of the CONTRACTOR and shall be removed from the project. 8.10 Backfilling Backfilling trenches only after piping has been inspected, tested and locations of pipe lines and appurtenances have been recorded unless otherwise approved by ENGINEER. CONTRACTOR shall follow all Lee County requirements for utility backfill. Pipes should be backfilled a minimum of 12" above the top of the pipe immediately after laying with select backfill material. The backfill material shall be clean sand with a moisture content of eight to eleven percent. The first 12" of backfill shall be placed in a maximum of 6 layers; backfill shall be tamped under and around the pipe carefully and uniformly so as to eliminate the possibility of any lateral displacement or settling. The remainder of the trench,with the exception of the upper foot, shall be backfilled with satisfactory trench backfill material. In the event it is the ENGINEER'S opinion that sufficient suitable material herein specified for trench backfill is not available from trenching or other excavation for the project, he may require the CONTRACTOR to supply and place the requisite additional material. All backfill shall be placed in 12" layers and compacted an average maximum density of 95% as determined by AASHTO Method T180 (Modified Projector). The backfill in the top 1' shall be the same material as CEDAR HAMMOCK Bridge and Bulkhead Replacement GS-5 C\Users\ABruce\AppData\Local\Microsoft\Windows\INetCache\Content.Outlook\913GV1Rv\1263CDD 08_GeneralSpecs.doc 1 6 1 1 A 1 specified for backfilling around the pipe. Backfill under areas to be paved shall be compacted to a minimum density of 95%as determined by AASHTO Method T18- (Modified Proctor). 811 Compaction Testing Failure of CONTRACTOR to backfill by above methods may obligate CONTRACTOR to supply compaction tests as required by ENGINEER if not already required by the Technical Specifications. All soil tests will be made by a laboratory approved by the ENGINEER. Costs of testing will be paid by the CONTRACTOR. 8.12 Site Restoration All construction areas will be cleared of material and debris and brought to uniform grade within 72 hours after the backfill has been placed unless additional time is obtained from the ENGINEER in writing. Ditches shall be finished to drain readily. All construction areas will be restored to their original condition or better. All property improvements including water lines,inlets,driveways, headwalls, culverts, ditches,sidewalks,walkways, curbing, and mailboxes damaged during construction will be restored to the same or better condition they were in prior to construction. Shrubbery,fencing,signs irrigation systems and other appurtenances belonging to private property OWNERS located within the contract limits will be the responsibility of the CONTRACTOR. 8.13 Driveway Reconstruction Concrete driveways shall be repaired with Class II concrete conforming to F.D.O.T. Specifications, Section 345. The thickness shall match the original driveway thickness but in no case shall it be less than 5 inches. Concrete will be reinforced with 6x6x10x10 welded wire mesh. All joints shall be straight line vertical saw cut. Asphalt and bituminous surface treated driveways shall be repaired with 6" limerock or shell base primed and paved with a minimum of 1" Type II asphaltic concrete. Construction shall conform to F.D.O.T. Specifications, Section 200, 300 and 332. All joints shall be straight line vertical saw cut. All other driveways except those of natural existing material shall be repaired with 6" of compacted shall. All joints to be neatly blended. Any driveways of special construction using stone or any other material shall be repaired with the same or better quality construction as the existing driveway. 8-14 SUBMITTALS TO ENGINEER The following Submittals must be sent to the ENGINEER by CONTRACTOR as set forth in the Supplementary Conditions, prior to the ENGINEER'S inspection,for pay request of any associated item: CEDAR HAMMOCK Bridge and Bulkhead Replacement GS-6 CAUsers\ABruce\AppData\LocalWicrosoft\Windows\INetCache\Content.Outlook\913GV1RV\1263CDD_08 GeneralSpecsdoc 16IlA 1 1. Embankment Compaction Test. 2. Storm Sewer Backfill Compaction Test. 3. Stabilized Subgrade Compaction Test and LBR Test. 4. Stabilized Shoulder Compaction Test and LBR Test. 5. Limerock Base Compaction Test and LBR Test. 6. Asphalt Core Borings. 7. Pipe Culvert Manufacturer Data. 8. Grass Seed Ingredient Tickets. 9. Trench Backfill Compaction Tests. 10. Pre-cast Structures Shop Drawings. Prior to Final Acceptance: 11. Any documentation required by Lee County. GS-9 PROJECT RECORD 9_1 Description Definitions: Record copies are defined to include those documents or copies relating directly to performance of the work which CONTRACTOR is required to prepare for the OWNERS records, recording the work as actually performed. Record copies shall show all changes in the work from that shown and specified by original contract documents; and show additional information of value to OWNERS records, but not indicated by original contract documents. Record copies include newly prepared drawings, marked up copies of contract drawings, shop drawings, specifications, addenda and change orders, marked up product data SUBMITTALS, field records for variable and concealed conditions such as excavations and foundations,and miscellaneous record information on work which is otherwise recorded only schematically or not at all. Certain individual sections of these specifications may indicate specific record copy requirements which extend requirements of this section. CONTRACTOR shall provide accurate survey information showing locations and elevations of all underground utility lines, including elevations, location and change of direction of piping, conduit, valves,fittings,tanks and manholes. 9_2 Record Drawings Markup Procedure: During progress of the work, maintain a complete blueline set of contract drawings and shop drawings with markup of actual installations which vary from the work as originally shown. 9_3 Record Specifications During progress of the work, maintain one copy of specifications including addenda, change orders CEDAR HAMMOCK Bridge and Bulkhead Replacement GS-7 C\Users\ABruce\AppData\localW icrosoft\windows\I NetCache\Content.0utlook\913G V1 RV\1263CDD_08_General5pecs.doc I 6 1 1 A 1 and similar modifications issued in printed form during construction, and markup variations (of substance)in actual work in comparison with text of specifications and modifications as issued. Identify substitutions, selection of options and similar information. 94 Record Product Data During progress of the work,maintain one copy of each product data submittal and markup significant variations in the actual work in comparison with submitted information. Include both variations in product as delivered to site and variations from manufacturers' instructions and recommendations for installations. Identify concealed products and portions of the work which cannot be identified after concealment. Note related change orders and markup. GS-10 SITE CLEANUP AND RESTORATION In addition to the cleaning up requirements set forth in the"General Conditions,"the CONTRACTOR at all times, shall keep the working area free of tools, materials and equipment not essential to the progress of the work. Debris, waste materials and rubbish shall be properly disposed of and not allowed to accumulate. If the CONTRACTOR should fail to do this,the OWNER will make the necessary arrangements to effect the cleanup by others and will back charge the cost to the CONTRACTOR. If such action becomes necessary on the part of and in the opinion of the OWNER,the OWNER will not be responsible for the inadvertent removal of material which the CONTRACTOR would not have disposed of had he affected the required cleanup. Where material or debris has washed or flowed into or been placed in water courses,ditches,gutters, drains,catch basins or elsewhere as a result of the CONTRACTOR'S operations,such material or debris shall be entirely removed and satisfactorily disposed of during progress of the work and the ditches, channels, drains, etc., kept in a clean and neat condition. On or before the completion of the work,the CONTRACTOR shall,unless otherwise especially directed or permitted in writing,tear down and remove or burn all temporary buildings and structures built by him;shall remove all temporary works,tools and machinery or other construction equipment furnished by him;shall remove,acceptably disinfect and cover all organic matter and material containing organic matter in, under and around privies, hoses, and other buildings used by him;shall remove all rubbish from any grounds he has occupied; and shall leave the roads and all parts of the premises and adjacent property affected by his operations, in a neat and satisfactory condition. GS-11 SURVEY REQUIREMENTS See GS-12 Below. GS-12 REFERENCE POINTS AND CONSTRUCTION STAKING CONTRACTOR will be responsible for all construction staking.The CONTRACTOR'S stakeout work shall be included in the contract unit price for the various items of work to which it is incidental. CEDAR HAMMOCK Bridge and Bulkhead Replacement GS-8 C:\Users\ABruce\AppDa:a\Local\Microsoft\Windows\I NetCache\Content.0utlook\913GV1 RV\1263CDD_08_GeneralSpecs.doc 1611A1 GS-13 USE OF EXPLOSIVES Blasting is prohibited on this project. GS-14 CONTROL OF MATERIALS The Control of Materials shall conform to F.D.O.T. Specifications, Section 6. GS-15 ADDITIONAL LEGAL REQUIREMENTS AND RESPONSIBILITY TO THE PUBLIC Additional legal requirements and responsibility to the public shall conform to F.D.O.T.Specifications, Section 7, with the following exceptions unless otherwise set forth in the Technical Specifications. Delete 7-13, 7-14, 7-16, 7-17, 7-22, and 7-23. GS-16 LIMITATION OF OPERATIONS Limitation of operations shall conform to F.D.O.T. Specifications in Section 8-4.1 through 8-4.8. GS-17 SAFETY AND HEALTH REGULATIONS The CONTRACTOR shall comply with the Department of Labor Safety & Health Regulations for construction promulgated under the Occupational Safety&Health Act of 1970(PL91-596)and under Section 107 of the Contract Work Hours& Safety Standards Act(PL91-54). All equipment furnished and installed under this contract shall comply to Part 1910,Occupational Safety & Health Standards &Amendments thereto. All trench safety measures for the protection of the CONTRACTORS employees and the public are the sole responsibility of the CONTRACTOR. GS-18 STATE AND FEDERAL PERMITS Construction in State Department of Transportation rights-of-way, construction in wetlands and navigable water bodies will be governed by applicable State and Federal permits. All conditions set forth on the permits shall be a part of the contract and they shall be attached by addendum. GS-19 INSPECTION The authorized representatives and agents of the OWNER, ENGINEER, interested utility companies, Environmental Protection Agency and Controlling State and Local Pollution Control Agencies shall be permitted to inspect all work, material, payrolls, records or personnel, invoices of materials and other relevant data records. CEDAR HAMMOCK Bridge and Bulkhead Replacement GS-9 C:\Users\A Bruce\App Data\Local\Microsoft\Windows\I NetCache\Content.0utlook\913GV1 RV\1263CDD_08_General5pecs.d oc 1 6 1 1 A 1 GS-20 ENVIRONMENTAL PROTECTION 20.1 General A. CONTRACTOR shall comply with all federal, state and local laws and regulations controlling pollution of the environment. He shall take necessary precautions to prevent pollution of streams, lakes, ponds and reservoirs with fuels, oils, bitumens, chemicals or other harmful materials and to prevent pollution of the atmosphere from particulate and gaseous matter. In the event of conflict between such laws and regulations and the requirements of the specifications, the more restrictive requirements shall apply. Environmental protection requirements specified in other sections shall be considered as supplementing the requirements of this section. B. If temporary pollution control measures are ordered by the ENGINEER and fall within the specifications for a work item that has a unit contract price, the work shall be accomplished under the respective item of work subject to the limitations as defined in the contracts general provisions. If the additional work is such that no quantities or prices were given in the Contract,the work shall be covered by a change order submitted by the CONTRACTOR and approved by the OWNER. Should the parties be unable to agree on unit prices or if this method is impractical,the ENGINEER may instruct the CONTRACTOR to proceed with the work by day labor or force account as defined in Article 11.4 of the General Conditions. C. Failure of the CONTRACTOR to fulfill any of the requirements of this section may result in the OWNER ordering the stopping of construction operations in accordance with Article 13 of the GENERAL CONDITIONS. D. In the event that temporary erosion and pollution control measures are required due to the CONTRACTOR'S negligence, carelessness or failure to install permanent controls in a timely manner, or are required due to the construction method or procedure being utilized by the contractor to perform his work,then such work to be performed by the CONTRACTOR shall be at his own expense. E Failure on the part of the CONTRACTOR to perform the necessary measures to control erosion, siltation and pollution will result in the OWNER notifying the CONTRACTOR to take such measures. In the event that the CONTRACTOR fails to perform such measures within 4 hours after receipt of such notice,the OWNER may stop the work as provided above or may proceed to have such measures performed by others. The cost of such work performed by others plus related ENGINEER fees will be deducted from monies due the CONTRACTOR on his Contract. F. All erosion and pollution control features installed by the CONTRACTOR shall be acceptably maintained by the CONTRACTOR during the time that construction work is being done. G. CONTRACTOR shall repair or replace damaged or inoperative erosion and pollution control devices as directed by the ENGINEER,the OWNER'S Representative or Governmental Agencies. CEDAR HAMMOCK Bridge and Bulkhead Replacement GS-10 C:\Users\ABruce\AppData\Local\Microsoft\Windows\INetCache\Content.Outlook\913GV1 RV\1263000_OB_GeneralSpecs.doc 1611A1 20.2 Open Burning of Combustible Wastes Open burning of combustible waste materials or vegetation shall be permitted on the OWNERS property. All waste materials shall be burned or removed from the OWNERS property and disposed of in a legal manner. Subject to approval by all environmental agencies and/or fire departments that may have jurisdiction over such activities. 20.3 Permanent and Temporary Water Pollution Control (Soil Erosion) A. Construction procedures shall include temporary pollution control measures to ensure that soil erosion which might cause water pollution is kept to a minimum. Such measures may consist of construction of berms,dikes,dams,drains and sediment basins or use of fiber mats,woven plastic filler cloths, gravel, mulches, quick growing grasses, sod, bituminous spray and other erosion control devices or methods. All temporary erosion control measures,unless specifically included as a line item in the bid form shall be considered incidental to the construction and will be performed at the CONTRACTOR'S expense. B. The CONTRACTOR shall not be permitted frequent fording of live streams with construction equipment; therefore, temporary bridges or other structures shall be used wherever such crossing adversely affect sediment levels and an appreciable number of stream crossings are necessary. C. The CONTRACTOR shall promptly clear all waterways and drainage patterns of false work, piling, debris or other obstructions placed during construction work and not a part of the finished work. D. The CONTRACTOR shall remove and dispose of silt accumulations as directed by the ENGINEER or the OWNER'S Representative. GS-21 WORK IN THE PUBLIC RIGHT-OF-WAY All miscellaneous work in the public right-of-way including sign relocations, utility preservation, maintenance of traffic or other requirements of the construction permits or ENGINEER,is considered incidental to the work being done with compensation included in the unit prices of the work items located in the public right-of-way unless a line item is specifically provided for the work in the "Bid Form". GS-22 UTILITIES CONSTRUCTION As indicated in the Technical Specifications,some utility systems may be constructed for the ultimate use, ownership and maintenance of a local utility franchise,company or municipality. In that case it is the CONTRACTORS responsibility to construct the utility system in accordance with the local utilities CEDAR HAMMOCK Bridge and Bulkhead Replacement GS-11 C:\Users\ABruce\AppData\Local\Microsoft\Windows\INetCache\Content.Outlook\9J3GT RVV263CDD_OB_GeneralSpecs doc 1611A1 specifications, requirements, and inspections and testing procedures to the satisfaction of the utility. The applicable utility's standard specifications are included in the Technical Specifications. The CONTRACTOR is also responsible for the final acceptance of the utility system by the local utility including satisfactory completion of the work,meeting final inspection requirements and preparing and providing all required lien releases,warranties,material certifications,shop drawings,record drawings and other required project documentation. CEDAR HAMMOCK Bridge and Bulkhead Replacement GS-12 C:\Users\ABruce\AppData\Local\Microsoft\windows\INetCache\Content.Outlook\9J3GV1RV\1263CDD 08_GeneralSpecs.doc 1 6 1 1 A 1 EXHIBIT "D" CEDAR HAMMOCK CDD CONTRACTOR'S APPLICATION FOR PAYMENT Project: Number:.Payment Request: for Period:_ to 1 Original Contract Amount $ - 2 Approved Change Orders $ - 3 Current Contract Amount $ - 4 Value of Work Completed to Date(+/- ) $ - 5 Less Amount Retained ( %) $ - 6 Net Amount Earned to Date $ - 7 Less Amount of Previous Payments $ - 8 Out of Pocket Expenses (If applicable) $ - BALANCE DUE THIS PAYMENT $ - CERTIFICATION OF CONTRACTOR According to the best of my knowledge and belief, I certify that all items and amounts shown on the face of this Request for Payment are correct; that all work has been performed and material supplied in full accordance with the terms and conditions of the Contract. If further certify that payments have been made to all subcontractors and all material and labor used in or in connection with the performance of this Contract. I also certify I have complied with Federal, State and local tax laws, including Social Security Laws and Unemployment Compensation Laws and Worker's Compensation Laws and Mechanics Lien Laws insofar as applicable to the performance of the Contract. Contractor: Date: By:_ Title:_(Authorized Representative) Subscribed and Sworn before me this day of 20 NOTARY PUBLIC SIGNATURE: STATE OF COUNTY OF My Commission Expires: Approved for Payment: Date: CEDAR HAMMOCK CDD 1 6 1 1 A 1 Exhibit E INSURANCE REQUIREMENTS—High Risk Level Subcontractor shall procure and maintain,at its sole cost and expense,the following insurance coverages: 1. Workers'Compensation: Coverage A. Statutory Benefits Coverage B. Employers'Liability limits of not less than: Bodily Injury by accident $1,000,000 each accident Bodily Injury by disease $1,000,000 policy limit Bodily Injury by disease $1,000,000 each employee 2. Commercial Auto Coverage: Automobile Liability coverage(equivalent in coverage to ISO form CA 00 01)of not less than$1,000,000 combined single limit,each accident,covering all owned,hired and non-owned autos. If Subcontractor does not have any company owned vehicles,a copy of the declaration page from the personal auto liability policy of the principal(s)of the company entering into this agreement will be acceptable.Hired and non-owned auto coverage for the Subcontractor must be evidenced through a general liability policy or auto policy. 3. Commercial General Liability: Commercial General Liability coverage(equivalent in coverage to ISO form CG 00 01)of not less than: Each Occurrence Limit $1,000,000 Personal Advertising Injury Limit $1,000,000 Products/Completed Operations Aggregate Limit $2,000,000 General Aggregate Limit $2,000,000 (other than Products/Completed Operations) The policy must include: a) Premises and Operations coverage with no explosions,collapse,or underground damage exclusion (XCU). b) Products and Completed Operations coverage.Subcontractor agrees to maintain this coverage for a minimum of ten(10)years following completion of its work. c) Standard ISO CG0001 0196 Contractual Liability coverage,or its equivalent,and a Separation of Insureds clause. d) Broad Form Property Damage coverage,including completed operations,or its equivalent. e) The work "performed on your behalf by a subcontractor" exception to the "Damage to Your Work" exclusion(Exclusion"1"in Section 1 of the ISO form CG 00 01 10 01 and earlier versions.)No limitation or restriction of this exception is allowed. f) An Additional Insured Endorsement(equivalent to ISO form CG 20 10 11 85)naming as additional insured: "Cedar Hammock CDD c/o lnframark Infrastructure Management Services,including its subsidiaries, partners,partnerships,affiliated companies,successors and assigns." g) If the Work to be performed is on an attached community,there shall be no exclusion for attached or condominium projects. h) There shall be no exclusions for continuing or progressive losses not known by Subcontractor to exist prior to policy inception. I) Coverage must be on an"occurrence"form."Claims Made"and"Modified Occurrence"forms are not acceptable. j) Such coverage as is afforded by this policy for the benefit of the additional insured(s)is primary and any other coverage maintained by such additional insured(s) shall be non-contributing with the coverage provided under this policy k) There shall be no"pollution"exclusions,residential exclusions,nor any of theirequivalents. I) The CGL policy may not be subject to a self-insured retention(SIR)or deductible that exceeds$10,000. 15V1 Insurance Req-High 1-12.Ex E.doc Contractor Initial Subcontractor Initial 1611A1 Any and all SIRs must be susceptible of being satisfied under the CGL policy through payments made by additional insureds,co-insurers,and/or insureds other than the First Named Insured. 4. Property Insurance: Subcontractor shall maintain"Special Form"property insurance(commonly referred to as"all risk"or"special perils" coverage) in an amount equal to the full replacement cost of all Subcontractor's real and personal property(for which it has title and/or risk of loss),as well as real and personal property which becomes a final part of the Project,during its off-Project status,in transit and while stored or worked upon away from,or on,the Project site.All policy proceeds shall be used for the repair or replacement of the property damaged or destroyed. Property Waiver of Subrogation:Subcontractor hereby waives all rights of recovery against Cedar Hammock CDD do Inframark Infrastructure Management Services,including its subsidiaries,partners,partnerships, affiliated companies,successors and assigns,with respect to any loss or damage,including consequential loss or damage,to the Subcontractor's property caused or occasioned by any peril or perils covered under any policy or policies of property insurance carried by the Subcontractor.Subcontractor shall cause its insurance carriers to consent to such waiver of subrogation. 5. Other Requirements: a) All policies must afford an unqualified thirty(30)days notice of cancellation to the additional insured(s)in the event of cancellation or non-renewal, and ten (10)days notice of cancellation for non-payment of premium. b) All policies must be written by insurance companies whose rating in the most recent Best's Rating Guide, is not less than A(-): VII. Pursuant to Section 627.442 Florida Statues, the insurance company rating requirement does not apply to a self-insurance fund that is subject to part V of Chapter 631.This exception is only applicable to self-insurance funds providing Workers' Compensation coverage in the State of Florida. Contractor reserves the right to accept coverages provided via a state fund.All coverage forms must be acceptable to Contractor. Subcontractor agrees to provide a full certified copy of any policy maintained by Subcontractor to Contractor upon Contractor's requesttherefor. c) Certificates of Insurance with the required endorsements evidencing the required coverages must be delivered to the Contractor prior to commencement of any work under this Subcontract.Such certificates of insurance shall state "All Operations" of Subcontractor performed on behalf of Contractor shall be covered by such insurance.A 30-day notice of cancellation must be issued per the terms/provisions under the Subcontractor's policy(ies). d) If the Subcontractor fails to secure and maintain the required insurance, Contractor shall have the right (without any obligation to do so, however) to secure same in the name and for the account of Subcontractor in which event the Subcontractor shall pay the costs thereof and furnish upon demand all information that may be required in connection therewith. e) Contractor reserves the right,but shall have no obligation,to procure the insurance,or any portion thereof, for which Subcontractor is herein responsible and which is described in this section.Contractor shall notify Subcontractor if Contractor exercises its right, whereupon Subcontractor's responsibility to carry such insurance shall cease and all the premiums and other charges associated with such insurance shall be refunded to the Contractor.Contractor further reserves the right at any time,with thirty(30)days written notice to Subcontractor,to require that Subcontractor resume the procurement and maintenance of any insurance for which Contractor has elected to procure pursuant to this subsection; in such event, the sums paid to Subcontractor by Contractor shall increase to the extent of any previously agreed and implemented reduction (as noted above) attributable to Contractor's prior assumption of the particular insurance coverages. Such refund shall be equitably pro-rated based upon Subcontractor's completed work at the time of such adjustment. t) Contractor reserves the right, in its sole discretion, to require higher limits of liability coverage if, in • Contractor's opinion,operations by or on behalf of Subcontractor create higher than normal hazards,and, to require Subcontractor to name additional parties in interest to be Additional Insureds,and included in any required Waiver of Subrogation, Notice of Cancellation,or otherendorsement. g) In the event that rental of equipment is undertaken to complete and/or perform the work, Subcontractor agrees that ii shall be solely responsible for such rental equipment.Such responsibility shall include,but not be limited to,theft,fire,vandalism and use,including use by unauthorized persons. h) Nothing in this Exhibit shall reduce Subcontractor's obligations under this Contract. Subcontractor's procurement and/or maintenance of insurance shall not be construed as a limitation of liability or as full performance of the indemnification and hold harmless provisions of this Agreement. i) In the event that materials or any other type of personal property("personal property")is acquired for the Project or delivered to the Project site,Subcontractor agrees that it shall be solely responsible for such property until it becomes a fixture on the Project,or otherwise is installed and incorporated as a final part of the Project. Such responsibility shall include, but not be limited to, theft, fire, vandalism, and use, including use by unauthorized persons. 15V1 Insurance Req-High 1-12.Ex E.doc Contractor Initial Subcontractor Initial 1611A1 6. Changes and Modifications: Any modification or waiver of the insurance requirements to this Agreement,or in any addendum hereto, may only be made with the prior written consent of Contractor. 7. Notices: All Certificates of Insurance and required endorsements must be addressed and forwarded to: Cedar Hammock CDD do Inframark Infrastructure Management Services 5911 County Lakes Drive Fort Myers,FL 33905 Phone:(239)245-7118 15V1 Insurance Req-High 1-12.Ex E.doc Contractor Initial Subcontractor Initial 1 6 1 1 A 1 EXHIBIT "F" CEDAR HAMMOCK CDD WAIVER & RELEASE OF LIEN UPON FINAL PAYMENT The undersigned lienor, in consideration of the final payment in the amount of$ hereby waives and releases its lien and right to claim a lien for labor, services, or materials furnished to CEDAR HAMMOCK CDD on the job of CEDAR HAMMOCK CDD to the following property: Project: Contract#: Pay Request#: Invoice#: Contract Amount: Reimbursement Amount: Lienor hereby warrants and represents that there are no liens or claims by third parties, including, but not limited to, laborers, suppliers and subcontractors, that could be asserted against the property due to lienor's improvements to the property through the date specified. Lienor further warrants and represents that no chattel mortgage, conditional bill of sale, or retention of title has been given or executed by lienor or in connection with any material, appliances, machinery, fixtures or furnishings placed upon or installed in the property by lienor. Signed, sealed and delivered this day of , 20 . Signature: Title: The foregoing instrument was acknowledged before me this day of , 20 , by as of who is personally known to me, or has produced as identification, and who acknowledged executing the same for and on behalf of said corporation. He did/did not take an oath. NOTARY PUBLIC SIGNATURE: NOTARY'S PRINTED NAME: (My Commission Expires) C:\Users\ABruce\AppData\Local\Microsoft\Windows\INetCache\Content.Outlook\9]3GV1RV\1263CDD_11_Exhibit F.docx 1611A1 EXHIBIT "F" CEDAR HAMMOCK CDD WAIVER & RELEASE OF LIEN UPON PROGRESS PAYMENT The undersigned lienor, _ in consideration of the sum of $ hereby waives and releases its lien and right to claim a lien for labor, services, or materials furnished through to CEDAR HAMMOCK CDD upon progress payment on the job of CEDAR HAMMOCK CDD of the following property: Project: Contract #: Pay Request#: Invoice #: Contract Amount: Reimbursement Amount: This waiver and release does not cover any retention or labor, services, or materials furnished after the date specified. Lienor hereby warrants and represents that there are no liens or claims by third parties, including, but not limited to, laborers, suppliers and subcontractors, that could be asserted against the property due to lienor's improvements to the property through the date specified. Lienor further warrants and represents that no chattel mortgage, conditional bill of sale, or retention of title has been given or executed by lienor or in connection with any material, appliances, machinery, fixtures or furnishings placed upon or installed in the property by lienor. Signed, sealed and delivered this day of , 20 Signature: Title: The foregoing instrument was acknowledged before me this day of 20 , by as of who is personally known to me, or has produced as identification,and who acknowledged executing the same for and on behalf of said corporation. He did/did not take an oath. NOTARY PUBLIC SIGNATURE: NOTARY'S PRINTED NAME: C:\Users\ABruce\AppData\Local\Microsoft\Windows\INetCache\Content.Outlook\9J3GV1RV\1263CDD_11_Exhibit F.docx 1 6 1 1 A 1 EXHIBIT "G" CEDAR HAMMOCK CDD CONTRACT CHANGE ORDER NO. Project: Contract For: Contractor: Conditions: The changes described herein shall be governed by the terms and conditions of the Contract and shall not in any way alter the terms of the Contract but shall hereafter be a part of the Contract. AMOUNT ITEM NO. DESCRIPTION: QUANITY UNIT UNIT PRICE (+) (-) Contract Time Prior to this Net Increase/Decrease Change Order from this Change Order (+) $ - Net Increase/Decrease Contract Total Prior to from this Change Order Change Order $ - Current Contract Time Current Contract Total Including this Change Including Change Order $ - REASON FOR CHANGE: ACCEPTABLE TO: Date: Contractor's Representative APPROVED BY: Date: CEDAR HAMMOCK CDD S:\3obs\12xx\1263CDD\Contract Documents\Exhibit G.docx 1 6 1 1 A 1 4 FORGE . . .. ., INNOVATIVE ENGINEERING SOLUTIONS Report of Geotechnical Exploration PROPOSED BULKHEAD WALL REPLACEMENT PROJECT Cedar Hammock Community Development District Naples, Collier County, Florida 34112 Forge Engineering Project Number 2893-003.01 October 30, 2018 /-,-4,„,. • 4 -:-...4.5.-,,,‘ ......-e.,.,- t. .�• --; 1 s+� ; "moi , : v' ,t ... ti fy.,J i !. fr t' • ' f s if,hs a " Y► . •H a,, , s : tt rp, & 1, . .<< II ilit 1611A1 Table of Contents ii Table of Contents ii List of Tables 1 Purpose 2 Project Information 2 Site Conditions 2 Subsurface Conditions 4 Laboratory Testing 4 Evaluation and Recommendations 5 Bulkhead Walls 5 Bridge Abutments 7 Bridge Timber Piles Additional Services 7 7 Closing List of Tables 3 Table 1: Generalized Subsurface Profile Table 2: Laboratory Test Results Summary Table. 4 4 Table 3: Soil Parameters Summary Table. 1611A1 FORGE INNOVATIVE ENGINEERING SOLUTIONS October 30, 2018 CEDAR HAMMOCK CDD 8660 Cedar Hammock Boulevard Naples, FL 34112 Phone: 239.354.1175 C/O: Inframark Mr. Justin Faircloth—District Manager 5911 Country Lakes Drive Fort Myers, FL 33905 Phone: 239.245.7118 ext. 306 Cell: 239.785.0675 Email: Justin.Faircloth@inframark.com Subject: Report of Geotechnical Exploration PROPOSED BULKHEAD WALL REPLACEMENT PROJECT Cedar Hammock Community Development District Naples, Collier County, Florida 34112 Forge Engineering Project No. 2893-003.01 Forge Engineering Inc. (FORGE)is pleased to present this report of geotechnical exploration for the proposed project. We have completed in general the services outlined in our re-revised proposal number 2893-003.01 PRR dated August 6, 2018 and authorized by Mr. Justin Faircloth the following day. This report presents the project information provided to us, the findings of our exploration,together with our geotechnical evaluation and recommendations. Purpose The purpose of this geotechnical study was to explore the general soil conditions at the subject site for the Proposed Bulkhead Wall Replacement Project and to provide geotechnical recommendations for retaining wall design. Environmental assessments or other studies were beyond the scope of our services. PO Box 113040-Naples, Fl. 34108 239.514.4100-Fax 239.514.4161 www.ForgeEng.com Page 1 of 8 1611A1 Proposed Bulkhead Wall Replacement Project-Cedar Hammock Development October 30,2018 This report has been prepared for Cedar Hammock CDD, and their consultants for specific application to the Proposed Bulkhead Wall Replacement Project at the subject site. FORGE has endeavored to comply with the generally accepted geotechnical engineering practice common to the local area. FORGE makes no other warrants, express, or implied. Project Information Our understanding of your needs for this project is based on information provided by Mr. Justin Faircloth, our experience in the area, and our experience with similar projects. FORGE understands that this project will consist of replacing both the existing wood bulkhead walls and the wood bridges within the Cedar Hammock CDD. Mr. Carl A. Hazenberg, P.E., of Ingenium, Inc., has requested several specific design parameters that are included later in this report. During the field exploration portion of our services, we utilized our small boat to complete some shallow soil sampling on the water side of the existing retaining walls. Due to the encountered material being gravely in nature, sampling of the material on the water side of the wall was insignificant. Furthermore, Banks Engineering, the project surveying firm, provided FORGE with the project's existing surveying data. The elevations of the borings were interpolated and included as approximate boring elevations and stationing locations within our report. However due to no survey data near some of the borings (B-5 through B-9 and B-16) elevations, station number location, and offset distances could not be provided for this report. Additionally, some borings do not include the elevation information. Site Conditions The site is located west of Collier Boulevard (County Road 951), and south of Davis Boulevard located within the Cedar Hammock Development in Naples, Collier County, Florida. At the time of our exploration the site was occupied by an existing residential community that included a golf course, a large club house, several lakes, both single family homes and condominiums, several flexible asphaltic concrete pavement roadways, and various utilities to support the development. The borings were completed in several different areas across the existing golf course portion of the property, where the existing bulkhead wall and bridge structures are present. The properties to the south and east of the subject site were also occupied by golf course communities which included Naples Heritage and Forest Glen, respectively. The property to the north is occupied by a commercial area. The Site Location Map and the Site Vicinity Aerial Photograph provided in the Appendix of this report present the site relative to its surroundings. PO Box 113040 -Naples, FL 34108-239.514,4100-Fax 239 514.4/61 www.ForgeEng.com Page 2 of 8 1611A1 /,/:) (it: October 30,2018 Proposed Bulkhead Wall Replacement Project-Cedar Hammock Development Subsurface Conditions The subsurface conditions at the site were explored with a total of 17 SPT borings drilled to depths ranging from 20-to 35-feet below existing grade. The number, depth, and spacing of the borings were recommended by Mr. Carl A. Hazenberg, P.E. The borings were located in the field by FORGE personnel by referencing features on an aerial photograph boring location plan with features found at the site. Some of the boring locations were adjusted in the field, based on the presence of the existing golf course utilities and slopes. An engineer from FORGE classified soil samples taken from the borings. The boring logs summarizing our findings are presented in the Appendix of this report. Below, we present a generalized profile of the subsurface conditions encountered. Table 1:Generalized Subsurface Profile. GENERALIZED SUBSURFACE PROFILE DEPTH (FT) SOIL DESCRIPTION USC(1) ' FROM TO Sp 0 8(2) Very Loose to Medium Dense SAND to Silty SAND SSM 8 13(3) Hard LIMESTONE (Cap Rock) N/A 13 35 Very Soft to Soft LIMESTONE (Severely Weathered Limestone) N/A (1) Unified Soil Classification (2) Hard LIMESTONE stratum was encountered in some of the borings as shallow as 6-ft. below existing grade. (3) Hard LIMESTONE stratum extended to 22-feet below existing grade at some of the boring locations. --- —– – The groundwater level was encountered at approximate depths ranging from 3.0-to 6.0-feet below the existing grade at the time of drilling (Approximately Elev. +7.0-to +9.0-feet NAVD '88). We anticipate the groundwater level will fluctuate due to seasonal rainfall variations, surface water runoff patterns, water levels in the adjacent lakes and canal, construction operations, and other interrelated factors. The designers should anticipate that the seasonal high ground water level will rise to about 3-feet below the existing ground surface (approximately elev. +11.0-feet NAVD '88). FORGE representatives also attempted to complete a series of shallow soil sampling within the lake on the property on August 23, 2018. The shallow sampling consisted of driving a 2-inch outer diameter metal sampler into the pond bottom with a drop weight. During the water boring sampling, gravel material greater than the 2-inches in diameter was encountered, thus samples PO Box 113040- Naples, FL 34108-239.514.4100--Fax 239.514 4161 www.ForgeEng.com Page 3 of 8 1 6 1 1 A 1 r r ?t f1 01 ,.,;,; October 30, 2018 Proposed Bulkhead Wall Replacement Project-Cedar Hammock Development could not be obtained with the hand sampling method. Several attempts were made to sample the lake bottom, however the sampler could only be advanced 18-inches before encountering refusal, both Mr. Justin Faircloth and Mr. Carl A. Hazenberg were notified. Once some preliminary information was presented to Mr. Carl A. Hazenberg, it was agreed upon that the water borings were not producing supplemental information for the replacement wall design, so no additional water borings were attempted. Laboratory Testing To aid in identification and classification of the soils encountered, laboratory testing was conducted on representative soil samples retained from the borings. Specifically, in house testing consisted of visual classification, grain size analyses, -200 sieve washes, and moisture content. Outside laboratory testing services, consisting of three direct shear test of soils under consolidated drained conditions, (in general accordance with ASTM D3080 / D3080M — 11) are still in progress at the time of this report. The results of our laboratory testing are tabulated below and grain size curves and are included in the Appendix. Table 2:Laboratory Test Results Summary Table. TEST PERFORMED Sample* Moisture Content(%) Fine Content(%) B-1, 2'-4' 17 5 B-3, 4'-6' 20 6 B-6, 8'— 10' I 23 18 B-8,4' -6' 12 10 B-10, 6'—8' 26 _ 13 B-13, 4'—6' 10 7 B-15,4'-6' 19 3 I B-17, 6'-8' 21 9 *Boring number and sample depth The laboratory testing confirmed that the soil strata encountered in our borings ranged from SAND to Silty SAND. The soils obtained are generally classified as SAND material that is non- plastic in nature so Atterberg Limits testing was not conducted. Evaluation and Recommendations Our evaluation and recommendations are based on the project information provided to us, the findings of our field exploration program, and our experience in the area. The subsurface conditions will vary across the site. Should new information become available during design or the conditions encountered during construction be substantially different from the information presented in this report, please contact us so we may evaluate the new information. PO Box 113040-Naples, FL 34108-239 514 4180-Fax 239.514.4161 www.ForgeEng.com Page 4 of 8 1611A 1 i ( :1:;r,,E E civ,,( ;, h„ ,1iur, ,:a ( c>; J;. 28%3-HO: L;'r Proposed Bulkhead Wall Replacement Project-Cedar Hammock Development October 30,2018 Bulkhead Walls Earth retaining walls should be designed to resist pressures exerted by the adjacent soils. Recommended soil parameters for the near-surface granular soils encountered are presented below in Table 3: Table 3:Soil Parameters Summary Table. SOIL DESIGN PARAMETERS StratumActive Saturated Buoyant Earth Passive Soil Number Total Unit Friction Soil Unit Soil Unit Pressure Wt. I Angle Wt. Weight PressureCoefficientCoefficient (pcfl (41 (pcf) (pcf) Coefficientka 1 105 32 120 58 0.31 3.25 2 120 30 130 68 0.33 3.00 3 125 34 135 73 0.28 3.54 4 135 38(1) 160 98 0.24 4.20 5 120 30 130 58 0.33 3.00 ------------- 1.) Provided friction angle is based on the LIMESTONE strata being pre-drilled and material being crushed into a gravel matrix. The above recommended pressures assume that adequate drainage is provided behind the walls to prevent the build up of excess hydrostatic pressures. This can be achieved by installing drains, using geotextiles or backfilling with free draining sand in association with adequate weep holes. , Wall damage due to excessive compaction may be avoided by utilizing hand operated mechanical tampers to compact the granular materials; heavy compaction equipment should not be allowed within 10 feet of the walls. The compaction behind these walls should be in the range of 93-to 96 percent of the Modified Proctor maximum dry density (ASTM D-1557). Bridge Abutments It is our opinion that a conventional shallow foundation system may be used to support the proposed abutment foundation. We estimate maximum settlement of less than 3/4-inch and differential settlement less than 1/2-inch will occur between the abutment structure and the pile supported bridge structure due to maximum wall loads of 2-kips per lineal foot, using a maximum allowable soil bearing pressure of 3.0-ksf (kips per square foot) to design the foundations. PO Box 113040 -Naples, FL 34108 -239.514.4100--Fax 239.514.4161 www.ForgeEng.com Page 5 of 8 4 1611A1 Ido. 2F ? (j'H.(,1 Proposed Bulkhead Wall Replacement Project-Cedar Hammock Development October 30,2018 Due to the primarily granular nature of the subsurface soils, the majority of the settlement should be complete soon after the footing is cast and fill is placed to construct the abutment. The settlement estimate assumes up to four foot of fill may be placed onto the foundation and that the foundation soils are compacted to the minimum required density stated below using conventional compaction equipment. Foundation Design Recommendations The following list summarizes our foundation recommendations for this project. • All shallow foundations for the structure should be designed using a maximum allowable bearing pressure of 3.0 ksf. This bearing capacity assumes the foundations are bearing on compacted natural sands, or compacted clean structural fill. • The minimum foundation width should be 16-inches for continuous foundations, 12- inches at the base of turned down slabs, and 24-inches for individual column footings. • The footing bottoms should bear at least 16 inches below finished grade. The bottom of turned-down slabs should bear at least 12-inches below finished grade. • The foundations shall be designed in manor to protect them from being undermined. Site Preparation Recommendations We recommend the foundation and earthwork specifications include site preparation sections similar to those presented below: 1. Remove all surface vegetation and any other deleterious material for a distance of at least 10-feet beyond the perimeter of the new construction. 2. The existing ground surface, shall be compacted until a density of at least 95 percent of the modified Proctor(ASTM D-1557) maximum dry density is uniformly obtained. 3. Due the foundation's proximity to the existing lake, a sump pump may be required to allow optimal moisture content to be obtained. 4. The bottom of the footings shall be compacted until at least 95 percent of the modified Proctor (ASTM D-1557) maximum dry density is uniformly obtained. The test frequency shall be at least one test for each footing excavation with a minimum test frequency of four tests per lift. 5. Soil backfill shall be sand with a Unified Soil Classification of SP or SP-SM containing no organics. PO Box 113040—Naples, FL 34108—239 514.4100—Fax 239 514.4161 www.ForgeEng.com Page 6 of 8 1 6 1 1 A 1 <.l Ii>ti: �,�, rr; 2s 00.'5 Proposed Bulkhead Wall Replacement Project-Cedar Hammock Development October 30, 2018 6. All soil backfill shall be placed in appropriate lift heights based on the compaction equipment used (e.g. 4- to 6-inches loose lift for a walk behind roller and 3- to 4- inches for a plate compactor). Each lift shall be compacted until a density of at least 95 percent of the modified Proctor(ASTM D-1557) maximum dry density is uniformly obtained. Moisture content during compaction should be maintained within -2 and +2%of optimum. 7. Field density tests shall be made after compaction of all backfill or fill to verify the specified degree of compaction is obtained. The test frequency shall be a minimum of four per lift. Bridge Timber Piles It is our opinion that soils encountered in the borings are suitable to support timber piles with allowable compressive capacities of at least 10-kips within the top 20 feet of soils. This assumes that the piles have a minimum butt dimension of 12—inches and have a minimum tip diameter to 10-inches. We also assume that piles will be driven with a conventional pile hammer. Different lengths may be required for piles that are predrilled or jetted. In addition piles installed within the water way will have similar required embedment depths but overall length will be greater to achieve pile cutoff height. We understand that the Association is obtaining proposals for a consultant to design the replacement bridges. FORGE recommends that the pile contractor consider using metal driving tips for the piles. Based on our limited water sampling, shallow gravely material is present. The existing material is likely to contain sporadic boulders with sharp edges that could split driven piles. Additionally, it is believed that the hard LIMESTONE in the middle of the bridge crossings alignment were likely removed during the excavation of the lake, however there may still be some hard rock present near the embankments. Due to this, some of the piles may require pre-drilling of the hard LIMESTONE stratum to achieve sufficient embedment. Additional Services FORGE should be engaged to review the project foundation plans and earthwork specifications. We would then suggest changes in the specifications so our recommendations are properly interpreted and implemented. FORGE should also be engaged to monitor the foundation installation program, complete the construction materials testing on this project, and visit the project during construction and mass grading to observe the site conditions encountered and the construction techniques used. Our observations would then be compared with the parameters used in our evaluation. PO Box 113040_.Naples. FL 34108—239 514 4100—Fax 239.514.4161 www.ForgeEng.com Page 7 of 8 16I1A1 ( ,-Hi(1" c.��rr.!u;� .a � ::;J: Proposed Bulkhead Wall Replacement Project-Cedar Hammock Development October 30, 2018 Closing We appreciate working with you as your geotechnical consultant and look forward to working with you on the remainder of this project. Please contact us when we may be of further assistance, or if you have any questions regarding this report. Sincerely, %% 14. Forge Engineering, Inc. ``0n,p...UNO''i, Certlflcate of Authorization No.7544 `` x,P•• G E N 5 ,��,'' Q: No 42644 6 ▪ 1▪ 3 STATE OF .�� 41/ Robert J. McGinnis, E.I. I'`SrONA�r "O‘ PrincipP.al Eng Engineer P.E. Project Engineer Florida Registration No.42644 Distribution: 1 —Addressee(via e-mail), 1 - Mr. Justin Faircloth (Inframark-via email), 1 —Mr. Carl A. Hazenberg, P.E. (Ingenium, Inc. -via email), 1 - File Appendix: Figure 1: Site Location Map Figure 2: Site Vicinity Aerial &Soil Boring Location Plan Boring Location Summary Table Report of Soil Borings (Sheets 1 through 4) Boring Logs Key to Boring Logs Classification Laboratory Tests-Grain Size Curve Laboratory Tests—Direct Shear Test Results PO Box 113040—Naples, FL.34108 -239-514.4100- Fax 239 514.4161 www.ForgeEng.corn Page 8 of 8 1611A1 APPENDIX 1611A1 Figure 1 : Site Location Map Howl 1::300 9 Voleye'1d t1 I',1,,,refp 4et 4arev On,cf, I I K•:}Girt at a "' "carafe=r1+' 7 SUBJECT SITE •oorotk I.Fa (Approximate location) H ;irk: .,-1,anirtp ;; 1:ien 1j ly hbi�?1M•a t,t,-1, .dr Image from Google Maps. PROPOSED BULKHEAD WALL REPLACEMENT PROJECT Cedar Hammock Community Development District FORGE Naples, Collier County, Florida 34112 FORGE Project Number 2893-003.01 z INNOVATIVE ENGINEERING SOLUTIONS October 2018 1 6 1 1 A i ikr-... 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D C9 u_. 1 6 1 1 A 1 at FORGE .... , = , , , n INNOVATIVE ENGINEERING SOLUTIONS BORING LOCATION SUMMARY TABLE CEDAR HAMMOCK BULKHEAD WALL REPLACEMENT FORGE Project No. 2893-003.01 Approximate Distance Approximate Approximate Offset from Station Boring Number Elevation Station Number* (ft. NAVD '88) (ft) ) B-1 SL-15/ SL-16 +14.5 7 B-2 SL-21 / SL-22 +13.5 7 B-3 S-1 /SL-2 +13.8 10 B-4 SL-9/ SL-10 +13.5 15 B-5 - B-6 - -- _ B-7 - B-8 - - - - B-9 - - B-10 SL-561 SL-57 +14.0 5 B-11 SL-67/AL-68 +13.5 12 B-12 SL-74 +13.0 10 B-13 SL-44 /SL-45 +13.5 5 B-14 SL-23 / SL-24 +13.0 _ 5 B-15 SL-6 /SL-7 +13.0 5 B-16 - - - B-17 SL-20/ SL-21 +12.8 5 Note: Station information was previously assigned by Banks Engineering in the provided survey data. Offset distance is the approximate distance away from the existing bulkhead wall. See plan for boring locations. Page 1 of 1 PO Box 113040 Naples; FL 34108—239 514 4100_.Fax 239.514.4161 www.ForgeEng.com 1611A1 ,. . 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C ro a o a o d z o a n V s + + IllO 0 Ca O Water Content, y (O Fines Content,% g =• Z a o a3 Organic Content, s7 (o Liquid Limit,% m c g Plasticity Index,% CD N wi :p N ,'o c w Time Rate of Drilling O v o o 0 0 (minutes'seconds) 0 0 0 0 0 03 1 6 I 1 A 1 zcl, -n CD— II^�^ m m o O r- �l.i x , _n E $ N ccom On m m I 3 C m 0m cc cc c o CI a > ek) r r r D D O Z Z Z -0 rn m rn o 0 00) v CD CI) � 0 o (D 0 0 0 K D rn rn rn a) CD n Y 8 n o d 0 C7 c0) 7. IN O 7 v m m a k if a R- Q v cr cr (7 ''r f o N 1 gym < 3 5. < m (22° � 2. 3 m �n d 3 ce 3 N a E a m y FL • m e n m o : O sl m m o °t . a C 0 rn al o Z a 2 3 = 3 0 H m Q' O m < Z fD r –i Z O 3 Groundwater 3 z 07 C n) 3 ? 0 m Unified y -a K N n MSHTO 00 CD (0 p• p) O rk Ik k ak M k yM?YMMkMrk M Mk ORi 'Ik kk ik� k 9k k •• yy Symbol * Mr Mk 41. • *40 lk Mk N 4 0 * *4k M k Ilr 9 tie Mie MR 0 +M Mk • •. es O = O 9 a, a a d w m iv a m o co z 3 o 0 0 0 0 0 o a 0 r 7c G 0 5 2 C e e e Y5 Q e e 0 $O CD C r g e 0) ew m 0 Q o a 0 u, 0 O w — Weter Content,% C) O a, CD 7d a O Z g Fines Content,% a c o a 3� Organic Content,% ? 6 ' 71 Liquid Limit, N f,0 Plasticity Index, NW al it er. Time Rate of Drilling O Oo 0 0 0 (minutes:seconds) 0 0 0 Oa _ 1611A1 � 5 411 O IIo lo la I6 s O . z an mm N (p zN N wp iCO is Mm a N o %.oN 9 N , r r cil D D O 3 Z Z I) rn m rn 0 a Co ;, m. 0N 0 O O CD p Z r z z z � � d rn (Q N m m T z 0 ly a Va 0 CD C7 o v 0 V A tri a aQ a n A" 0 f F o � o N --I o S3 8id ON too FilN m o d91 3co x p- a a m a gi m C o o E m 5 ,T, O N j tD ^ m O CT O. k CZ nn v00 w Groundwater 3 Z N tS N (D 3 3 v Unified N C7 MSHTO OJ at CO Q. CO co !k M«Mk am Mk .0,. Mk Mk,. Mk MY Mk Mk Mk Mk U!.Mlt..M.Mk : : ''' 3 Symbol -� _ _ o.. _._ _ .. .. .. .. •. _. . .. S mbol Mk.Mk*Mk Mk Nr Mr Mk Mk MM Mk Mk Mk M Mk Mk.Mk 0,.QR Mk Mk lir.111, Mk Mk Mk.It Mk •. •• s• .. O 2 NN O J CO CO O p N r,0 w , co Z 3 o g v ., r `V' S 7 O CO a r s a, o Z c z i Q N a G N G a Cy O A Q G tl av 5 y 0 Y aY a a U a 0 D CAco g Water Content, CD 5 m D (faFines Content,% S �• z • c � 0'Z Organic Content,% tT m CD a • Liquid Limit,% g t co Plasticity Index,% N A co cb N A N A rn a Time Rate of Drilling Oo 0 0 0 0 $( minutes'seconds) i CO 1 6 I 1 A 1 z „ID O IO IO IN It IIIg IO IN S N O O 8 r C < to C.C 2 m 8 8 g 0 o m m m i cm � r r r r to to fn CO –i CD CO Cn CD w 0 0 0 0 17 (D _ o z z z z r D. Dm m m m obi CO cn. fn to to m 1 r. a o = m SD ; 8 v 3 a n ID n W t7 V N O 1 VaN o J � ri jO cn Co v m < m y w' m CO c _ * co g 8 T 8 N E. 3 8 @ 2. N U to m N N n c 4 r 3 W d N o a d o. m N $ a p m d r No c - m > > 0 orF'i 0 2 8 m m m g 0 m L .0 Irn I?w k+ I, Im I; ++ - + w i m T- er O in a C O B Z w Groundwater Cr to11 3 N 3 Ncn Unified N C7 OD (D AASHTO CO d C a) Nk ak+Ik M* ilk>tk f/e 4 elk Mk M Mk 41, Mk>rt. 11••�� e —— —— •• •• •• •• eMe eM +IM M+Ile+Ik — y Symbol * OO = Ne 40,Qk..M eke 40, elk 410yk.qk 41e 1 40,elk 1k • •• • •• co D) O ,p W V N N A W Z 3 o n a aa a n a a a a a a a CO C V r 0 Z a Pc 0 N 7" Y O CD CI) o Q p o v0 N 0 0 0 N Water Content, N CD 5 0 Z iinn Fines Content,% rr C o ED–3 o^ Organic Content,% m CD Liquid Limit,% m N ,„- C., db Plasticity Index, N N –.1. N m m Time Rate of Drilling O O a oo 8 $ (minutes:seconds) —Z '71 141 0 (o G Io m to K O o o 1 N CD Z A 3 al m Ul cA,71 m 30 O 4 n m oIi m rn g. S'+ i o z m rn 1s o m N\ n p I 7 ana.m Z 0 m F r ° � e m m N 1 101 IFi:: m rro F O C m• m3Im + m • K 15' 1 i IN 1?" 15' Cr• 0, 0 Groundwater Z CD m C .+ CD % N fnn CA) v O = CO 0) O . . cov v iR 40.Ills lk MF IF M40 Ms•F ayVk MF M 40 we '•40—— — at.41` ** r r�rk s '• . ..,.: . .. .. t. ► 0 w 4 *0,1.• rrarasr,aas40 a A N au f m o W cn Unified gASHT O rZ6cl a a 13 a a a o a V a a r n Y s S o Z C to O CO . x O £ C i; 7 c " v T ° w m n o e CD s g Y P a O N O z Water Content, o w pt O Fines Content, CD 0 Z Organic Content, C P.- 6 Liquid Limit, CD (b Plasticity Index,% Time Rate of Drilling N o, (minutes seconds) -...1 CP 8 00 N -'' _ Q J 1 6 1 1 A I Z �, io io r r �o 0 lo In 2 Q '21 3 3 m ci W cn g" 0 0 71 rri g a a o 0 0 1n N m N r- i— r 0 D D D rn m z z z (D cn fn fn < 0 O v o 3 m -I z z z K D m m m a) fn rn CD ; 8 r7 0 z N P. e o K Q E cos)- V! m v m < `° 3!Efl ; d m m m ru 3 0 TN 3 N 2 0 J CO N c g R m o -El 11^3 I.4 IL, Ict IA F. 151' CT o z -4 C CD g y N m Groundwater Cr 3 z fD N v v v Unified N 00 cp AASHTO 0 0.. W co yt Mr fk-.M Ak_M eMt:rat et U Mt lb Ne.IP Ole M Ac Mir OF OF *I.Mk lbilk+O.. it k Ob 4 Symbol O = *It M OM OOP Mt OhObMt Mb k lb Vk Mr 21*,aM 4*tilt*ft*IxF M**a tilt ilerie * •• y CO N O m a d m w f0 W N e) co to T Z 2 gY L L tl 0 n tl v v # v v CO , z o z C V r, c 7 o N ✓ W CL ° 8 a ln 0 ea OW Water Content,% CD 5' aFines Content,% S � Z m aC o' 3 Organic Content,% Z CD w Liquid Limit,% In v2 N __CO Plasticity Index,% N N > o Time Rate of Drilling co N g o o (minutes:seconds) _ CO 1 6 1 1 A 1 ƒ 92 O / ( & r r C 3 a / } \ } / a 2 2 J } ƒ 2 , , I , i § § ( \ § § co_ r r O 0 m e 5 0 K m z ( z = CD e ® o < co $ i -, z z0 F ` � / CO cD @ ° ® : - / o \ � / \ \ 5 \ / a k ki k< .. { e 1 g. 272 ƒ / 2 � ! — -1 } \ ) % n ; 2 ! J i § 8 / ( \ � � k } m \ P. ! I \ ( ( - 1. & o . -§ § ` \ m ) CD/ Groundwater �^« ) % kUnified QCO _mo / © a Symbol■ �:::�� »m_ 4* **%mak:.11.'NB R / % CD % 0 41 AI a ; z 3 0 , . 0 . . g g g g . 0 _ .V , . C 7® i m% ] 0 � . / CO : _«c t°A, 2 z w ._c_% \ FD- § m_,� % ' . E 2 Liquid Limit,+ ƒ , # 7 Plasticity index,% / e Time_,y Drilling \ / k K c_:�_g 161 Al Nip It' I`' lr U to G 8 e m o m 3 g 03 � � a o g 5 S � O�77 y O Q. r D I'Z o N =. Ilm m 17 0 o z 13 CDa'i \I10-1 —s °' z m m dO 8 N cD I C� N \ C O : -15 � rn Q m 5. a a o s a r:18(1::T. r- N -i 3 w to • I, s m 3 z N • n ' g Nm , d lit ]-F 71 0 a m T o is 3 N a O co T LP, Q O• , p Groundwater z N m Cn� Unified SI 3 o co co NO 0 AA SiTO CO at Mk Mk Mk MM � * 4 rt M •• ' Symbol Mk#MF sk*Pi O o CIJ El)O p m A rZ N II On � aaa o C a -r a S ' 133 Z y rs., 0 CD o N W m CD s o a 4.8 a a Q a o a x N o Water Content,% p W co Fines Content,% (1.) M 0 TD • Z Organic Content,% QLiquid Limit,% (D Plasticity Index,% CO Time Rate of Drilling (minutes:saconds) co CO 0 -Pb CO _ 1611A1 z Il O N cn N O IO UI O IO IO IO .^r 0- A o m r r C r oM N `4,' (g. a. N (0 r r r tri to cn cn m m rn z z z Z CD in 1 1 0 0 0 0 x 3 CD m 1 Z Z Z \i D' rn rn rn o) CO fn m `° .. m m N � g D e m o 1 cnMI 0 u, } o-2 3 a a 0 ra: ri= C) a CO a g m * S g - m m Z g r 3 CO m iT a 7 1 m S m oGicn m N xi m m d m a m r -n = m m m m m m m - a m o , --- O a J m a " g n 9 m r 3 m N CO 3 a 8 G. P c G m cI1iII `° � w m m S O Z 0n. H o 3 Z m Groundwater Q t:1) -. co to m N m Unified ro m m m N CO CD AASHTO Wal. • rnn a►, raww + . •.. •.. •.. •.. •.. . •.. • .. .. . •.. •. .. .. •.. Symbol CD i CO 4) b3 A W N 10 a. N CO 0 Z 3 0 C) Y 5 O CO W i O z C _ n, Q CDa 0 o O s 0 N 0 0• O io Water Content, 1 N • O r z a Fines Content,% g n. 3 o tS Organic Content,% R CD m a Liquid Limit,% 1 m CO Plasticity Index,% CO EP N —, Time Rate of Drilling O U) (minutes:secands) CO 3611A1 . r # - 2 \ \ } J = E 7 , 2 $ 0 I , , _ / . acsn r n CD CD e a ¥ $ K k k / ( \ CD ® ® o \ i. CD z zm � ƒ CO ol E / ) ( § `) \ rn ■ = rƒ 0 9 — i e \ -1— ƒ ! E / / W. \ / ( ( ƒ ] ® - f ■ } � 5 § / k t ( \ � tO� 2 / \ ) § m_. e z cr ) 2 co -a co co u u 2 © C) _«o CO / * _: < _ _ * IL**_ * «w+ ••-.;—mt — . f»■a### tK «+mw k§ Symbol I z __«--� *f4� 444 ' Mx0 b 3 R.1A , , 2 . z e T- , m , ° / � \ CD ) } \ \ IF 0 203 Water Content,% if I a ƒ Fines ,% Sr \ a 7 m_c % .. Liquid _t, J m Plasticity�`® ` na 9 metier Drillingnds) § G j @+ mjk 03 1 6 1 1 A ƒ z - 2 0 / j \ # r r P f t 7 \ 7 } / } ( / I 2 , ƒ \ CO I \ I / ( ( k r- r- r- g $ $ ° ) su 2 k ¢ ) m m 3 3 § ƒ v 7 -, ] Z \ ` . I m m � » E 11) / £ a. ! ( Q M , E m n » N n.se = 4. ;\ r { ET . { ( 2 § \ f} \ \ o /®} [ - T ' a, ± J ) / ( k a §{ \ £ O. T \ 7 (: n77 \ . § 3 ¥ ( ( ( , CO if = o F a CO ° ] Groundwater Cr CD } -P17 "co O ® ! AASHTO Co / .10 4* OOP ¥¥ Illi Olt PO 0 % ±.10. � 1k 1k* . Symbol / / » »¥®�¥«# ® O.1k®041.�*.k N.1k_1k0_ _ »,xxf % > 2 \ % l• CA n) CO % , CO , z 3 / ° ` C ° ' 0 , C , { / ® ƒ \ o 2 / - _-cam% m e = _sC % \ � z -4O3\ % m_� % 2 Liquid _t! i ! Co Plasticity % \ e .m.¥_m \ \ 333 u °® Co 1611A1 Z „ 1 �o T 73 tD(Q 2r r a iii c4 cp a ° O9O2O2ajOODUANOZ u + 4 m ' $8-CO Nzv 3. m p 3 $ g , a , d ' gull' � � mmMMEK mrn aaaa ««m R q k '4. 2 g m Z z 2 z ovOc cc c a o 0 Z�� a i M o '- o' n $ g O o 0= = 3 3 3 3 o g Qr gn r g g g `m e a. § 3. 3. a.3 d g 8 - s y s 2 m m P g O IJ CND 5 m m o @ v m E. a ., 1. . -• .. 9- 5 9- S mmmm . o', v. . mmmmmo K ca o. m -1 2 g m m m m -InN m al. “ ',..m C .- a g a a Co 2 �. ada « «c_n= a m 0 m a. . m m y m a=i N N 0=1 N o N o o T 29 O O m- m c N $ 0 K ; 201 '; 'a t o I . m. t1 g m aaaaao-9m � xxo o�� • o ° a N m o 2r'. z m d 5 « «« ««3 = - m g fD rD a, co co co ,D m co l0 co N o -1 _ 3 2 ? d ' � ozim o00000QR2 � 2� Zo * • *. 3 m o N o. Stns—Aaass, ..lnf/)fn..N= $ e-' g g $ g mm o000 ooro = m Q i _ g.� a as &WAS3Sca _ , } ' m - m fn N 2. a a ro m m 3 N ... _ a a m a a n m- F g. N N o 9 ''.- ic x Z Q 3 a O a <. N N y at. 3 T 4. 4. a - CD/D 7 N a �. P y -I a v E % < N co 1 W m c $g Z a Groundwater TT N —1 5-1 Z 0 r-W m -1 z aUnified % y 1 m _< SW = o £ 9 a � moKxz co 17 -g mm O rQ g -{2 n z ° AASHTO gr. m al m m U2 H w -- <--► n'D r t t n O 7t--.. . Symbol m iN /� d m O S Z T 2 M1 SI o c 1 c m UI o S N N Z N 3 a $.' r. m ? m v a CA a Q.• A m 11 11'. 3 9 n] r ra0 m * am s ap - v a 2 \• m tr C i N. i ] i ] m s S g N r 03 7, e p 0 a m m m a o , w 3 F > > R. 8 B m e e n m - - a m N •r •i d m A S a aC a m 3 0 E g m 4 a m m 6 . a Water Content, y. 2. p o p o, o ' a, a, N m ?' 6a 8 'a 8 d om 3 o ff Fines Content. v_ m' ::-.031A- O o o a ol_ - cc - c Organic Content.% Q m lo = - - m a 3 0, a, 8- iv m Liquid Limit,% m S m m Fi CY• g a a Plasticity Index,% a as ' ' Other 1611A � LABORATORY TEST RESULTS 1611A1 T ° -� 0 ----------- 71 _ 71 _ m 0 Percent Passing, ( ) o T7 fl; fp '0 3v -a t4 <D n n2 _ O CD co ,r..... O 0 p O p O O O O O CO 3 ° 0 sN (r .. ' 3 . ' p 0 0 0 0 0 0 0 0 0 0 TDT al O i 1WIUYlY1WIW '11 amugrill co 3 _ oo 'iIiiii,111,1 1801 sv03 a 4 SD O K ..� W CI �_11111.1101111EMIN �■ O Z ■■ NZm rn ■ ■� � Nm rn ■ CI)C � 0z r Si 0 d O rn G) w "Oil \ ( N m w Z 73 nn _• o C 5 Z Nit III . rt O '.111", 33al (1 I� (A00ffr!.. O Z . O O P O 11111 0 a �Dt o vnm N z 1621:11MISIIM 07 ill I ■■M. ■� co■I1'II IQ Bi \ 0c1 om 7j 0 0I ,. N cn _________-------____—________— '1- C 3 1611A1 cn 0 _. Xi Ecco 0 Percent Passing, (%) u CD > c./) 3vo m (o � n3. o) m -1 tV CO -P U7 03 1J CO C0 O o. —ci c o 3 0 0 0 0 0 0 0 0 0 0 0 0o c o - O 0 0 0 0 0 0 0 0 0 0R_ `' n n N _ O O OD co (D O_.). co _, O 111111111_111111111 111111111 111111111 111111111 111111111 111111111 111111111 111111111 111111111 W a CL CI) CD O co N O Lco O 2 2 co Kb3 3 C) _0 O O O N -s 50c 0c O (71 D. n CO p c 0 — 77- Oco - Q CCI o co W O Pb 'A )4 O O - D) 1 = G, O P oo N N O 11 Z 0 4 � t CI m 73 m a 00 G) z `n -1 Z m r CoA -0 � C m 0 _ G) to (D, No o C1 03 0 3u73 )cu z 0 c ` 0 0 CO — rt n O n m Cn m w —. O m u) Cl) Z X N N O -- O ) 0 0 c n yo w o N a o' c� V. in.. /Z� N Oo W co �� _. . 0 0 0 D Y/ s 3 a = 7 3 -{ z Z W \I O A 0 0 �.i __ o f W co a ri) cp -? co K 0 O * O) N a , to Z 0 _. o o -' N O gs A o b OC. � O O V) TI O 0) (D O n cn m D (n z y. O 0 oZ 1- - ---- — n -I cri O • M O01 0 0' f) (D .. 0) ID3 ca °) O A O 0 ., o Fit CA iv E 3 1611A1 0 0 M CD - 1 CA o/ m Percent Passing, ( a) 3 o a s I co r. 0 �to m N W P O p a.�o cx xi 0 3 v . m O O O O O - 1...) 00 rr rt g 3 o p O O O O O O O O O O ° \-rO o I b �C) WM= #1II1R o =- )n �■.111,114 Sol 1 m .. 1111103 a. O _ a _ o PAIN—ErsAr. 'TI L., �$ o ��JAr 0 0 0000 z N m . w c n Z cn n o0 0 o sin 30 3 z o Z _ II a• 0�� Dom - 131 No � y � � vz, i tD � mmr c n 73 1 im. a1 = n 0+i n ° D Z 5° rzi la o O a� If ° e r g .. F Pi 11 \ re solinflo zk .. > > 3 _4 ;4 - . iIiJ,11 T °7O G) CD Fa (D 10 O O CD- = U) .12: o _ \ cz, As goiP _ Ilial o (I, m > ■ zi it \ IN N b O 1611A1 -Ti w. 0 (D m Percent Passing, (%) d13 3 � 3 va co o m T m a v m- < IV W -P U� O �I OO CO O co-aXi IF 0) 3 2 0 0 0 0 0 0 0 0 0 0 0 W o iF . ' 00000000000 s N O Q O d CD d W Q 111117111 111111111 IIIIIII II fll111111 III II IIII 111111111 IIIIIIIIII IIIIfII❑Il11lltIE 111111111 CE) ,..,••••• CO CU N O O N O •L. co W N N C 0 3 3 O O O 0 0 bO (A. n W O m 0 S - CD N Q a 01 K J 00 = 0 W O O co N O O Z N — / n T r — o 0 G) 74 73 ) _ — N z m COAZ _ Z m � � o Z -Ti 13 0 0 � G) XI Z 3o fl) w z o Z w NoP n °' �� 3 0 m i...) ,,,0 CD -A. r d v0 z 01 m F. _ m y N fn Z m • rnOo O _ o�+ -o ori rD Z to W (J1 W A /� 3 3 3 7 -I _c. O u) 0 Z A - U) E UJ it _ J O O co O z �i - - _ o (A Co A �I N Cn p oo CD -- O N = co (to Z > � , , 0 = - N U7 O i (n p o 0 ' O 0 fn T O) . O ZO O 5. O p 1 d D o I CO Z _. sO � OZ _h O O N p N 7 C 0 0 16I1A1 11 m 0 `° ° Percent Passing, (%) d (r) 3 0 o u°1, m —1 fV W (rl O v OO O O 0. m �" 'o cn. 3 z 0 0 0 0 0 0 0 0 0 0 0 we ZfD iD o = n `� — 0 0 0 0 0 0 0 0 0 0 0 � `' nn 0 73 N O 0 OfD O w O I1111111111 111111111 1111111111111111111111111111111111111111111❑111111111❑IlllllnnrTTT` C ' Cl 0O J Nw O o O N OL O = S co so ID - 07 Kb2 3 0 — O O o- o • j F x � n n W O ❑ m • (0 (.0 -- r 0 0. --- O o- m K = w o /___ O _ $ ANN O - m0 z D 0o X m z 0 C) sn co cn—.11 Z m �• o � -v � � m o al 0 0 - Z a - G) w cCn ' P n o -. m z O Z -. .so - � � o� o0mT 0 N N 0 ° � ' ° r :oAo 'D 3 �1 a ^^z cn Iwo '� 3 > > > -I zz u, A co 0 - F) (d) � Z o P 01 c) .... o . ? o N o (n c0-0.;1.1 v 00 8 , XX O 7 00 W z cn N co — O O D .' CD N (O O S + is) p U bo -a. In O 0 cm 1 Q 0 __..._ ° 5 w — — a. :-4 rn _n U) oo CT D y z z B c)_' O O poj U1 C)1 V, No -_ -_ O N O 3 c D _ O r:) O 1611A 1 11 cn 0 XI `° ° Percent Passing, (%) d LD CD r, 3 v o --13(AD `m N GJ U1 O �1 00 CO O a ^' n c ' z 0 0 0 0 0 0 0 0 0 0 0 w 3 o (Ti rt co - • O O 0 0 0 0 0 0 0 0 0 0 nn N co -. OO O` (D CD O ' IIIIIIIII IIII11111 mum!IIIIIIIII IIIIIIIII IIIIIIIII!mum multi)IIIIIIIII IIIIIIIII C -A Ct.) 117 a N O O N p ` OD CO m m K 0 3 3 o+0 -' O O N CT' N 0 CO Ill 0 00 CD W _— _._ - o. • A KN O D) _, - w O O • • 0 N N coA1Z •- C.71 - 0 n o 73 r C) co T -I Z m r N O -P V CCI) m a _�. — -I > woo 0 o 0 3 c z O z _-0 8 8 tp _ - -o Z i � 0 m 0 N N' OCi) 0 0 z a o C a -- f71 A W AA = ' r Y/ A O - .3 .. 3 3 3 —I - - - - in� 0r COL. w0O -• O OZ o , 7 W � Z N ' G7 CO COO K c3 r« _ N O 7 O) CAI Z 0) :° o O a j � � o co o v, = A 0 -u I 2 cn OO _ _.-.__ O N V O 0o rn o 0 a _... C) 0 co N Z =1 moo n) rn o N r cno 3cn I D °' O °' w 1611A1 T 0 _ 0 C) m -- - m v► ni v m �� 3 Percent Passing, ( 0 3 0 0 o I -� to m c n a O. (D m O Go. a � Zi� D(ca N W P U� 00 p O O O •• •• • •• N � z O O O O O CD O O O O O r coo 0. 3 0 0 0 0 O O mco o p MIMI um. NM �==� = �� o=i 3 0. _��„ "Iiia � o a_a� �_ 311 . 11111 ei1 7 ' FI:__ 0 ;_ 11111111161 cx x su 11 KI si: 11lamorAMNAIM•wm , -n o O o M 73 0 G) ' $IfIi z � Zril NZm r Z cn co -1 '7;1 6 \7z1 �,. IIIo °'v 3 om M a n 11 1 t..3 a , N: PS o � cz ° �D ay �nr Ill 0N to cn_ 'i"r io o -1 CF) \ O ' 011111111111 N w ii O _-i ro O V =WIa la \ �� e - o n iI'Ia u� N IL! ii 1 03a I_____\ _,,, o___ . ___ ,), C 3 1611A1 71 0 CT P3 13CD m g Percent Passing, (%) 3 0 0 _. u� .0 m iD -0 D 00a m`� < -.� N W - CP C ) �I OD CD O z co io 3 Z 0 0 0 0 0 0 0 0 0 0 0 W c o = o �' 3 o O p 0 0 0 0 0 0 0 0 0 0 0m �wO 00 – a) a a O0O m wN m Iiii " Nil WNW 1111 • SN � co oN ___ _ ____ co N =MEM � �� • Oo O 1111111111111111P1 G5) 0 0x oi , _. _ o no m 0g. iiiIliuIiLi ... ■1a. co 1oOO Q omom...amimismommi -n Z O N O ■_ _ 0 MIMI 101101111.1.110 o Tl 7D m �, Zm Si) ENEM Mai z 73 C° A Z ■ M■■ ■12 c _i Z m CD V O O o A CO ■■ ...lir., U0 n n Z 5 P � m O rn G) D N o0 ad ZC) Z foo IIIR. 0F3 C m m °' oo d v � Z = m- _ rp N N fn Z X .3 N O co o an CD o c�'i 0 co C D Z o N'EMPANET" Er –0 0 0 ru, O W A �� ■ .' 7 33 cs vPI�PII'lli!, ; _U f.: ,,„ . Z 0 3 � n o rn o 0 . W 0 A P Vi o O • bin .,P, 00 N c E. ? � - o O = cn o �r ��.�M MINE -� _. Z �� o 5 1111_ ��C 111111110.1.1M1111.1111111111 n ,,, z . 0 z . _, 1 o pill, ■ 0 ID w (1)- X g O a I C3 E 3 1611A1 Client: Forge Engineering Inc. Project Name: Cedar Hammock GeoTesting Project Location: --- GTX#: 308939 EXPRESS Test Date: 10/11/18 Tested By: jm Checked By: mcm Boring ID: B-4 Sample ID: --- Depth,ft: 6-8 Visual Description: Moist, grayish brown clayey sand Direct Shear Test of Soils Under Consolidated Drained Conditions by ASTM D3080 --499 --999 --1999 3000 1 i-- --r- -- I- 2500 i 1 Cohesion = 18.8 psf 2500Friction Angle 9 = 41.7 - 2000 -- - ---- - Q 2000 -- + - a 1500r°„�' 1500 - °yam' ._ 1000a) -- IDt 1000 ♦ -t -- rN 500 -- - - 1---I N 5001000 1500 200 2500 13000 00.0 0.1 0.2 0.3 0.4 0 -.� -j- 0 5000.5 Normal Stress,psf Horizontal Deformation,in Test No.: DS1-1 DS-1-2 DS-1-3 Initial Diameter, in: 2.5 2.5 2.5 [ --499 -999 --1999 _ - 1.0 Initial Height, in: 1.0 1.0 156.94 156.99 156.92 0.000 -- Initial Mass,grams: - -.----Initial DryDensity, pcf: - 102.0 102.0 102.0 0.005 -- -- 0.010 ,-- Initial Moisture Content, %: 19.4 19.4 19.4 0.015 -- -- - Initial Bulk Density,pcf: 121.8 121.8 _121.8 0.020 0.030 Initial Degree of Saturation: 82.8 82.8 82.8 0.025 - 0 5 c Initial Void Ratio: pcf: _ 0.62 0.62 0.62Final ---H ity, Final Moisture Content, %: _ 108.2. 108 0 18.19 E 0.040 0.040 } Ji ----- 7 Final Bulk Density, pcf: 127.5 124.9 --__ 131.0 0 0.050 Normal Stress, psf: _ 499 999 1999 0 0.055 [ -1-----t---,- Maximum Shear Stress, psf: _ 403 999_ 1770 - 3 0.060 0.002 0.002 0.002 E 0.065 '- I- { Shear Rate irrymin: --- --- - - - - al 0.070T > 0.075 t1_,_ � Sample Type: reconstituted _ -7--- 1 - Liquid Limit: -- -- - - 0.080 Estimated S_p cific Gravity: 2.65 ---- 0.085 ---- -I --- --- 0.090 E- ' 1 -- -- - -- -- - - - 0.5 Plastic Limit: --- 0.0 0.1 0.2 0.3 0.4 Plasticity Index: % Passing#200 sieve: - "-" Horizontal Deformation,in Soil Classification: _-__- --__-.-=_ Group Symbol: --- Notes: Material greater than #5 sieve screened out of sample prior to testing Moisture content obtained before shear from sample trimmings Moisture Content determined by ASTM D2216 Target Compaction: (102.0 pcf)at the as received moisture content(19.4%),as specified by client. 1 6 1 1 A 1 Client: Forge Engineering Inc. -.'' - Project Name: Cedar Hammock GeoTesting Project Location: Easthi--- GTX#: 308939 EXPRFSS Test Date: 10/11/18 Tested By: jm Checked By: mcm Boring ID: B-10 Sample ID: --- Depth,ft: 4-6 Visual Description: Moist,grayish brown silty sand Direct Shear Test of Soils Under Consolidated Drained Conditions by ASTM D3080 --350 -720 -1440 1500 �.._i _ - - -- 1250 - -... ----I Cohesion = 122 psf y= .7054x+ 122.37 1250 --Friction Angle = 35.2° -- 1000 F. n 1000 - -- n N 750 • N 750 - 112 in MI •' _ 500 ro G) 500 l.._. °, cri .o N 250 { 250 ' L 0 0 _ .----L 0 250 500 750 1000 1250 1500 0.0 0.1 0.2 0.3 0.4 0.5 Normal Stress,psf Horizontal Deformation, in Test No.: DS-1 DS-2 DS-3 Initial Diameter, in: 2.5 _ 2.5 2.5 I -360 - - 720 1440 Initial Height,in: 1.0 1.0 1.0 L- -- Initial Mass,grams: _ 163.56 163.55 163.56 0.000 - -- r Initial Dry Density,pcf: 105.0 105.0 105.0 - Initial Moisture Content,%: 20.9 20.9 20.9 0.005 44 Initial Bulk Density, pcf: 126.9 126.9 126.9 Initial Degree of Saturation: 93.2 96.2 96.2 c 0.010 - - Initial Void Ratio: 0.58 0.58 0.58 d Final Dry Density, pcf: 106.4 106.2 108.9 , 0.015 -' -i Final Moisture Content,°rb: 20.5 19.7 20.3 E Final Bulk Density, pcf: 128.2 127.1 131.0 c 0.020 Normal Stress, psf: 360 _ 720 1440 _ o Maximum Shear Stress, psf: 340 684 1120_ _ 0.025 Shear Rate, in/min: 0.002 0.002 0.002 m - t 0.030 - Sample Type: _ reconstituted 0.035 kv. 1 Estimated Specific Gravity: 2.65 Liquid Limit: - --- - 0.040 Plastic Limit: --- 0.0 0.1 0.2 0.3 0.4 0.5 Plasticity Index: --- % Passing #200 sieve: --- Soil Classification: --- Horizontal Deformation,in _ Group Symbol: --- Notes: Material greater than #5 sieve screened out of sample prior to testing Moisture content obtained before shear from sample trimmings Moisture Content determined by ASTM D2216 Taroet Compaction: (105.0 pcf)at the as received moisture content(20.9%),as specified by client. 1611A 1 Client: Forge Engineering Inc. t �- Project Name: Cedar Hammock GeoTesProject Location: Easthi--- GTX#: 308939 E X P Fi E S S Test Date: 10/11/18 Tested By: jm Checked By: mcm Boring ID: B-15 Sample ID: --- Depth,ft: 8-10 Visual Description: Moist,grayish brown silty sand Direct Shear Test of Soils Under Consolidated Drained Conditions by ASTM D3080 -525 -1050 -2100 3000 1 __-. L 2500 - Cohesion = 240 psf 2500g = 32.0° -_� -. _._Friction Angle 2000 L-.--i - I n 2000 - - -I- 1- Q ."-.- in - - � -I- - I - -� -- 1500 l -. N 1500 - -- I 1000 - -I t 1000 --- -- - -- t w N -�500 •A---1--= 500 -.. .-- 0 1500 20100 12500 3000 0 0.0 0.1 0.2 0.3 0.4 0.5 500 1000 'S Normal Stress, psf Horizontal Deformation, in Test No.: DS-1 DS-2 DS-3 -----,.- Initial Diameter,in: - 2.5 2.5 2.5 I --525 MO -2100 Initial Height, in: 1.0 1.0 1.0 L ---- - -- - Initial Mass,grams: 154.88 154.84 _ 154.86 0.000 -.7- i Initial Dry Density,pcf: 98.4 98.0 98.1 ' Initial Moisture Content,%: 22.1 22.7 22.6 0.005 H- --�- Initial Bulk Density, pcf: 120.1 120.2- 120.3 - Initial Degree of Saturation: _ 86.1 87.3 87.0 S 0.010 -- -T.___I___ Initial -{ - Initial Void Ratio: 0.68 0.69 0.69 ok II 1 Final Dry Density,pcf: 99.7 101.2 101.6 � 0.015 _-�--1--- Final Moisture Content,%: 21.3 21.1 22.0 f Final Bulk Density,pcf: 120.9 122.6 124.0 0 0.020 -T Normal Stress, psf: 525 1050 2100 ' ---'------'h---1---1--i 1 Maximum Shear Stress, psf: 533 947 1540 _ -' 0.025 I 7 Shear Rate, in/min: 0.002 0.002 0.002 9.. 0.030 -� > _ � Sample Type: reconstituted 0.035 - Estimated Specific Gravity: 2.65 i Liquid Limit: - 0.040 ' Plastic Limit: -_ -___ 0.0 0.1 0.2 0.3 0.4 0.5 Plasticity Index: - 0/0 Passing #200 sieve: -- Horizontal Deformation, in Soil Classification: - Group Symbol: --- Notes: Material greater than#5 sieve screened out of sample prior to testing Moisture content obtained before shear from sample trimmings Moisture Content determined by ASTM D2216 Target Compaction: (98.0 pcf)at the as received moisture content(22.6%),as specified by client. 1 6 1 1 A 1 N) co . (J N N) ( A O O 9 O O O O O O O O O O O O • • • • • • • • • • • • • • M. Lai CD I OFFSET=-25.00 ELEV=-2.45 �ti ,.2 k7'449'2"•4 ",,4 N O L. ,- OFFSET=-10.30 ELEV=3.53 O 12511 -OFFSET=-3.82 ELEV=5.571 O+ I' 1 -{OFFSET=0.00ELEV=13.031 r NO -- - -`- -- - • - OFFSET=OAOELEV=13.01 0r - Iv o {OFFSET= 3.85 ELEV•13.451 O . J O - -- OFFSET=10.44 ELEV=13.80 OFFSET=13.88 ELEV•14.01 'OFFSET=14.82 ELEV•14.831 -- - -OFFSET=20.48 ELEV=14.731 O - - -_ OFFSET=25.00 ELEV•14.551 I -- OFFSET=25.00 ELEV=13.60 W O N -' O N) O O W N -+ o O O O O O b O OO O O O O O O O O O b _ _ N CO -P O O P O O co O O O O O O O O O T + I i T 1 I 1 T I y 1 - 1 1 I p I p ' Q I Q 1 O 7 O T I I I -19•F F sET=-25.00 ELEV•-3.59L ---1OFFSE f=-25.00 ELEV=3.901 -I OFFSET=-23.18 ELEV=-2.8711 r',.) O 1 _.. ._ O -I OFFSET=-7.36 ELEV=4.07' (J., + Cn . . . r p O - - 'OFFSET ELEV 13.071 1- v o O .. O 'OFFSET=12.95 ELEV=14.151 I OFFSET=15.73 ELEV=15.14 'OFFSET=17.58 ELEV=14.751 N . -OFFSET=21.81 ELEV=15.9,1 O -OFFSET•22.37 ELEV=1537 --JOFFSET=25.00ELEV=16.231 -'OFFSET=25.00ELEV•15.639 ) 1 ) 1 1 1 1 1 ,1, 1 ,1, 1 _ COo 1 ) 1 3 1 J. 1 I. 1 =3. 1 .1. 1 1 6 1 1 A 1 -.. N CO . N N CO . O P O O O O O O O O o O O W O ! jOFFSET=-25.00 ELEV=13.391 - OFFSET=-25.00 ELEV=13.38 1 1 'OFFSET=-19.52FLEV=13.371 - -- - - - - I OFFSET=16.45 ELEV=13.291 J 0 'OFFSET=-5.97 ELEV=13.051 OFFSET=-7.50 ELEV=12.98 N 'OFFSET=O.ao ELEV=12.931 1\.) IVO OFFSET=O.OD ELEV=12.95 N --�OFF$ET=3.63 ELEV=5.911 cn O (A) O O 'OFFSET=14.24 ELEV-2.851 --- 'OFFSET=20.00 ELEV=1.341 0 OFFSET=19.81 ELEV=2.71 - 'OFFSET=25.00 ELEV=1.221 OFFSET=25.00 ELEV=1.05 Co.) -. O _ N3 ta) O O O O ON G O O O O O O O O O O O O O O O N .....s. no co 41. W N - - N co A O O OO O O O O O O P O O O O • 6 .70 Q 1 Q 1 Q 1 0 1 Q I 0 O O -I OFFSET=26.00 ELEV-13.211 -1OFF9FT=-25.00 FI FV=13.281 1N 'OFFSET=-21.55ELEV=13.231 • C 'OFFSET=-15.58ELEV=13.131 'OFFSET=-12.29 ELEV=13.111 --'OFFSET=-12.59 ELEV=13.091 O • N - 'OFFSET=-6.40 ELEV= 13.041 ,^ s ----- - _-iOFFSET=0.00FLEV=12.981 1 N O --- 'OFFSET=0.00 ELEV=12.991 r V C IN 00 O ( y 'OFFSET=7.58 ELEV=4.011 O --4 6.14 ELEV=5.201 O OFFSET=13.80 ELEV=2.701 'OFFSET=15.77 ELEV=2.301 N O 'OFFSET=25.00 ELEV=-1.201 1E'.,-7'-2SI,aYR._-a. 1 6 1 1 A 1 J o O o 0 0.) 0 0 0 0 0 0 co 0 N CD I OFFSET=-16.59 ELEV=14.421 J (OFFSET=-721 ELEV=14.591O ---OFFSET•-7.96 ELEV 13271 Cr)V ------- 10FFSET=O.00ELEV=13.041 W WO CD --- ---- 1 OFFSET.0.00ELEV•13.081 1 03 OFFSET=3.55 ELEV=7.991 — N10FFSET=4.22 ELEV=8.34] rr O,_, O O OFFSET=13.71 ELEV=3.591 —1 OFFSET=16.30 ELEV=4.411 10FFSET•17.68 ELEV•2.681 N O —1 OFFSET=25.00 ELEV=1.091 —1OFFSEr=25.00 ELEV=1.911 CO ) 1 b I I I rt I 1 O _xO O O O O O O O b P tv co O O O bO O O O b O O O O N.) CO A N N W A O P O O O O O O O O O O CD W O iIOFFSET=-25.00 ELEV=13.32 1OFFSET=-25.00 ELEV=13.611 OFFSET=-22.92 ELEV=13.37 10FFSEr=-21.86 ELEV=13.731 - 1OFFSET=.19.30 ELEV 13.321 N -- O LOFFSET=-11.78 ELEV=13.30) I O 1OFFSET=-5.70 ELEV=12.991 CO CD + CD OFFSET=0.00 ELEV=12.881 r41. O ----- -- I OFFSET=0.00 ELEV=13.041 --I OFFSET=4./B ELEV=6.161 N O I 10FFSET=521 ELEV=4.071 10FFSET•9.64 ELEV•2.591 O ---. N I CD Incceer=earn el CII AMA I Inccaer=o=m=1 CCC A All 1 6 1 1 A 1 N -..t. o A N W C O O O o 0 O o o 0 0 4 44---T---4---T----+-4. CO OFFSET'-25.00 ELEV•2.00 OFFSET•-25.00 ELEV=3.30 I1 I O rrII OFFSET=-17.11 ELEV•4.76 OFFSET=-13.14 ELEV•4.22 OFFSET•-0.78 ELEV=5.42 O OFFSET•-7.64 ELEV.5.38 .p. OFFSET ELEV=5.80 O OFFSET=-3.52 ELEV=7.70 OFFSET'0.00 ELEV=13.03 OFFSET=0.00 ELEV•13.03 CnIV 0 Ur: O ---- I OFFSET•6.19ELEV•13.07 - OFFSET ELEV•1380 0. OFFSET'11.64 ELEV=1113 4 _ N -_- O I OFFSET•28.00 ELEV=13.60 OFFSET=25.00 ELEV•14.25 O _ IQ ' IMP 0 O O 0 O O O p O O 0 O O O O O Op O O CO N '' O N 0 A Co O 0 1 J N W 0 O O O P P a P P O _ ma _ • CO 4- O OFFSET=-25.00 ELEV•0.05 I , 1 N ----- O - OFFSET=•17.27 ELEV=2.01 OFFSET=-12.77 ELEV=4.71 j _ O OFFSET=-8.88 ELEV=4.73 L OFFSET=-5.29 ELEV=5.P P OFFSET=-3.40 ELEV=6.80 OFFSET•0.00 ELEV=13.01 \r-\ OFFSET=0.00 ELEV=13.00 1 �0 0 CO OO O OFFSET'16E0 ELEV•13.20 N OFFSET•26.00 ELEV•13.40 OFFSET'25.00 ELEV'13.34 1611A1 1 x N air c 1 s a ,'s, "� �e7 J "� S ` �y't 9 'i r fa, ,:.,:.!:4.-.,...,:*q,,,,:::r-,,,,t,-.-.,.,,:',,''-', 0 =3C p s1 1 N ova.CJ ~ \ / ,�' I / % ,c.„...:-<k x +�6 / ,...,.„;'..1y- , SS'�J / srV'x of N 1. l' (J. 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Z, LEGEND: / // U-MW-X = UPLAND MONITOR WELL / / W-MW-X = WETLAND MONITOR WELL // W-X = WELL / UMW-1 = DRAINAGE INTERCONNEC / / U-MW-2--\\ a = SPREADER SWALE OUTF/ 17 ti \; ITN-CS Xi = WATER CON IROL STRUC /// � ,/ 4 / 9 / LAKE11.11 y / / / '"-1 / (NOT EXIST) / / n C-2 E:.- _ K/ 1 P c. / W-MW-1-J �\ W_�� / / 0 HH � � (EXIST) (I / H Xftai. f! W-MW-2Jf. +0. / C-3 ��i �"4� TOR WE -EXIST) WCS 1 0 '_ t WCS 2 ...Irl v � i NZ 0 n WCS 4 _ a■ w1,1, LU W ® _� m �� w in 7v �•► o a , _1 .� I o O � >. ce ._vM i w. 1 '` oO _< al, g • VV-6 • 0 m %NOT EXIST) 1U triS . • ! 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N IN N Cl Cl 011 Cl O r N N O a a `"1 `1 N \ a .N-1 'C -C •0 77 U Cl ,O ,n .-1a .•1 -D .--1 'O C ro c 00 00 00 11)? CU '0 G1 ?N G?! O 01.� N 7J 6i N 0, N ._ N O .!1 1-' 1i LL LL 3 3 3 T F- LL 3 3 f- f- H 3 LL 3 2 C O T T T V, N N T T T N N N T '� m 10 (0 10 >. >. T (0 CO ro T 5- T T `5- 5- T T T (0 T -0 10 'O 10 .0 o 'O •o 17 a7 o co ro to (0 10 (0 co 0 10 O -0 m m m 17 -o -0 o 0 o -o -o 13 •v v •o -o 13 -a v -o O r4 N N N N N N 1-1 10 t0 .•, V1 .4 N .-1 01 4-1 N m .1 11 • ., • n 2 O C C (0 0 U Oj u c C -•Z mro a cc O N co N u1 N U Lel v, u1 O Ll. H > W r 01 O V C d T IY u C v, U 'D 1n Q < O a - oC0 a CU E E c -o c c t _ ° n E '47, N E COCO £ `mo o 0 i- a) aa)i m° L W c O c pC u a a oo U 0 roo 2 a a o ¢ c CO 1i = ac a oc c a C; c3 p c m o m D o`- a, a a v > .) a`, E 0 3 j O �. (0 o 'j 0 o a in n E 2 -Q c c a V o, 4 v m CU 3 r v to C co 1! Y m c 0) c C C 3 E > a 7 c + C m D U c 3 1 O o (.- a co 4) '> u. O j N `- ' s a a V U V1 '> a ( a N U ¢ U . d T C O. v, a0 '? fl. W ar N v a) 1- icc o a) a 0 Q V 'O .O m O •C a r\1 0c -0L. Cfa a3 c 40 C _ aJ CO -a cc OQ .a !o a o. Lo v o0 43 as a a a) m N CO .r1 m OC - •n C W a C ` O T a) 0)) a a a0 E O (0 V1 0 Q) iL c. a ^ a v O a a` 2 a`, 0 a a a u CO v_, a '( (l"0 l07 .=1 n (Cv o c `m 1co ¢ (Co C a. O 0 of N N'1 a (0 m 10 O of, U- it .D 0 171 s 0 1-' m Y Y m N 22 Q m m m m 2 Y CO K CO CO Y v1 V ., ry m Q ul l0 f. 00 Ql ti i N M Cl. m a n co Cl O ,-i. N O0 r I ,r-1 .1 a ri N a N N N N _ I c I I1A1 v 3 Ty N' d) c, V m i I V CV C Em' 'm i Q. ‘41_ gh 0: 01 N. tiO W 13 _cc riCO C> 17 10 u-, Q) N co Y 7 CO Y U O o0 E `" op E ro X 16. ,0 o N V 4 U. O N N r/ N 01 3 C 7 LI: F— I— G O N IN el N _ i m C t ; p W • i2 3 vv• , v, O co N p-0 i O IN a i w a OA \ \ • Y U 0 C C m \ \ % u • \ '.H C � Q Q u u ; 5 0 w E i.t ,o I m I Z Y C F0 u 1tA ry 1611A1 a ' a - NI u H ra C E a 1 UA 0 a g 00 N ri 7 *Lrt1. m 5' -a 41 C m m Cu s .yc CCI V cr. Q \ E E f0 m a ., v 4-1 0 O C 0) N fJ CCC tJ' nr • I k W Oi { y ryl f h N'. a,1 F rv. di NI N _111 A 0111 L___ — , . 1 6 1 1 A 1 Q., ...... , = ,. CI1 'es:i -,C 0 Ill CO C al .— .-._ E N = W 5... Ca. V/ 0 in, M N al ° t$ ITS Ci l0 (0 r, ,-.., Z ...Y Z CO -Nt cn U r, o E - E , co I 1- (0 ,-,4 01 .-1 01 C.) ...... .--i• 0 N 0 nt co , 4, N ....,,._....! N. .--1: N. $ r, \ ---$-; r4 I I ,..r; -, \ w; --. ,-. q-, cr, .--1; o; r4 ,.... la;---- E r, ...., w c:1 •,:r' , \ --..... 1 \ s, ....4i ..-1. .._. -. 1611A1 Cedar Hammock CDD Lake Bulkhead and Bridge Replacement and Repair Project Bid Package for 2020 Project KIPP SCHULTIES G O L F D E S 1 G N • I N C J I6IlA1 Cedar Hammock CDD Bid Package Table of Contents 1) Introduction 2) Contractor Instruction for Bidding 3) Bid Forms for Golf Course Construction a) Bid Schedule Form b) Supplemental Bid Form c) Subcontractor Form 4) Technical Specifications for Golf Course Construction a) Technical Specifications b) Construction Detail Sheets 5) Irrigation(provided separately by TBD) 6) Plan Documents(provided separately by Kipp Schulties Golf Design) 7) Supplemental Information a) Bathymetric Surveys(Existing Lake Topography-pending) b) Controlled Water Elevation Information(pending) c) Sample Contech Culvert Pipe Detail(from countryside) 161141 ntroduCti0h1 Cedar Hammock Golf & Country Club Naples, FL 1611A1 Cedar Hammock CDD Project Introduction The documents following this letter of introduction describe the planned scope of work at Cedar Hammock Golf&Country Club on behalf of the Cedar Hammock CDD beginning in the spring of 2020. Included herein as part of the bid package are contractor instructions,bidding forms,technical specifications,construction details and supplemental information. Information not included within this bid package that will be used a part of the contract are the AIA General Conditions and the AIA Standard Form of Agreement between Owner and Contractor. In general terms,the scope of work consists of the replacement of all the wood bridges and wood bulkheads throughout the course. The features will be replaced with a combination of stacked rock walls,rock wall culverts,rip rap and land bridges. Included with this is the renovation and/or replacement of the two wood bridges behind#9 and# 18 greens. Upon completion of the rock and bridge work,select parts of the golf course will need to be restored including concrete cart paths,sand bunkers(hole#4),tees(holes 5,7,10 and 16)and some grassed areas. Bids are due before 2:00 pm on Tuesday November 19,2019. A pre-bid meeting will be held at the Cedar Hammock Golf&Country Club clubhouse on Wednesday October 30, 2019 at 2:00 pm. We expect the meeting to last about 45-60 minutes and then contractors will be allowed to take carts out to review the property. We thank you for your interest in this project. Kipp Schulties Golf Course Architect 1611A1 Instruction to Bidders Cedar Hammock Golf& Country Club Naples, FL 1611A1 INSTRUCTION TO BIDDERS Cedar Hammock CDD GENERAL INFORMATION described A. Sealed bids for the award of a contract for furnishing the materials and labor below shall be delivered to Mr.Sam Marshall, ect 33966g(Teneer phone EnBanks Engineering for — overnight mail: 10511 Six Mile Cypress Parkway Fort Myers, FLf November 2019. Bids shall 239.939.5490)before 2:00 PM on Tuesday the 19`b daaiocom after 2:00 PM and also be e-mailed to Kipp Schulties at kschulties@gm before 5:00 PM on November 19, 2019. B. The project covered by this Invitation to Bid is identified as the Cedar Hammock CDD. A general description of the labor and material to be furnished is described in the attache d C. specifications and bid schedules. D. All bids are subject to the following: i. Invitation to Bid. ies upon request). 2. AIA General Conditions version A107-2017(cop Schulties 3. Plan Documents and Specifications will be on file at the office of Kipp Golf Design. 4. Such other provisions, representations, certifications, and specifications as are attached hereto or incorporated in any of the documents hereto by rence. E. Explanation of Bid Requirements Any explanation desired by the Bidder regarding the meaning of interpretation of the Invitation to Bid must be requested early enough as to provide sufficient time for reply to reach all bidders before the submission of their bids. Or explanations or instructions given Anyrmation given to a prospective before the award of the contract will not be binding• ective bidders as an amendment bidder concerning a solicitation will be furnished to all pr ation is necessary>n submitting bids or if the lack of of the Invitation to Bid,if suchal to uninformed bidders. such information would be prejudicial 1 1611A1 F. Site Visitation It is mandatory that all contractors inspect the site prior to the delivery of Bid Proposals to familiarize themselves as to the existing conditions and all requirements concerning the project. Neither additional compensation nor relief from obligations of the contract will be granted because of a lack of knowledge of the site or the conditions under which the work will be accomplished. G. Pre-Bid Meeting A pre-bid meeting will be held Wednesday October 30, 2019 at 2:00 pm at the Cedar Hammock clubhouse. Kipp Schulties (Golf Course Designer), Justi Faircloth (Cedar Hammock CDD), Sam Marshall(Project Engineer),and Jim Kurtzeborn(Cedar Hammock General Manager) amongst others will be present at the meeting to provide information about the project and the bid package and to answer questions. II PREPARATION OF BID. A. Attached herewith are proposal forms identified as the following: • BIDDING SCHEDULE FORM • SUPPLEMENTAL BID FORM • SUB CONTRACTOR FORM • IRRRIGATION BID SCHEDULE FORM B. Submit all bids on the pages of said Proposal Forms and retain copies for yourself. Be sure that each of the forms identified in paragraph"A"above is included in your bid package. C. All blank spaces in the proposal form must be filled in correctly. No change shall be made in the phraseology of the proposal,nor shall any additions be made to the items. D. On the bidding schedule of the proposal form,the unit prices shall be written clearly in ink, typed or computer generated. All forms(developed in MS Excel and MS Word)will be e- mailed to bidding contractors shortly after the pre-bid meeting for use in bid submittal. E. The bidder shall sign on the bidding schedule sheet of the proposal form where indicated. 2 1611A1 F. When a corporation makes a proposal,it shall be properly executed by an authorized officer. When a proposal is made by a partnership, the firm name and also the names of the individual members shall be signed in full. G. Anyone signing a proposal as the agent of another,or others,must file with it legal evidence of his authority to do so. H. Erasures. The bid submitted must not contain any erasures, interlineation or other corrections unless each such correction is suitably authenticated by affixing in the margin immediately opposite the correction the surname or surnames of the person or persons signing the bid. Bids must be enclosed in a sealed envelope and marked: Bid for Cedar Hammock CDD J. Bids should then be placed in a second envelope or package a k g 1 Six and add Mile Cydressed to Mr. Sam o way Marshall, Project Engineer @ Banks Engineering— Fort Myers,FL at 33bi d (Telephoneasst herein.overnight No one1l: 239.939.5490) and affiliated with this projects isobligated enough to be at the bid opening of the reason for to open any bids delivered after the time set for the bid opening regardless late delivery. K. Copies of the following documents shall be sent or e-mailed to Kipp Schulties by the time that bids are due: The Bid Schedule Supplemental Bid Form Sub-Contractor Form Please send via e-mail as an attachment to Kipp Schulties at kschulties v ail.eom 3 1611A1 Ill. RULES GOVERNING BIDS. A. Any bid received after the scheduled closing time for receipt of bids will be returned to the bidder unopened. B. Bidders are warned that they must inform themselves of the character of work to be performed under this contract. It is recommended that each bidder visit the site of the proposed work and fully acquaint himself with the conditions relating to the construction and labor so that he may fully understand the facilities,difficulties,and restrictions attending the execution of the work under the Agreement. Bidders shall thoroughly examine and be familiar with the contract terms,plans and the specifications. The failure or omission of any bidder to receive or examine any form,instrument,addendum or other document or to visit the site and acquaint himself with the conditions there existing shall in no wise relieve any bidder from obligations with respect to his bid or to the Agreement. The submission of a bid shall be taken as prima facie evidence of compliance with this section. C. Changes in or additions to the bid form, recapitulations of the work bid upon, alternative proposals, of any other modification of the bid form which is not specifically called for in the contract documents may result in the Owner's rejection of the bid as not being responsive to the invitation. D. Kipp Schulties Golf Design and/or the Cedar Hammock CDD reserve the right to reject any and all proposals,and to waive any informality in the proposal received. E. Transfers of contract,or of interests in contract,are prohibited. F. If a bidder to whom an award is made fails or refuses to enter into contract as herein provided, or to conform to any of the stipulated requirements in connection therewith, an award may be made to the bidder whose proposal is next most acceptable in the opinion of said Owner;and such bidder shall fulfill every stipulation embraced herein as if he were the party to whom the first award was made. IV. GENERAL REQUIREMENTS A. All bidders shall be properly licensed by the Florida State Commission of Business Regulations, Department of Contractors, to do the type of work required under this agreement,and in accordance with current Florida State Law. He shall present satisfactory evidence that he is fully prepared with the necessary finance, equipment, materials and personnel and that he has been regularly engaged in the type of work being let for bid,to the full satisfaction of Kipp Schulties Golf Design and Cedar Hammock CDD. Bids received from those not qualified as above,at the time of bidding,maybe rejected. B. All proposals shall be made and received with the express understanding that the bidder accepts the terms and conditions contained in the form of contract bound herewith. 4 1611A 1 V. FORMS ATTACHED HERETO TO BE SUBMITTED WITH BID A. Bidding Schedule B. Supplemental Bid Form C. Sub Contractor Form D. Irrigation Bid Schedule VI. FORMS AND ATTACHMENTS INCLUDED WITH THIS BID PACKAGE ATTACHED HERETO WHICH WILL BE A PART OF THE CONTRACT A. Bidding Schedule B. AIA General Conditions version A107-2017(copies upon request) C. Supplemental Bid Form D. Irrigation Bid Form VII FORMS NOT INCLUDED HERETO BUT TO BE SUBMITTED WITH BID A. Project Construction Schedule B. Certificates of Insurance 5 1611A1 Bid Forms Bidding Schedule Form Supplemental Bid Form Subcontractor Form Cedar Hammock Golf& Country Club Naples, FL 1 6 1 1 A 1 PROPOSAL FORM BIDDING SCHEDULE FORM Updated;September 24,2019 Cedar Hammock CDD CONTRACTOR: Name of signing Principle BIDDING CONTRA Company Name Unit Price Unit Total Price Quanti Item# Line Item 1 LS ---- 1 Mobilization 2 Erosion Control-Turbidity Barrier100 locations) 100 LF $ $ $ (50 feeet of banter installed at property 400 LF 3 Erosion Control-Silt Fencing(instars and remove) S (select preserve areas) 10 AC $ _ 4 Grass Stripping and Burial an s matter $ (cut to apex 4"inch-remove grass,root mass and org 2 600 LF $ 5 concrete Path Removal $ 5 (disposed on site in lake fill areas) 3,020 LF 6 Wood Bulkhead Wall Removal $ $ (Disposed in mass fill areas-not under feature areas) 537 LF 7 Wood Bridge Removal(dispose off site) $ $ (holes#4,5,7,10) 8 Wood Bridge Removal(dispose off site) 775 LF $ $ (holes#9 and#18) pending) 1 LS 9 Mass Clearing(per tree impact plan-p g $ (Chipped and spread amongst nearby trees) 1 LS $ 10 Tree Transplantation $ (per tree impact plan-pending) 1 LS $ 11 De Watering $ $ (lakes on holes 4,5.16 and rock culverts on holes 7 end 10) 13 500 CY 12 Earthmoving(non-sold rock excavation) 5 (move material 1,500 feet or less) 7,000 CY $ 13 Earthmoving(Rock Excavation) $ (lake fill in front of#17 green) 22,500 SF $ 14 Tee Construction(laser leveled) $ $ (capped with 4"of clean sand) le Sand) 5,000 SF 15 Sand Bunkers(Washed G-Angle $ (includes drainage,edging and sand) 5,000 SF 16 Bunker Solutions Bunker Liner $ 1 LS 17 Shaping $ $ 18 Dry Stacked Cap Rock Walls 18,100 SF $ (rocks 4-5 feet wide and 12-24 inches thick) 775 LF $ 19 Wood Bridges 5 5 (holes#9 end#18) 400 LF 20 4"Solid N-12 Smoothwall Pipe $ $ (from greens,bunkers and small drainage areas as needed) 2 000 LF 21 6"Solid N-12 Smoothwalt Pipe 5 $ (drains from catch basins to relief point) 1,000 LF 22 8"Solid N-12 Smoothwall Pipe (drains from catch basin to relief point) 1611A1 Page 2 BIDDING SCHEDULE FORM Cedar Hammock CDD Quanti Unit Price Unit Total Price Item# Line Item 8 CT $ $ 23 8"Round Catch Basin $ (with metal grate) 6 CT $ 44 12"Round Catch Basin $ (with metal grate) 12 CT $ 25 12"Square Cart Path Catch Basins $ (with metal grate) 5 CT 26 Contech Pipe Installation (CDD buys pipe) TBD $ TBD (12'x 7'elliptical pipe-20 feet in length to replace bridges) 1 LS $ 27 Irrigation System $ 77,500 SF $ 28 Rip Rap Installation under rock walls and wood bulkhead replacement 1 LS $ 29 Surveying(for permit closure) $ (modified lake slopes,storm pipes,bulkheads) 2700 LF $ 30 Concrete Cart Paths(Broom finish) $ (8'wide) 2,000 LF 31 Concrete Rolled curbing(broom finish) $ (rolled curbing 4"tall and 8 inches wide) 8 AC $ 32 Grassing Preparation $ (smooth fairways and roughs before planting) 22,500 SF 33 Grassing Tees(Celebration sprigs) $ (30 Georgia BU 1 1,000 SF) 175,000 SF $ 34 Celebration Sod $ (tee,green,bunker and lake slopes) 1 LS $ 35 Travel Route Restoration $ TOTAL 1611A1 Page 3 BIDDING SCHEDULE FORM Cedar Hammock CDD Bid Alternates Item# Line Item Quantity Unit Price/Unit Total Price Al 30"RCP Extension 80 LF $ $ (extend two 30"pipes on hole#16) A2 36"Solid N-12 Smoothwall Pipe 300 LF $ $ (lake equalizer pipes under possible land bridges) A3 Dry Stacked Rock Walls 18,100 SF $ $ (owner purchases and supplies the rock) A4 4"Perforated N-12 Smoothwall Pipe 500 LF $ $ (isolated wet spots after construction) A5 Performance Bonding 1 LS $ $ AB St.Augustine Sod 35,000 SF $ $ A7 Bahia Sod 25,000 SF $ $ I6I1A1 PROPOSAL FORM: Updated September 23,2019 SUPPLEMENTAL BID FORM Cedar Hammock Golf& Country Club A. This supplemental bid form and the bidding schedule form are part of the general plans and specifications for this project. supplemental bid form must be filled in completely,providing all requested information B. This supp Owner. and be fully executed before it will be considered by t ll be based on the C. Owner selection of the Contractor to receive fhe or even primarily on which coniractoOr'base evaluation of the overall bid and not necessarily factors in selecting a Contractor: bid price is lowest. The Owner will weigh the following 1. The base bid price(contained in the bidding schedule form). 2. The Contractor's bid identifying time for completion(see paragraph I hereof). 3. The Contractor's bid for liquidated damages(see paraa gr ph J hereof). 4. The other information on the balance of this supplemental and original bid form. agrees to a prompt completion date and who is willing to Example:idareasonableA liquidated contractor who damages amount as a per diem assessment,but whose to bid a liquidated be considered superior to another base bid is higher than another contractor may contractor's lower base bid, wheresaid dam bassbid also oeprotracts the date of completion and contains a lower liquidated D. Schedule. Contractor shall furnish as part of the bid a construction schedule for completion of the work in bar chart form. The schedule must identify each line item of work and the beginning and completion dates of such work and including completion of the total work. and ctor, to furnish all terials F Contractor nt proposes,er o if seallected as general for the Cedar Hammock CDD Project in strictconformity equipment and perform all worklaws, statues, with the plans, specifications, and all Contract Documents therefor and authority laws, statues, ting ordinances, rules, or regulations of any governmental agency public thereto. 1 1611A1 SUPPLEMENTAL BID FORM—Page 2 F. By submitting this bid, Contractor certifies that it has carefully examined the plans, specifications, bid form documents (including the instructions to bidders), construction contract documents and all addenda to the construction documents and to the plans and specifications and agrees to be bound by the terms and conditions of all of these documents. G. Contractor states that it has visited the job site and has examined all conditions affecting the proposed work and determined to Contractor's own satisfaction that all conditions or limitations that exist or which may arise affecting said projects and all difficulties that may be encountered in the construction of said project have been taken into consideration by Contractor. Contractor is making this bid on the basis of such examination, inspection, determination and not on the basis of any representation or promise made to Contractor by the owner,by the architect,by the engineer,by the designer,or by any other agent of owner, architect, engineer, or of the designer, and not contained in the plans and specifications for said project or in the documents listed above in connection with the project. H. Contractor agrees, upon notice of an award of the contract to deliver, within seven (7) calendar days,an executed contract for construction and to furnish the necessary bonding as required for the construction project. Time for Completion Contractor agrees to complete said project within calendar days, including Saturdays, Sundays, and legal holidays after commencement of actual work thereon unless delayed by any causes allowed in the construction document. For the purpose of this form,the date to commence construction activities shall be Monday March 9,2020. J. Liquidated Damages Contractor agrees that the sum of$ per day including weekends and legal holidays shall be allowed as liquidated damages and credited to the owner against the monies owing the Contractor at the time any liquidated damages being to accrue. Should the total liquidated damages which have accrued upon completion of the project exceed the amount of monies owing the Contractor at the time damages begin to accrue, the Contractor shall reimburse to the Owner the difference between the total liquidated damages and the monies owing the Contractor on the balance of the contract price. This liquidated damages portion of the contract bid has been made, by Contractor taking into consideration the time of completion identified in the preceding paragraph. DATE CONTRACTOR 2 1611A1 CEDAR HAMMOCK PROPOSAL FORM SUBCONTRACTOR FORM Cedar Hammock Golf&Country Club BIDDING CONTRACI'OR: Company Name(General Contractor) All General Contractors are required to list any and all subcontractors that will be working on their behalf Company: Contact Information: Subcontractor(formal name of company) Contact Address Phone Type of Work Subcontractor(formal name of company) Contact Address Phone Type of Work Subcontractor(formal name of company) Contact Address Phone Type of Work 1 6 I 1 A 1 CEDAR HAMMOCK Eaggi SUBCONTRACTOR FORM Contact=tion Co�an�� Contact Subcontractor(formal name of company) Address Phone Type of Work -----__------ Subcontractor �--- Contact Subco (formal name of company) Address Phone Type of Work __----_----- Subcontractor(formal name of company) Contact Address Phone Type of Work 1611A1 Technical Specifications Cedar Hammock Golf& Country Club Naples, FL 1611A1 CEDAR HAMMOCK CDD TECHNICAL SPECIFICATIONS FOR 2020 GOLF COURSE PROJECT KIPP SCHULTIES G O I F DESIGN • INC Document Update: September 24,2019 -1 1611A1 Technical Specifications I. SURVEYS AND LAYOUT OF WORK The Owner,where applicable,is responsible for original property boundary survey,master elevation benchmark establishment, original topographic information, golf course boundary survey, and any survey of changes in circumstances created by an Owner related action. The Owner shall make available to the Contractor all data pertinent to the aforementioned information and assist the Contractor should substantial changes occur in the scope or location of work at no fault of the Contractor. The Contractor,otherwise,will be responsible for maintaining all the original or revised elevations and survey information and locations as established by the Owner or his consultants.The cost of any additional survey work caused by contractor negligence or non-maintenance of the original or revised staking is the obligation of the Contractor(s). The Contractor shall, at their sole expense, immediately re-establish all survey information damaged or lost at the site regardless of the reason or cause of loss,including vandalism. Wetlands and preserve areas do exist around many parts of the Cedar Hammock golf course However, currently, we are not aware of any wetlands and/or preserve areas existing within the boundaries of this project's work limits within the golf course. If any are located, they shall be preserved and protected and will be shown either on the on the plans and/or flagged on the site by the Owner or his representative in the field.It is the responsibility of the contractor to provide adequate protection and exercise extreme caution when working adjacent to any wetlands or preserves. If any questions should arise regarding the extent and location of the delineated wetlands prior to or during construction of the golf course,the Contractor must consult with the Owner prior to proceeding with the work. Should the Contractor or any of its subcontractors or agents encroach into or cause any damage to the delineated wetlands or preserves,the Contractor or his subcontractor or agents will be responsible for all fines,penalties,restoration and legal action caused by the encroachment and/or damage into the delineated wetlands or preserves. The Contractor shall ask for copies of the Florida Department of Environmental Protection (or equivalent governing organization)permits(if available)prior to proceeding with the work,to satisfy its obligation of acknowledging the fact that the necessary permits have been issued. -2 ! 611A1 II. MOBILIZATION A. General This work consists of mobilizing the necessary resources such as labor,equipment,and materials to begin the golf course construction process. In particular,it includes the immediate transportation of personnel and equipment to the site,the establishment of construction site headquarters and storage facilities,and all other necessary requirements prior to actual construction activities. B. Erosion Control all necessary erosion control measures to satisfy all local, The Contractorndfderis responsible rbfor providing state and federal agency requirements. The erosion control will be provided at Contractor's expense. construction shall control any erosion from entering adjacent watersheds andThe weratersionways yscoandtrol during or silt and waterways and the siltationbarriers, or The structureol structures be determined consist outlined by the fences, check dams, turbidity equivalent governing permit issued by the Florida Department of Environmental Protection erosionocontrol measures organization). The Contractor will be responsible for maintaining the Owner.It will be the allf during the construction of the project. ThunContractor less otherwisewill instructedbyo be responsible for removing erosion control structures after construction damaged erosion control devices until theg Contractor's responsibility to repair or replace any course is under the care of the Owner. sole responsibility of the maintain erosion control measures and any resulting consequences shall be III. CLEARING,GRUBBING &DISPOSAL OF ON-SITE MATERIALS the and grubbing of The work covered by this section of the Specifications disposal of all vegetation,trees down timber,brush, g other man, made golf course. This shall include the satisfactory p foundations, any projecting roots, stumps, lapwood, rubbish, debris,buildings, or golf onsor proper e on products or any objectionable material within the clearing grubbing shall asindicatedbe done in the plans and/or those areas designated by the Designer. Clearing and and subject n o strict accordance with this section of the Specifications and the applicable drawings the terms and conditions of the contract regarding In all respects, the contractor will follow the Owner and Designer's direction and plans clearing and limits of work. A. Types of Clearing(Trees) Typically,limits of clearing or trees to be orange ribbon or marked with orange paint. Trees to be kept within The Designer will mark the trees to be cleared in the field. cleared will be bemaand edh withgreennotherephase of these limits will be marked ribbon. The ribbon during�clearingo impactang area within the drip line of a tree marked to remain with green -3 I 6 1 1 A 1 construction without Designer and Owner approval. The Contractor may be asked to put orange construction fencing around trees of significant stature in order to minimize conflict. B. Limits of Work It is important that no areas be disturbed outside the clearing and work area limits. These limits including wetland or preserve delineation shall also be designated as the limits of work. All equipment traffic shall be maintained within these limits, unless the Owner or Designer approves alternate routes. s roots, The areas designated herein shall be cleared and grubbed of all grass,weeds,trees, stump er. All bushes, vines, hedgerows and other obstructions unless otherwise ix specified e t i�e original unsound or decayed stumps shall be removed to a depth of thirty- (36)inches below ground and all substantial roots that are 3 inches in diameter and greater removed to a depth of twelve (12) inches. No stumps or other growth will remain under any fill area, unless otherwise designated and approved by the Designer. Disposal of all grass,weeds,trees,branches, snags,brush, stumps,etc. resulting from the clearing and grubbingfor disposal. All bbin shall be the responsibility ofthe Con Ownerwilland shall be eadeposed)of by buryingpor chipping on-site,wn with er conforms of the cleared and grubbed materials shall become the costs in connection with disposal of the materials will be at the Contractor's expense. All liability of e any nature resulting from the disposal will responsibility of the Contractor. The disposal of all materials cleared and grubbed all in bein accordance with all laws of the city,county,state or federal government. feet f non- play areas, as identified by the Owner and the Designer with a minimum cover of three(3) compacted fill over the burial pit. d as directed Fences,hedgerows,structures and other obstructions b clee earing and grubbing�unlesO° er'h'Se wner and hDesigner. the cost of such work shall be included the price bid fo shown on the plans or directed by When trees of exceptional aesthetic quality,form,soundness,and/or value are located in the area to be ben cleared,the or or is to inspect timedten theg construction the Designerether or not hey may designate certain and protected removed. any trees to be removed or to be retained. -4 1611A1 C. Existing Plant Protection applicable, will be saved, except those marked specifically to be All plants on the site, where removed on the plans or those marked on the site by the Owner and Designer during from No plants,either those marked for removal on the site or any Oother plants, may be County removedofm theatory site prior to the Owner and Designer's inspection and appto Collierho rootsand otherto theirfoliage agencies. All plants not to be removed will be protecteduir► from �trenching,pruning or storage of to a distance of three(3)feet beyond the drip- materials may go on in this area,except as approved by the Owner and Designer. The Contractor will pay a penalty for any plant removed from the site that has not specficallllya been dies mate damage on the site by the Designer for removal. The Contractor will also pay for any plant during construction. This applies to all plants shown on the plans and all plants on the site that may not be shown on the plans. The Contractor will be held accountable for damage to plants and wetlands resulting from placement of fill or removal of soil, except as directed by the Owner and Designer. Any plant,the trunk of which is thehn ten(10) feet from any footing, shall be exempt from these penalties as established below,in event that he or any of his subcontractors cause loss or demerornan of plants designated to be saved under the provisions of the Agreement. Thepenalty Arborist Association or Collier County. The Designer or the Owner's arborist consultant as to variety, condition, and site importance will grade plants with the American Arborist Association's figures acting as maximum penalties. ain the Prior to grubbing any designated area within the golf course,the Contractor shall scertin the adjacent ts of the golf course so as not to remove any trees or vegetation that may be loca edproperty. This responsibility shall rest solely with the Contractor and any restoration and,idby him as a result of such negligence shall be at his own responsibility including of this including y fines, penalties or legal action. The Contractor must confine the operation occurring tooutside within the golf course limits, easements and approved haul roads. Any damage these areas shall be repaired at the Contractor's expense. The responsibility for the removal of trees by the Contractor shall end upon final acceptance of the golf course by the Owner,unless otherwise directed by the Designer and Owner. D. Grass Eradication Completed by Owner -5 1 6 1 1 A 1 IV. EARTHMOVING A. Excavation 1. Unclassified Excavation for the golf course will follow the plans and/or field direction provided by the Designer. The plans have been developed to balance the excavation and fill requirements for the golf course as closely as possible less any planned imported material, but it is the Contractor's responsibility to check and verify, to his satisfaction, the accuracy of the balance. If there are no discrepancies reported to the Designer or the Owner prior to the completion of bidding of the project (before signing a contract with the Owner), it will therefore be concluded that the Contractor accepts the plans and will provide for any additional excavation or fill necessary,within reason,to establish the elevations,contours,shapes and appearances shown on the plans or as directed by the Designer. The Owner,through the Designer, reserves the right to modify any proposed grades or locations for the greens, tees, bunkers, mounds, swells, and any other golf course features and to react to field conditions or to enhance the character of the golf course. Excavated material for the construction of the golf course, especially the features,including greens, tees, bunkers, mounds, and any other golf course features, will be suitable for golf course construction purposes and will be reasonably free of rock or any other components detrimental to the construction of the golf course and ultimately the establishment of ideal turf quality. Should excavated material from off-site be necessary to establish the elevations and contours shown on the plans,the additional excavated materials will be suitable for golf course construction purposes and will be free of muck,rock,or any components detrimental to the construction of the golf course. Should the Contractor identify any questionable or unsuitable material during excavation, this material shall be brought to the attention of the Owner and Designer prior to being placed on the golf course. 2. Lake Site Excavation Lake excavation and the lake outline shall carefully follow the plans, since the lakes add aesthetic beauty as well as a source for excavation material and water storage to the golf course. The Contractor will follow the Owner's, Designer's and/or Engineer's instructions, designs, and specifications for the construction of dams, embankments, overflows, liners, intake and outlet structures and any other items designed by the Engineer. All lake banks, both above and below water levels,shall not be greater(steeper)than a 4:1 slope unless otherwise directed by the Owner or his Engineer or as required by law or governing authorities. It is the responsibility of the Contractor to ensure that he is complying with all local,state and Federal regulations for the construction of any impoundment areas and associated structures. -6 1 6 1 1 A 1 3. Borrow Excavation Should any borrow excavation areas become necessary to generate additional fill material within the confines of the golf course, the Contractor shall request and receive written permission from the Owner prior to location and commencement of any work. Should borrow sites become necessary outside the golf course construction limits, copies of a written agreement with the Owner of the property on which the borrow sites are located will be furnished to the Owner prior to the importation of any off site borrow material to the Owner's property. In all instances,the excavation and maintenance of the borrow pit shall be performed in a manner consistent with all other work. The borrow pit shall be excavated in such a way that the surrounding surfaces and slopes are reasonably smooth and adequate drainage is provided over the entire area. Drainage ditches shall be provided wherever necessary for outlet of water to the nearest natural channel or lake,thus preventing the formation of pools or excess water in the pit area. A maximum slope of 4:1 shall be maintained on the pit slopes unless otherwise directed by the Owner or his Engineer. The borrow pit, at the discretion of the Designer and/or Owner, shall be cleaned and grassed in a manner consistent with the other areas of the golf course after excavation has been completed. 4. Rock Excavation The excavation of rock is expected as a part of the Cedar Ilammock CDD project. Should rock, boulders,granite or similar bedrock materials be encountered during excavation such that it cannot be removed or excavated with normal rock excavation equipment(large excavators and hoe rams), then the Contractor will immediately notify the Owner's representative and the Designer for further instructions. B. Embankment/Fill/Compaction 1. Cut and Fills Areas that are to be filled,as shown on the plans or directed by the Designer, shall be constructed with soils that are suitable for stabilized fills and for golf course construction. The embankments or fills shall be so constructed that they will not slip, slide, slump, or move from their deposited location. The fill areas shall be sufficiently compacted to 85% standard proctor compaction at+/- 2% optimum moisture content to prevent future settling or movement. The fill areas shall be constructed of materials free of stumps,logs,roots,or any other perishable,biodegradable organic or non-toxic materials. All fill areas are to be filled and rough shaped within six(6)inches of the proposed finished subgrade as shown on the plans or as indicated by the Designer during field inspection. All cut areas are to be excavated to within six(6)inches of finished subgrade. All cut and fill areas must follow closely the Designer's grading plan or Designer's direction in the field. -7 1611A1 2. Rough Shaping function and Rough shaping is considered as an extension of and inclusive in the earthmovingd a rough shaping is pricing of golf course construction. The tolerance differential for earthmovingtand forming the general plus or minus six(6)inches.Rough shaping consists of bulldozing place es,forms,contours and appearances. This work is normally performed byylf a Caterpillar D6 or D4 size tractor with a six (6) ed in the general golf course elevations etc., the Contractor will notify the Dshaping has rough in reviewed and approved prior to moving to the next Designer of his desire to have the rough p g ake step of construction activity for the given area. The Contractor is required o top ocean gfield to adjustments as directed by the Designer with appropriate Designer app the next phase of construction for that given area. C. Sand/Soil Capping The sand and/or topsoil that is used to cap the impacted golf course area shall be reasonably free from muck,rocks,heavy or stifflarger than one(1)inch in greatest dimension,weeds, clays,stones d be sticks,brush,and other deleterious matter. Specifically, particles. sand shall Enoughe less sand must be 4% generated es �l provided e shell rocclays,silts,g,lfco�e area with a minimum of twelve(12)inches over provided to cover the entire impacted fairways and six(6)inches over all rough areas. placed in convenient non-play construction area for later The sand and/or soil,if stockpiled,shall be without stockpiling for use. If the Contractor devises a plan of sand and/or soil capping for sand distribution,for immediate plan respreading on areas that have been shaped, readied and approved must be reviewed and approved by the Owner or his rep after the subgrade elevations, shaapes, Any distribution of the sand and/or soil can proceed only adatiati Sinhthe contours and appearances have been approved by the Owner or his represve. distribution is critical to providing a well-shaped and well-drained golf course, extra care must be shapes,contours and appearances that were created by prior taken to maintain all of the elevations, to the specified minimum subgrade and shaping activities. The sand must be distributed and spread depths over all areas affected by construction activities. than one The sand shall be cleaned of all stones,roots,or any debris or unacceptable material greater stone pickers,rakes,drags,or other equipment or devices which will not disturb the topsoil grade,p (1)inch in diameter. This shall be done by �or composition,and accomplish the results desired by process,no water holding pockets shall be created and the the Owner. Also, during this cleaning surface shall be smoothed to provide for good surface drainage. After the sand/soil distribution process has been completed and approved by the Owner,prescribed soil amendments,as called for by laboratory test results,can be applied prior to planting(by Owner). -8 1611A1 V. SHAPING Since the shaping of the golf course ultimately reflects the final elevations, shapes, contours and appearances of the golf course less the depth of the sand/soil capping,it is mandatory to follow the Designer's contour plan and the Designer's field adjustments. Field adjustments of the elevations, shapes, forms, contours and appearances will be part of the shaping function and is considered a normal part of golf course construction. A. Phase I Phase I shaping consists of bulldozing into place and form more exact golf course elevations,shapes, forms, contours and appearances. This work is normally performed by an intermediate sized Caterpillar D6D or D4 size tractor with a six(6)way hydraulic bulldozer. The equipment operator for this phase of shaping shall have previous golf course shaping experience and shall be approved by both the Owner and the Designer. After the Contractor has shaped the more exact golf course elevations etc.,the Contractor will notify the Designer of his desire to have the shaping reviewed and approved prior to moving to the next step of construction activity for any given area. The Contractor is required to make all field adjustments as directed by the Designer with appropriate Designer approval prior to proceeding to the next phase of construction for that given area. This phase of shaping brings the golf course to the final elevations, shapes, forms,contours and appearances less the depth of the sand capping. During this phase there will be adjustment and refinement for the enhancement of the golf course, especially for strategic and drainage purposes. The Contractor is reminded that shaping field adjustments are a normal part of a golf course construction and these adjustments will not change the shaping price. B. Phase II 1. Part I This consists of all Phase I shaping refined to the degree that it is a mirror image of the finished and grassed golf course as drawn, including field adjustments, and less the topsoil and/or sand capping. All areas are shaped and graded in a manner that there are no water holding areas. All elevations, shapes,forms, contours and appearances should tie into the existing surrounding undistributed land as to simulate that the new golf course has always been part of the natural landscape. -9 1 6 I 1 A 1 2. Part 2 Consists of providing the same process and results after the distribution of the topsoil and/or sand capping. The work described in Part 2 is normally performed with a small Caterpillar D-4 or John Deere 650 tractor with a six(6)way hydraulic blade accompanied by a 45 HP industrial tractor with a box blade or leveling blade. As the Contractor was previously alerted to the experience level necessary for the equipment operator for golf course shaping,the same is mandatory for final or finish shaping. Shaping for the greens, tees and bunkers shall be consistent with all other shaping,but it must be remembered that no soil will be spread on the putting surfaces. Additional construction activities performed on the tees and bunkers are fully described in the Features Construction section of these specifications. If any shaped golf course area or feature is disturbed by any other construction activity,weather,etc., including additional golf course construction,the disturbed areas will be reshaped to conform to the original shaped and approved forms. VI. DRAINAGE A. Golf Course Drainage Field drainage must drain to retention areas shown on the plans or as directed by Designer. Retention areas are designed to filter runoff water during percolation to the water table;elevations of the retention areas are critical in meeting regulatory guidelines as well as maintaining a functional drainage system. Surface drainage in all playable areas shall strictly follow the Designer's plans or field direction and shall be shaped to a minimum of 2%to catch basins,lakes,streams, or any other relief point. Any playable areas defined as fairways and maintained roughs, which are less than 2% will be the Contractor's responsibility to assure proper drainage slopes before or after grassing. Any adjustments after grassing will be at the Contractor's expense to put any impacted areas back together. All vertical drainage pipes, those connecting the subsurface (horizontal) N-12 piping to the catch basin at the surface,shall be perforated. This pipe shall be surrounded by a minimum of one-foot (width) of pea gravel or equivalent and capped with four (4) inches of sand at the surface. Catch basin detail sheets follow these technical specifications. On occasion,and primarily due to soil conditions,some areas cannot surface drain properly and will require localized field drainage or French drainage. The Designer and or Owner,if necessary,will select the location for this type of drainage,after the completion of the final shaping. -10 1611A1 All drainage pipes that serve to relieve water to lakes shall have the outlet pointn (end of pipe) a minimum of one(1)foot below normal(not high)water level so that the pipe is from seen romp the to golf course. All drainage pipes shall have a continuous positive fall in gra relief point. All horizontal drainage pipes under the surfaceotentmiall harm the stability of the imum of one foot of clean fill cover that is free from large rocks,sticks,or other debris that p pipe under pressure. In order to locate underground drainage pipe at a later date,with the use of a metal dwrtcttor,a 1.628 same millimeter 14 Gauge direct burial wire must be placed alongside the drainage pipe trench as the pipe. This includes all pipes extending from bunkers,catch basins,French drainage or any other feature or drainage component. e basins that are installed as part of this project shall be no The finished grate elevation on drainage ag es to which the less than two and one half feet above to the installed less olled water elevation of the 2 5 feet above controlled water basins ��, Any basin that is foundIf r has any elevation shall be the contractor's responsibilityishou d be brought to the attention of the Desgner prior question as to the elevation of a basin then to installation. B. Storm Drainage See Owner or Owner's Engineer. VII. FEATURES CONSTRUCTION A. Tee Construction Tees shall be built to follow the Designer's Tontfurther ensure Plan or that eald ch instruction iso to ated insure t the tee the to possiblebest orins and size blend intoj natural terrain. may be necessary. Therefore,the designer reserves the right location,field adjustments may make field adjustments relative to tee locations after the tees have been surveyed and staked perp an and before tee construction has begun• matter if the tees Tees shall be capped with a minimum of at least four(4)inches of clean sand(nomaterial, es capped with greens mix). If the subgrade is a non-sandy paths at are cappedusuwith"native"sand dor pitched at the subsurface should be pitched away from high-traffic areas,from other tees,and from cart prior to sand capping. Finished surface grades on all tees will beDesigner.d a one-half of one percenttraffic areas unless otherwise directed by at one-half percent (0.5%) away from walkinglaser leveled and approved by designer. Prior to grassing,the tee surface shall be compacted, -11 1 6 1 1 A 1 The tee should always line the player up with the desired line of play. This being said, and unless otherwise directed by the Designer,tees should be built roughly square such that they front edge of the tee is exactly perpendicular with the line of flight. This line of flight will be determined by the turn point in the fairway at which a stake shall be placed 800 LF off the center of the back tee to the ideal target or turn point(the stake). When the tee is edged just prior to sod installation, the club requests that the front and back ends of the tees be a smooth continuous arc while the sides of each tee remaining exactly parallel to the intended shot line. The designer shall make adjustments at any time to tees that are less than minimal width or are not lined up properly. The minimal width of any tee shall be 30 feet so that the tees may be maintained properly by riding equipment. The Designer and Owner shall approve any tee that is not at least 30 feet wide and 30 feet long before grassing. Please see the tee detail sheet at the end of these specifications for more information. B. Bunker Construction 1. General All bunkers shall closely follow the size, shape, and depth indicated on the Drawings or provided during field direction. Should there be any questions concerning the degree or depths of slope on any portion of the bunkers,immediately consult with the Designer. All bunkers will be shaped so that there are no water holding areas and all bunkers must have positive surface and subsurface drainage to eliminate any casual water. All slopes shall be constructed so that maintenance can be accomplished with normal golf course mowing equipment. The sand/grass relationship will be defined and marked by the Designer in the field. The clear visibility of the bunkers is stressed to the Contractor. Upon the Designer's comfort level with the Contractor's shapers,the shapers may be given the freedom to make features more dramatic than are shown on the plans in order to make the features as visible as is necessary. The Contractor will be responsible for the edging of the bunkers along with bunker sand installation. All bunkers will have subsurface drainage unless otherwise directed by the Designer. Drainage trenches for all bunkers shall extend into the low area of each bunker lobe or as directed by the Designer. The trenches shall be a minimum of 8" in width by a minimum of 14" in depth, the bottom of which shall produce a consistent positive fall in grade to the relief point.Washed gravel of 1/4"to 3/8" diameter shall be evenly spread 2" deep in the bottom of all trenches. Upon the gravel blanket shall be laid the same pipe used on the greens and then surrounded by the same gravel. Drainage trenches from the bunkers shall extend to lakes, streams, or other non-play areas and drained with 4-inch perforated N-12 type pipe within the bunker(as is specified in the greens). From the bunker to the point of relief, 4-inch solid interior wall N-12 type pipe shall be used. Trenches draining into nearly level non-play areas shall end in pits dug 6'X 6'X6'. These pits shall be filled with gravel and capped with 4"of sand. -12 1611A1 All bunker sand used on this project,shall have a penetrometer rating that is greater than 2.6. The penetrometer value measures the tendency for a golf ball to bury in the bunker sand. The higher the value,the less the tendency for the golf ball to bury upon entering the bunker. Prior to sand installation, the bunker cavity shall be raked smooth and then compacted using a vibratory plate compactor. The Contractor will also be responsible for the edging of the bunkers, bunker sand installation and the compaction of the sand with the same vibratory plate compactor. If after sand compaction it is found that the sand depths vary more or less than what is acceptable within these specifications,the contractor shall be responsible to make all the sand depths within the accepted range. The bunker sand shall be spread evenly throughout the bunker at a compacted depth of no less than 3.5 inches and not more than 4 inches in a manner suitable to the Owner/Designer. The edging of the grass around the bunkers after sodding and sand installation is the responsibility of the Owner. If material used for bunkers is contaminated,the Contractor, at the direction of the Designer, shall place 3.5 to 4 inches of clean native material in the bunker cavity,which shall conform to all plan grades and specifications regarding bunker construction. 2. Greenside Bunkers Greenside bunkers shall follow the Designer's outline in size,shape and depth. The drainage pipe in the bunkers shall never intercept the drainage pipe coming from the green cavity unless otherwise directed by the Designer. No drainage pipe from any bunker shall be run through the drainage in the putting surface. 3. Bunker Sand Sand for the bunker should be a natural white, and of a consistency approved by the Owner/Designer,unbleached silica sand of the following analysis: BUNKER SAND SIEVE ANALYSIS (Particle diameter in mm) 16 mesh 1.19 3.91%Retainage 20 mesh 0.84 5.22%Retainage 30 mesh 0.59 14.59%Retainage 40 mesh 0.42 26.45%Retainage 50 mesh 0.29 32.50%Retainage 70 mesh 0.21 14.12%Retainage 100 mesh 0.15 2.86%Retainage 140 mesh 0.10 0.36%Retainage -13 1611A1 VIII. GRASSING A. GENERAL The work covered by this section consists of furnishing all labor, equipment and materials to perform, and of performing, all operations in connection with seeding, sprigging, sodding,planting, or the combination of such, and completion thereof, in strict accordance with the specifications (and/or applicable Drawings. The grass species will be defined with these specifications or outlined by the designer in the field. The following is a summary of operations: 1. Limits of all grassing areas as staked by Designer. 2. Tillage,plowed or disked to a 4"depth. 3. Application of lime,gypsum,basic fertilizer,and pesticides as described by the laboratory test results and recommendations(by Owner). 4. Disking and dragging. 5. Removal of stones and debris to a 3/4"diameter. 6. Application of starter fertilizer and pre-emergent herbicide. 7. Final preparation with smoothing harrow or drag. 8. Seeding or sprigging. 9. Compaction. Grassing will commence only after the irrigation system has been installed and is proven operational for one day. The irrigation system must be automatically operational for the Owner to accept the grassing unless the Owner waives this condition. The Contractor will only turn over to the Owner for maintenance a golf hole that has been completely grassed and approved by the Designer. The Contractor will still be responsible for the repair and the regrassing of any areas disturbed while completing punch list items. The grass selection within these specifications shall serve as the Owner's choice. 2. Application of Fertilizer and Soil Amendments By Owner B. TEES 1. Preparation of Sprigging Areas If elected by the Owner and/or Designer,and after amendments have been applied,all surfaces shall be"floated out"using a Toro Sand Pro type machine with a keystone type drag mat or other suitable implement. -14 1 6 1 1 A 1 2. Application of Fertilizer and Soil Amendments After all specified areas have been fertilized,these areas shall then be"floated out"to the satisfaction of the Designer and put in a soft condition for planting. The final sprigging area must be smooth and sufficiently soft in order fur the sprigs to be planted therein. The final surfaces must also be free from water-holding depressions or pockets. The condition of the areas to be sprigged must be approved by the Designer prior to planting. 3. Planting All tee surfaces lhand-planted sodded). The esigner's consultant shall bethefial judge condition of all planted reasfterseeding/sprigging and these areas must meet the Designer's approval. 4. Satisfactory Germination and Sprouting Areas will be selected at random and be counted for satisfactory sprouting 20 days after planting. Any area not demonstrating satisfactory sprouting will be raked, refertilized, and replanted at the Contractor's expense. Sprigged areas outside the coverage of the irrigation system shall not be expected to demonstrate satisfactory sprouting if sufficient rainfall has not occurred. Since the proper growth and cultivation of turfgrass is dependent upon a variety of factors beyond the control of the Contractor, the Contractor will not be responsible for failure of planted areas to demonstrate satisfactory sprouting if his operations are impaired by Acts of God,extremely unusual weather conditions (meaningl normal uncontrollableadisease or insecrange in t attackserature. 200%beyond normal range in rainfall)a C. FAIRWAY, ROUGH &NATIVE AREAS The areas to be sprigged shall be leveled and raked free of stones larger than one-half(1/2") in diameter and other debris. The existing topsoil/sand capping in all other areas to be sprigged shall be loosened and pulverized to a depth of four (4) inches and all other stones over one (1)inch in any dimension, sticks,roots, rubbish or other extraneous matter, shall be removed from the premises. The surface will be fine graded so that when settled, the surface is free from depressions or ridges and wfneon oormm ture ao the the required grades indicated. The surface shall be smooth, loose, and of uniformly time of sprigging. The Contractor shall prepare no more ground than can be sprigged in a forty-eight(48)hour period. Sprigs shall be placed within 48 hours of ground preparation. The ground shall be re-prepared if weather or traffic has compromised the friability of the prepared area. No sprigging shall be done immediately after a rain storm or if a prepared surface has been compacted without first loosening the surface to a smooth,loose,uniformly fine texture just prior to sprigging -15 1 6 1 1 A 1 Any slopes on the golf course that are susceptible to rutting or tire marks caused by mechanical planting equipment shall be hand-planted if not sodded. All non-irrigated,out of play areas(far rough or landscaped areas)affected by construction activities shall be prepared for grassing or planting in the same manner as other areas to be sprigged or sodded under this section. D. SOD 1. General Sod provided shall be strongly rooted, not less than one year old,in vigorous condition and free of uncontrollable weeds or grasses. Before any sod is to be delivered, the Contractor shall notify the Designer in writing as to the location from which the sod is to be obtained and the approximate quantity available. The same shall be subject to inspection and approval before it is lifted. Sod shall be grown on a sand base unless otherwise directed by Designer. Sod shall be cut in rectangular sections as required,varying in lengths up to six feet: uniform width not to exceed 18 inches. Sod shall be delivered to the job site within twenty-four(24)hours after being cut,unless circumstances beyond the Contractor's control make it necessary for the sod to be placed in temporary storage, in which case,permission shall be obtained from the Designer. Any sod permitted to dry out or rot may be rejected if,in the judgment of the Designer,it's survival after placement is doubtful. All areas to be sodded shall be prepared in the same manner as areas to be sprigged, including the application of fertilizers and soil amendments.The Owner and the Designer shall approve all areas to be sodded. Sod, as an allowance specified in the Bid Form included herein, will be placed at the locations indicated by the Designer and/or Owner. In general,sod will be required in areas as follows: a. One ring of sod minimum, surrounding the putting surface and collar of the green, as directed by the Designer. b. One ring of sod minimum, around the bunker perimeter, as directed by the Designer. c. One ring of sod minimum,around the tee surfaces,as directed by the Designer. d. One ring of sod minimum,around drain inlets,as directed by Designer. e. Sod as required and available, on the steep slopes on and around green complexes, as directed by the Designer. f. Sod as required and available, on the steep slopes on and around tee complexes,as directed by the Designer. g. Sod as required and available, on lake banks, drainage swales and steeper fairway slopes,as directed by the Designer. The placement of sod is for the purpose of rapid turfgrass establishment and the minimization of erosion in areas critical to good golf course playing surfaces. The priorities of this sod allowance and placement is as previously outlined. Any sod placed on slopes steeper than 4:1 shall be secured from slipping by pegs or other approved methods. -16 1611A1 2. Sod Storage on the Site Sod that has been lifted on site and is to be used for the project shall be stored spread out,grass side up on a flat surface,other than existing lawn,and maintained in a healthy living condition until re- used. Sod maintenance shall include,but not be limited to watering,as often as necessary,to keep it in a moist condition. No sod shall be stored on the site for longer than two(2)days,unless otherwise approved by Designer. Sod that becomes yellow,dry,or broken,shall be removed from the site by the Contractor at his expense. 3. Sod Bed Preparation The areas to be sodded shall be leveled and raked free of stones larger than one-half(1/2") in diameter and other debris. The existing topsoil in all other areas to be sodded shall be loosened and pulverized to a depth of four (4) inches and all other stones over one (1) inch in any dimension, sticks, roots, rubbish or other extraneous matter,shall be removed from the premises. The surface will be fine graded so that when settled, the surface is free from depressions or ridges and will conform to the required grades indicated. The surface shall be smooth,loose,and of uniformly fine texture at the time of sodding. The Contractor shall prepare no more ground than can be sodded in a twenty-four(24)hour period. Sod shall be placed within 24 hours of ground preparation.d azgro nd ea. No soddinglbe re-prepared hall be done weather or traffic has compromised the friability of the prep immediately after a rainstorm or if a prepared surface has been compacted without first loosening the surface to a smooth,loose,uniformly fine texture just prior to sodding. 4. Fertilizer Application By Owner 5. Sod Laying The surface upon which the new sod is to be laid will be prepared as specified above. The new sod shall be laid on the finished grade which shall be prepared one-half(1/2)inch below the top of adjacent paving,greens and tee surfaces. This is done so that the sod meets exactly the grade of existing grassed or other constructed surfaces. All work shall be done from boards laid on top of the prepared surface or on previously laid sod. Sod shall be placed by hand with close joints with no overlapping. All spaces between ssections e shall bf sod, openings at angles, and similar gaps shall be plugged with sod. After lying, the e watered thoroughly and then tamped with approved sod tampers or rolled sufficiently to incorporate the sod with the sod bed and insure tight joints between the sections of strips. Any voids,openings, or crevices still left after tamping or rolling shall be filled with sand. Upon completion of the above work, the surface of the sodded areas shall coincide with the finish grade and shall be flush with -17 1611A1 other grassed areas. Sod shall be pegged on slopes steeper than 4:1 with the pegs driven through the sod into the soil until the pegs are flush with the turf Pegs shall be sharpened one inch square by six- inch long wood or sharpened six-inch lengths of wood lath. 6. Maintenance&Establishment All areas designated for sod shall be covered with a reasonable stand of grass and acceptable to the Designer and Owner. All spots twelve inches or larger,and any areas found not acceptable,shall be re-sodded as specified herein. Those areas that are resodded shall be maintained and guaranteed the same as the initial turf sodding. Sod work under this contract shall be considered accepted upon receipt of written approval issued by the Designer and Owner. All sod work done under this contract shall be left in good order, to the satisfaction of the Designer and Owner, and the Contractor shall guarantee without any additional expense to the Owner to replace any areas which develop defects or die within one (1)year of the date of final payment of the contract. Any outside factors,such as vandalism or lack of maintenance on the part of the Owner,shall not be considered in the guarantee. E. GRASS VARIETIES AND RATES TEES: Celebration Bermuda Rate: 30 Georgia Bushels/1,000 SF FAIRWAYS: Celebration Bermuda Rate: 800 Georgia Bushels/AC(double cut) ROUGHS Celebration Bermuda Rate: 800 Georgia Bushels/AC(double cut) Bahia Grass(sod only) F. GRASSING WINDOWS Grassing windows are the ideal periods for proper germination. The Designer and Owner must approve any grassing outside of these windows. Celebration Bermuda April 1 through October 1 -18 1611A 1 IX. IRRIGATION The Contractor shall follow the plans, specifications and/or direction set forth by the Designer's Irrigation Consultant, Owner, and/or Designer (irrigation technical specifications to follow these specifications). Reasonable effort shall be made to avoid placing main lines or valve boxes under fairway areas. All control boxes will be located in the field by the Designer or his irrigation consultant. Control boxes should be located in areas with good access from the cart path and have good line of site vision to the coverage areas. Control boxes should not,where possible,be visible from the normal playing surfaces of tees,fairways and greens. X. CART PATHS All cart paths shall closely follow locations shown on the drawings or the Designer field direction. The paths must blend into the golf terrain as naturally as possible and all slopes and grades shall be acceptable for golf cart use. Cart paths shall meet all public safety standards applicable and shall be the width specified by the Designer. Prior to cart path installation,the path sub-base should be compacted to 85%of Standard Proctor at +/-2%of optimum moisture content. The Owner may preform compaction tests on the subgrade as required and any areas not meeting the compaction and moisture specifications will be reworked by the Contractor and retested prior to cart path installation. The Contractor is responsible for the cost of all failed tests. Concrete cart paths shall not be constructed by the use of a slip-form machine. 1" x 4" flexible wooden form boards should be used in forming.2 x 4's or other non-flexible materials should not be used due to their inability to produce a smooth curve. Any cart path with uneven or unsmooth edges that is not approved by the Owner or Designer shall be replaced at the contractor's expense. In addition, any cracked sections or any part of the path that holds water on the surface will be the responsibility of the contractor to repair or replace upon review by the Designer or Owner's representative. In certain areas,the cart path may contain a drainage inlet to intercept water prior to drainage into a wetland area or area of play. Cart paths shall be shaped,formed and poured to create a gently sloped basin that shall direct all runoff to the drain inlet. The drain inlet grate shall be flush with the finish grade of the cart path. The curb shall be a minimum of four inches in height and at least six inches in width(from toe of slope of curb where curb meets the path to the outside or grassed edge of the curb). The curb shall be poured at the same time as the path itself In some instances,drainage inlets will be designed to relieve surface runoff within the path. In this case,the catch basin grate shall be flush with the finish surface of the path with no less than four inches of concrete around the basin(depth). The grate shall be placed in the crease between the path and the curb. For bidding purposes,the curb in both height and width is in addition to the width and thickness of the concrete path. hi other words, if the concrete path is specified to be eight feet in width,then the path with the curb shall be a minimum of -19 1 6 1 1 A 1 eight feet and six inches in width as measured from outside edge to outside edge. Please see cart path and curbing detail sheets. XI. BRIDGES For specific details see Owner or Owner's Engineer. XII. BULKHEADS (Stacked Rock Walls and Rock Wall Culverts) For specific details see Owner or Owner's Engineer. XII. PROJECT RECORD DOCUMENTS An accurate (to scale with dimensions) As-Built Drawing shall be prepared by the Contractor throughout construction of the golf course, indicating exact locations of all underground materials installed for drainage and irrigation. A copy of the As-Built condition drawing shall be submitted monthly,with the invoice showing the progress of the work. The Contractor shall also provide an updated critical path schedule of the progress of work with the monthly application or via weekly meetings. XIV. PROJECT CLEAN-UP The Contractor shall maintain the premises and the golf course site in a reasonably neat and orderly condition free from accumulations of waste materials and rubbish during the entire construction period.Remove all crates,cartons and other flammable waste materials or trash from the work areas at the end of each working day. It shall be the responsibility of the Owner's representative to see that the Contractor maintains a clean job site. Before acceptance of the job by the Owner,the site and premises shall be thoroughly cleaned by the Contractor to the satisfaction of the Owner. This will include any rubbish or debris accumulated in and along wetlands,creeks,river basins and residential areas which must be cleaned up during and upon completion of the job. The Contractor shall be responsible for any street, curb, drainage or any other damage to infrastructure around the golf course during the period of construction activities. Any damage to the infrastructure shall be completed immediately following the completion of construction activities unless otherwise directed by Owner. -20 1 6 1 1 A 1 XV. PROJECT CLOSEOUT The Contractor shall notify the Owner, Engineer and Designer that the golf course is substantially completed, in the Contractor's estimation, and the Contractor is ready for the preparation of the punch list. The Owner,Engineer and the Designer shall prepare a working punch list of items which need to be addressed, adjusted or completed by the Contractor prior to completion and turnover of the golf course to the Owner. The Contractor shall be responsible for satisfying all items on the punch list unless the Contractor objects to any of the punch list items. If there is an objection to any of the punch list items, the Contractor will immediately notify the Owner in writing, within five (5) working days after receipt of the punch list. If a dispute exists concerning the punch list,that dispute will be settled according to the Owner/Contractor agreement and the Plan Document. In any event, all the other punch list items shall be completed without delay. Certificates The Contractor shall obtain certificates of approval,acceptance and compliance from all authorities having jurisdiction over the work and shall deliver these certificates to the Owner's representative. The work shall not be deemed complete nor will fmal payment be made until such certificates have been delivered. Guarantees The guarantees required by the General Conditions arc hereby supplemented by the following: The contractor shall deliver to the Owner, upon completion of all work under this Contract, and before final payment is made, his written guarantees. These guarantees shall be made out to the Owner,in a form satisfactory to the Owner,guaranteeing all work,materials,appliances,equipment, etc.,provided under the Contract to be free from defective materials,and/or faulty workmanship,and to be watertight and leakproof. In the guarantee,the Contractor shall agree to replace or re-execute, in a manner satisfactory to the Owner, without cost, delay or hardship to the Owner, such work, materials,appliances or equipment,as may be found to be defective or faulty. The Contractor's overall guarantee shall cover a period of one (1) year. With this guarantee, the Contractor shall obtain and deliver to the Owner his subcontractor's guarantees as listed in the respective sections covering the work and materials of these specifications. -21 1611A1 Operating Instructions Wiring diagrams,piping diagrams, installation instructions,parts lists and similar information shall be furnished for mechanical and electrical systems,all manufactured items andVendor's opequipment. quip a t. The Contractor shall he responsible for assembling this material and turning o the Owner at the completion of the work. The Contractor shall furnish the services of qualified supervisory personnel to start-up the equipment which has been Contractor furnished and to instruct the Owner's operating employees as to the procedures to be used in starting up, operating, shutting down, lubricating, oiling, adjusting and maintaining said equipment-as covered more completely under"Irrigation"in the Plan Documents. Owner-furnished equipment, if any, which is installed by the Contractor shall be started up by the Owner. All necessary minor adjustments to this equipment shallnlbe made by the e Owner. However, o evng if the Owner furnished equipment has been improperly the necessled or ary tasksbeein order damaged furnishn installation,the Contractor shall be responsible for performing the Owner with operable equipment. The Contractor is cautioned that the operating instructions called for in the above two(2)paragraphs are a specific requirement and that the Contract work will not be considered complete until the written and printed information is submitted in an acceptable form to the Owner and until the Owner's operating employees have been properly instructed in the use and care of the system and of the component parts of same. The Contractor shall install on the inside door of each controller the heads each station controls. Tests Before acceptance of the whole or any part of the work,it shall be subject to tests to determine that it ll work in is in accordance with the Plan Document. The Contractor shall be required to maintain the same has been completed as aawhole and first-class condition for a 30-day operating period after the Owner has notified the Contractor in writing that the work has been finished to his satisfaction. The retained percentage,as provided herein,will not be due or payable to the Contractor until after the 30-day operating period has expired. -22 l 611A 1 Construction Detail Sheets Cedar Hammock Golf& Country Club Naples, FL 1611A1 Construction Detail Sheet List The following list contains those construction details,which are part of the Cedar Hammock CDD golf course renovation project. All details can be found on the pages immediately following this list. 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TIME IS OF THE ESSENCE WITH RESPECT TO A Mandatory Pre-Bid meeting will be held on Wednesday, October 30, 2019 at 2:00 P.M., at the project site. Attendees will neled to shcheck-in at the ouldCapowar Hsuff c ent ammocktimeh appro86mately Cedarlubouse, 60 15 Hammock Boulevard. Naples, FL. minutes,for check-in. The Project Manual consisting specifications, conditions, submission documents andother relevant materals is now available and may be obtained at the following Internet site. httos://beienaineerinaarou inc- m .share•oint.com/:f:/•/•ersonaXho ssini banksen• com/E•CQh•JUVb9SPY C•zwnUE6 1VEOLe2Z n )alOi412a a U9a — l It is the bidder's res sonsibili Distrithe above ct reserves rese es the rghtte n tsrsoleadiscetionetosand make addendum prior to submittal. The changes to the Project Manual up until the time of the bid opening provide notice of such and to changes only to those proposers who have indicated their intent to bid by attending the pre-bid meeting (described above) and registering at that meeting. All contractor Requests For Information time(toFI), must be Sam Marshall atSMarshall(p�BanksEna com. The on or before 12:00 P.M. Wednesday, November 6, 2019, local En•ineer will not res•ond to RFI's submitted after that r t date not bed timree. De • u•on the nature of the information re•uested an addendum ma Sealed bids will be accepted at the office of Banks Engineering until the following submittal deadline: CEDAR HAMMOCK CDD LAKE BULKHEADAND BRIDGE REPLACEMENT AND REPAIR PROJECT INVITATION FOR 00100-1 SPECLIB072613 1611A1 Tuesday, November 19, 2019 12:00 P.M. Banks Engineering Attn: Sam Marshall, P.E. 10511 Six Mile Cypress Parkway Fort Myers, FL 33966 Bids delivered after the submittal deadline indicated above will not be opened or otherwise considered. Please note that facsimile, email or bids not enclosed in a sealed envelope will not be opened or considered. Any uncertainty regarding the time a bid is received will be resolved against the bidder. Each bid shall be accompanied by a Bid Bond for 5%of the maximum Bid amount. Each bid shall be submitted in duplicate originals along with all documents on a flash drive in one sealed envelope with the name and address of the bidder and the bid date and time on the outside along with the following information: BID FOR CEDAR HAMMOCK CDD LAKE BULKHEAD AND BRIDGE REPLACEMENT AND REPAIR PROJECT The successful bidder(s) will be required to furnish and pay for a Certificate of Insurance, a Performance and Payment Bond for one hundred percent (100%) of the value of the contract(s) (as described in the Project Manual), with a surety acceptable to the District, and in accordance with Section 255.05, Florida Statutes, and otherwise meet the other requirements set forth in the Project Manual. Bids will be evaluated in accordance with the criteria included in the Project Manual. The District reserves the right to reject any and all proposals, make modifications to the work, award the contract in whole or in part to one or more contractors with or without cause, and waive minor or technical irregularities in any proposal, as it deems appropriate, and if the District determines in its discretion that it is in the District's best interests to do so. The project is contemplated to be completed in phases over a multi-year time frame. Any protest of the Project Manual, including, but not limited to the terms and specifications, must be filed with the District within 72 hours of the pre-bid conference, together with a protest bond in a form acceptable to the District and in the amount of $50,000. In the event the protest is successful, the protest bond shall be refunded to the protestor. In the event the protest is unsuccessful, the protest bond shall be applied towards the District's costs, expenses and attorney's fees associated with hearing and defending the protest. Failure to timely file a protest, or failure to timely post a protest bond, will result in a waiver of proceedings under Chapter 190, Florida Statutes, and other law. Additional requirements for filing a protest can be found in the District's Rules of Procedure, which are available upon request. CEDAR HAMMOCK CDD LAKE BULKHEAD AND BRIDGE REPLACEMENT AND REPAIR PROJECT INVITATION FOR BIDS 00100-2 SPECLIB072613 1 6 1 1 A 1 NOTICE OF SPECIAL MEETING TO OPEN PROPOSALS Pursuant to Section 255.0518, Florida Statutes, the proposals will be publicly opened at the District's meeting to be held on Tuesday, November 19, 2019 at 2:00 P.M., at the Cedar Hammock Clubhouse, 8660 Cedar Hammock Boulevard, Naples, FL 34112. At the meeting the names of the proposers and pricing will be announced. No decisions of the District's Board of Supervisors will be made at that time. A copy of the agenda for the meeting can be obtained from the District Manager. The meeting is open to the public and will be conducted in accordance with the provision of Florida Law for Community Development Districts. The meeting may be continued to a date, time, and place to be specified on the record at the meeting. There may be occasions when one or more Supervisors will participate by telephone. Any person requiring special accommodations at this meeting because of a disability or physical impairment should contact the District Office at(954)753-5841 at least two calendar days prior to the meeting. Each person who decides to appeal any action taken at these meetings is advised that person will need a record of the proceedings and that accordingly,the person may need to ensure that a verbatim record of the proceedings is made, including the testimony and evidence upon which such appeal is to be based. District Manager Cedar Hammock Community Development District CEDAR HAMMOCK CDD LAKE BULKHEAD AND BRIDGE REPLACEMENT AND REPAIR PROJECT INVITATION FOR BIDS 00100-3 SPECLISO72613 1611A1 From:RICHARD MARTELLA<rmartella com> Sent:Saturday,October 5,2019 10:05 PM To:Faircloth,Justin<iustin•faircioth(�inframark.com> Subject:Root invasion under condo Hello, This email is in regards to the lack of response to the issue of ficus tree roots growing under the foundation of my condo 3817 Buttonwood Way,at Cedar Hammock. I have on numerous and tried to get a resolution to the problem and have been told it is being worked yet nothing happens o communication from the CCD or the local HOA. I will say that the erosion that has been caused l y the roots was filled in by the grounds maintenance company but this does not fix the ngoinemer two They have said that the trees have to go and have told this to you company,(representative). years ago So unless there is some form of reasonable resolution you are leaving my no choice then to retain legal representation and file a law suit. I feel I have been very patient about this but after three years I have had it. Respectfully Richard Martella Cell:248-790-9111 From:Faircloth,Justin Sent:Sunday,October 6,2019 11:43 PM To:RICHARD MARTELLA<rmartella@hotmail.com> Subject:CHCDD-RE:Root invasion under condo Mr. Martella, Thank you for yourer. I with the Board at the not recall ever being upcoming CDDt meetingI am not sure if you this issue previously, but cuswill gladly share your concerns meant to send this email to the CDD�asthe llthe lake behind youg home a ndClub property located north of yourproperty.p Y The CDD does own Buttonwood Way. Sincerely, Justin Justin Faircloth I CAM, CDM I District Manager (6) INFRAMARK ANFRAS114.VC'fURE MANAGEKK N? SLk'v ICLS 5911 Country Lakes Drive I Fort Myers, FL 33905 0675 www•inframarkims.com (0) 239.245.7118 ext. 306 I (M) 1 6 1 1 A 1 Justin Faircloth I CAM, CDM I District Manager 61NFRAMARK ;ht Ha,Si 8.UC1,IF:t MANA(,(MEN' SERVICES 5911 Country Lakes Drive I Fort Myers, FL 33905 (0)239.245.7118 ext. 306 1 (M) 239.785.06751 www.inframarkims.com SUPERVISORS.PLEASE DO NOT REPLY TO ALL AS THIS COULD BE A VIOLATION OF THE FLORIDA SUNSHINE PROVISIONS. CONFIDENTIALITY NOTICE:The information in this email is intended for the sole use of the recipient(s)and may be confidential and subject to protection under the law.If you are not the intended recipient,you are hereby notified that any distribution or copying of this email is strictly prohibited.If you have received this message in error,please contact the sender immediately and delete your copy from your computer. From: RICHARD MARTELLA<rmartellaP hotmail.com> Sent:Saturday,October 5,2019 10:05 PM To: Faircloth,Justin<justin.faircloth@inframark.com> Subject: Root invasion under condo Hello, This email is in regards to the lack of response to the issue of ficus tree roots growing under the foundation of my condo 3817 Buttonwood Way,at Cedar Hammock. I have on numerous times tried to get a resolution to the problem and have been told it is being worked yet nothing happens and no communication from the CCD or the local HOA. I will say that the erosion that has been caused by the roots was filled in by the grounds maintenance company but this does not fix the ongoing problem. They have said that the trees have to go and have told this to you company,(representative). Over two years ago So unless there is some form of reasonable resolution you are leaving my no choice then to retain legal representation and file a law suit. I feel I have been very patient about this but after three years I have had it. Respectfully Richard Martella Cell:248-790-9111 Sent from Mail for Windows 10 1 6 1 1 A 1 Y !piripr _�,�,r- ,,:f � of It - 00102! `"Y •J N f.rw �a``. -- Keeping your community informed. And you compliant. Cedar Hammock Community Development District Proposal date: 2019-08-01 Proposal ID: GJQXD-ZUBQE-PZDDW-HX2SF Pricing 2 Services 3-5 FAQs 6 Statement of work 7-8 Terms and conditions 9-12 Ted Saul Director- Digital Communication CaMPUS 0 t`Pt 'tied _,o,: t ,11s_t 16I1A1 Pricing Effective date: 2019-08-15 Implementation Quantity Subtotal On-boarding of ADA Compliant Website and 1 $1,512.30 Remediation of Historical Documents • Migration website pages and present on a staged website for approval • Initial PDF Accessibility Compliance Service for 1500 pages of remediation Annual ongoing services Quantity Subtotal Website services 1 $615.00 • Hosting, support and training for users • Website management tools to make updates • Secure certification(https) • Monthly accessibility site reporting,monitoring and error corrections Ongoing PDF Accessibility Compliance Service 750* $937.50 • Remediation of all PDFs stored on your website • Remediation of up to 750 PDF pages • Dashboard for reporting and managing all PDFs • 48-hour turnaround for fixes for board agendas • PDF manager dashboard Social Media Manager Included *Maximum PDF pages per 12 month period Total: $3,064.80 Accessibility Compliance vvitth Campus Suite 1611A 1 WEBSITE AND ACCESSIBILITY SOLUTION s c. e t -riN ,,,, ,,,,,, , ....„ , -, ............ , , .4, . , ,,,,, , .. ,,,„,..., ,rte ., -,. ,...„.„:„.4,4,..,,,N , .>ax •:✓" .. , ; ,,,.,.:,:-.5. -::7c:?:,;;-. {2./ tt r,. „„ lo - 4. -M, . ;: ,. !0 040 . .te r . 1"4.04. B 4\4\ Accountable, compliant communications Keeping your residents and property owners informed is a Designed for districts big responsibility-one that requires constant diligence. Staying current with the laws that apply to public access to Easy-to-update website, district records, reports and other legal requirements I 61 hostingay-to and to web presents a big challenge for many CDD communities. ` - rt When it comes to your website and all the web-based Worry-free ADA-compliance, documents you are required to publish,they all need to be auditing and full reporting fully accessible.Florida statutes and federal laws require you and every special district be compliant with ADA (Americans with Disabilities Act)and accessibility regulations. E4 Meets Florida statutes and federal laws Keeping it all accessible- and legal Save CDD board time Campus Suite provides the total accessibility solution to and money keep all your web communications and web documents on the right side of these laws-specifically chapters 189 and 282 of the Florida Statutes. campus 1 6 1 1 A 1 WEBSITE AND ACCESSIBILITY SOLUTION ISO Keeping your community informed and compliant. Accessibility Compliance with Campus Suite Maintain ADA compliance: We'll handle all your website and document accessibility. Website and documents meet�/' WCAG 2.1 requirements We take on the responsibility of making and keeping your f Monthly accessibility scanning website fully accessible to people with disabilities.We know audits and reporting what's at stake if your website is not ADA-compliant, so we 1 In-house team that fixes all of handle it all- monitoring, reporting,and remediation. the accessibility errors Ni( On-demand PDF remediation We stand behind our seal of approval. (48-hour turnaround) Each page of your website will have our official certification of a website that meets the required accessibility standards. A website with all the features Your district website features: your district needs. •/ Professional website design Communication is key to success in any organization,and '7 Easy-to-use tools to make updates your community development district is no exception.At r( Total document management Campus Suite,we understand the unique communication f Support and training for users needs of CDDs and create a comprehensive website that serves Calendar of events as your communication hub. .7 Clubhouse and rental scheduling Your property owners and residents will come to depend on \/ Meeting notices and minutes the wealth of information at their fingertips.And your board members, management team and staff will come to rely on the role your website serves in streamlining the critical communi- cations functions you're required by law to provide. campus 6 I 1 A 1 WEBSITE AND ACCESSIBILITY SOLUTION camp ,,,,,, :„ �; suite ,, 4,,,.....- , .... .. _. ., .. „ ,,, .., I , . , . h. , ,, , , . „.,, , / ,,.., ... ,,,,,,„„. pian .� h._ I. .. 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STT CRIN.�1(II,s ' For over 15 years,Campus Suite has built a reputation helping public schools across the country eliminate communication barriers and improve school `,,,,:,.......ze... community engagement.We do it by creating easy-to-use,affordably priced websites featuring professional design,unmatched customer service,and paving a leadership role in website accessibility. .i9°I'if".j We've helped districts build web accessibility policies and websites, and even ft created contingency plans for responding to web issues and complaints from the OCR(U.S.Office for Civil Rights).These include detailed resolution plans when clients need to respond to avoid fines and the negative publicity that sometimes surrounds non-compliance. vv3 e0-0''' Campus Suite has also pioneered educating public institutions about website \./ accessibility by establishing the Website Accessibility Education Center, a W C A G 2.0 valuable resource for website administrators.. Campus Suite Academy Website Accessibility Center www.campussuite.com/accessibility center 1611A1 Frequently asked questions For PDF service,what is the price per page? Pricing can range based on the volume of PDFs you have on your website and if it is part of the initial remediation or the on-demand service.The price range is between $1.05 per page to $1.75 per page. What does the PDF scan and remediation process look like? You'll upload your documents to the dashboard.We are notified and begin setting up the scan. After the fixes are made,we put the documents back onto the dashboard and you are notified. You then put them back to the appropriate location on your website. What does the ADA managed service process for our website look like? Our team performs monthly scans of your site utilizing software.Our team then goes through the results and fixes the content-related errors by hand. A report is produced for your records and uploaded to your ADA dashboard.Any outlying issues we may encounter,you will be notified until the issue is resolved. How long does it take? For non-urgent doc remediation,we can scan and fix up to 2000 pages per week. We also have urgent services available for an additional fee with a turnaround time of 48 hours. What standards do you follow for ADA? We follow WCAG AA 2.1 guidelines Are there any hidden fees? No. How long does it take to build the website? It depends upon your responsiveness,but generally only a couple of weeks. Can we change the design of our website? Our themes are customizable to address your preferences. There are some guardrails in place to help ensure ADA compliance to a degree,but you can select colors,images,etc... Do your sites offer a calendar? Yes. This site can be utilized in many different ways. One of which is a calendar to help with your clubhouse availability/rental schedule. 1611A1 Statement of work 1. On-boarding of ADA Compliant Website and Remediation of Historical Documents. Contractor will deliver a functional,responsive,working ADA compliant website that can display content submitted to the Contractor by the District.At a minimum,the website and the documents on the website will: 1. Comply with the guidelines provided by Web Content Accessibility Guidelines 2.1,as amended and/or replaced by new releases from time to time("WCAG"); 2. Contain a website accessibility policy that includes: a commitment to accessibility for persons with disabilities,the accessibility standard used and applied to the website(at a minimum WCAG),and contact information of the District Manager or their designee(email and phone number) in case users encounter any problems; 3. Display an ADA compliance shield,seal,or certification; 4. Provide options to create a CDD-branded design(colors,logo,etc...) 5. Be accessible on modem versions of Internet Explorer,Edge,Mozilla, Safari,and Chrome web browsers and be"mobile friendly"and offer a"mobile version"of the sites content for access from tablets or smart phones. 6. Be free of any commercial advertising; 7. Be free of any known spyware,virus, or malware; 8. Secure certification(https) 9. Secure cloud hosting with fail-overs 10.Allow for data backups,and record retention as required by law; 11. Allow for the display a calendar,reservation request form,and newsletter; 12.Creation of a dashboard for the District to upload and remove content,manage all documents,manage document remediation,and review reports generated by the Contractor;and 13.Remediate 1500 pages identified by the District for the new website in an ADA compliant format.* 2. Domain Fee.The Contractor shall pay the annual fee for the domain name of the District's website. 3. Maintenance and Management of the Website. 1. Contractor will manage and maintain the website; 2. Remediate in an ADA compliant format new documents(a not to exceed 750 pages per year) uploaded by the District Manager to the document portal;* 1.For Agenda Packages,the Contractor shall turn around the documents within 2 business days 3. District shall be responsible for uploading the documents onto the document portal for the website. Upon completion of the remediation services,Contractor shall ensure that the remediated documents are live on the website.Contractor shall ensure that the District only has the ability to upload documents to the document portal(not the ability to make documents go live on the website)or remove documents on the website and cannot alter any other aspect of the website; 4. Contractor will store all District data, including files,text and parameters; data will be backed-up on a separate storage system at regular intervals;and 1611A 1 5. The ADA compliant website will be on-line at all times unless maintenance or upgrades require it to be unavailable.When maintenance or upgrades require the website to be unavailable,Contractor will provide the District with reasonable advance notice in writing. 4. Monthly Auditing and Remediation Services. 1. Every month Contractor will comprehensively audit the website's compliance with (1)WCAG and(2) any applicable laws,rules,and regulations(including,the Department of Justice); 2. After the audit,Contractor will remediate any web accessibility deficiencies of the website or content on the website; and 3. The Contractor will provide a written report to the District that summarizes the audit and any remediations made. 5. Support Services. Contractor will supply telephone and/or email support to the District on a reasonable and necessary basis to within business hours—Monday to Friday 9 am to 6 pm EST,exclusive of holidays.The Contractor will provide a listing of detailed hours,holidays,and service availability on their website, and reserves the right to modify the times technical support is available. *If certain PDFs are not able to be fully remediated,Contractor shall work with the District to create a summary of the content in the PDF and provide contact information if anyone needs reasonable accommodations to access the full content within that PDF. 1611A 1 Website Creation and Management Agreement This Website Creation and Management Agreement(this"Agreement")is entered into as of 2019-08-15, between the Cedar Hammock Community Development District,whose mailing address is 210 N University Dr, STE 702, Coral Springs, FL 33071 (the"District")and Innersync Studio,LLC.,an Ohio limited liability company(d/b/a Campus Suite),whose mailing address is 752 Dunwoodie Dr.,Cincinnati,Ohio 45230(the "Contractor"). Background Information: The District is a local unit of special-purpose government established pursuant to the Uniform Community Development District Act of 1980, as codified in Chapter 190, Florida Statutes.The District is required to have a website and desires to have a website created,regularly updated,managed,inspected, and remediated to ensure compliance with the Americans with Disabilities Act(the"ADA").The Contractor has the technical expertise to provide the above-mentioned services.The District desires to retain the Contractor to provide services as described in this Agreement. Operative Provisions: 1.Incorporation of Background Information.The background information stated above is true and correct and by this reference is incorporated as a material part of this Agreement. 2. Scope of Services.The Contractor will perform all work,including all labor,equipment,and supervision necessary to perform the services described in the"Statement of Work"attached hereto. 3.Term and Renewal.The initial term of this Agreement will be for one year from the date of this Agreement.At the end of the initial term,this Agreement will automatically renew for subsequent one-year terms pursuant to the same price and contract provisions as the initial term,until terminated by either party pursuant to the termination provisions below. 4.Termination. a. Either party may terminate this Agreement without cause,with an effective termination date of the next scheduled renewal date,by providing at least thirty(30)days written(letter,facsimile,email)notice to the other party prior to the next renewal date. b.Either party may terminate this Agreement with cause for material breach provided,however,that the terminating party has given the other party at least thirty(30)days written(letter,facsimile,email)of,and 1 6 I 1 A 1 the opportunity to cure the breach. c.Upon termination of this Agreement: i. The Contractor will be entitled to payment for all work and/or services rendered up until the effective termination of this Agreement,subject to whatever claims or off-sets the District may have against the Contractor. If any deposit or advanced payments exceeds these costs,Contractor will refund the appropriate amount to the District. ii.The Contractor will provide the District or its designee with all domain names,authorizations, usernames,passwords,and content(including remediated content)in the format in which it was stored on the server,at a cost not to exceed$50 to the District. iii.The Contractor will be permitted to remove its name and ADA compliance shield,seal,or certificate from the website on the effective date of the termination. iv. If the Contractor was using certain software(including content management software)that is proprietary and was licensed to the District during the term of the Agreement,then the Contractor shall coordinate with the District as to the end of the license or simply create a simple splash page of the District with information on the transition to a new website. 5.Compensation and Prompt Payment. a.Upon execution of this Agreement,the District agrees to pay Contractor for a one-time payment of $1,512.30 for the Onboarding of ADA Compliant Website and Remediation of Historical Documents. b. Starting on October 1, 2019 the District agrees to compensate the Contractor$1,552.50 for Domain Fee,Maintenance and Management of the Website,Monthly Auditing and Remediation Services,and Support Services as described in the Statement of Work.The District shall make such payments in advance of the services to be provided.Contractor will provide the District with an invoice on a annual basis for work to be performed.The District will pay Contractor within 15 days of receipt of the invoice. 6.Additional Work.If the District should desire additional work or services,the Contractor agrees to negotiate in good faith to undertake such additional work or services.Upon successful negotiations,the parties will agree in writing to an addendum(for changes to the regular services)or work authorization order (for all other services). The Contractor will be compensated for such agreed additional work or services based upon a payment amount acceptable to the parties and agreed to in writing. 7.Ownership of Website,Domain Name,and Content. The District will be the owner of the website, domain name, and all content(including remediated content provided by the Contractor)on the website. 1 6 I 1 A 1 8.No Infringement of Intellectual Property.Contractor warrants and represents that neither the Statement of Work nor any product or services provided by Contractor will infringe,misappropriate,or otherwise violate the intellectual property rights of any third-party. Contractor shall take all steps to ensure that the District has no access to confidential software or data that is proprietary(whether it's the Contractor's or another provider's through a license agreement). 9.Promotion.The District permits Contractor to identify the District as a customer of Contractor in Contractor's marketing materials(including using the District's name and logo for such limited purposes). 10.Warranty.The Contractor warrants that the work: (a)will conform to the requirements of the Statement of Work,(b)will be performed in a prompt,diligent,good,safe and workmanlike manner in accordance with all laws,industry standards, and all applicable ADA and WCAG regulations,and(c)will be performed without defects in workmanship or in code. To the extent that any defects are found and reported to the Contractor,the Contractor shall correct such defects within thirty(30)days. 11.Relationship Between the Parties.It is understood that the Contractor is an independent contractor and will perform the services contemplated under this Agreement. As an independent contractor,nothing in this Agreement will be deemed to create a partnership,joint venture, or employer-employee relationship between the Contractor and the District. The Contractor will not have the right to make any contract or commitments for,or on behalf of,the District without the prior written approval of the District. The Contractor assumes full responsibility for the payment and reporting of all local,state,and federal taxes and other contributions imposed or required of the Contractor during the performance of services to the District. 12.Compliance with Governmental Regulations.The Contractor will comply with necessary economic, operational,safety, insurance, and other compliance requirements imposed by federal, state,county, municipal or regulatory bodies,relating to the contemplated operations and services hereunder. The Contractor warrants and represents the Contractor is currently in compliance with and will hereafter comply with all federal, state and local laws and ordinances relating in any way to the services provided hereunder. Contractor is solely responsible for complying with all applicable laws pertaining to website accessibility, including but not limited to the ADA and those certain WCAG standards,and other web accessibility guidelines as amended from time to time. 13.Insurance. Contractor will,at its own expense,maintain commercial general liability insurance coverage of no less than$1,000,000 for the duration of the term of this Agreement and for any renewals of the term,as mutually agreed upon by the parties,which names the District,its officers,agents, staff,and employees as an additional insured. The Contractor will deliver to the District proof of insurance referred to herein or a certificate evidencing the coverage provided pursuant to this Agreement. Such insurance policy may not be canceled without a thirty-day written notice to the District.The Contractor will maintain Workers 1611A1 Compensation insurance as required by law. 14.Limitation of Liability.Either party's total liability under this Agreement,regardless of cause or theory of recovery,will not exceed the total amount of fees paid by the District to the Contractor during the twelve- month period immediately preceding the occurrence or act or omission giving rise to any claim.Contractor shall not be liable for ADA compliance of any content posted by the District without first being remediated by the Contractor. 15.Indemnification.Contractor agrees to, subject to the limitation of liability described above,indemnify, defend and hold the District and its supervisors,officers,managers,agents and employees harmless from any and all liability,claims,actions,suits or demands by any person,corporation or other entity for injuries or damage of any nature, arising out of,or in connection with,the work to be performed by Contractor, including litigation or any appellate proceedings with respect thereto. Contractor further agrees that nothing herein will constitute or be construed as a waiver of the Districts limitations on liability contained in Section 768.28,Florida Statutes,or other statute or law. Any subcontractor retained by the Contractor will acknowledge the same in writing. Obligations under this section will include the payment of all settlements, judgments,damages,liquidated damages,penalties,forfeitures,back pay awards,court costs,arbitration andlor mediation costs,litigation expenses,attorney fees,and paralegal fees(incurred in court,out of court, on appeal,or in bankruptcy proceedings)as ordered. 16.Conditions Precedent Prior to Any Litigation.In the event that either party is dissatisfied with the other party and as a condition precedent prior to commencing any litigation, such party shall communicate in writing to the other party with their specific concerns.The parties shall make a good faith effort toward the resolution of any such issues. If the parties are not able to reach a mutually acceptable solution,then either party may request arbitration at their own expense. If such arbitration is requested,it shall be held within sixty(60)days of such request. 17.Remedies in the Event of Default.Subject to the limitation of liability described above,a default by either party under this Agreement will entitle the other to all remedies available at law or in equity,which may include,but not be limited to,the right of actual damages andlor specific performance. Nothing contained in this Agreement will limit or impair the District's right to protect its rights from interference by a third-party to this Agreement. 18.Controlling Law.This Agreement is governed under the laws of the State of Florida with venue in the county the District is located in. 19.Enforcement of Agreement.Only after satisfying the conditions precedent prior to'any litigation above, in the event it becomes necessary for either party to institute legal proceedings in order to enforce the terms 1611A 1 of this Agreement,the prevailing party will be entitled to all costs,including reasonable attorney's fees at both trial and appellate levels against the non-prevailing party,with a not to exceed limit of the total amount of fees paid by the District to the Contractor during the twelve-month period immediately preceding the occurrence or act or omission giving rise to any claim. 20.Public Records. Contractor acknowledges the District is a special purpose unit of local government in the State of Florida, and that all documents of any kind provided to or in possession of Contractor in connection with this Agreement are subject to Florida's public records laws,pursuant to Chapter 119,Florida Statutes. As required under Section 119.0701,Florida Statutes,Contractor will (a)keep and maintain public records that would ordinarily and necessarily be required by the District in order to perform the Service Provided, b)provide the public with access to public records on the same terms and conditions that the District would provide the records and at a cost that does not exceed the cost of reproduction permitted by law,(c)ensure that public records which are exempt or confidential and exempt from public records disclosure requirements are not disclosed except as authorized by law,and(d)meet all requirements for retaining public records and transfer, at no cost to the District,all public records in possession of the Contractor upon termination of this Agreement, 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 District in a format that is compatible with the information technology systems of the District. Upon receipt by Contractor of any request for copies of public records,Contractor will immediately notify the District of such request. Failure of Contractor to comply with public records laws to the extent required by statute may result in immediate termination of the Agreement. IF THE CONTRACTOR HAS QUESTIONS REGARDING THE APPLICATION OF CHAPTER 119, FLORIDA STATUTES,TO THE CONTRACTOR'S DUTY TO PROVIDE PUBLIC RECORDS RELATING TO THIS AGREEMENT,CONTACT THE CUSTODIAN OF PUBLIC RECORDS AT 854- 603-0033,OR BY EMAIL AT SANDRA.DEMARCO@INFRAMARK.COM,OR BY REGULAR MAIL AT 210 N.UNIVERSITY DR. STE 702,CORAL SPRINGS,FL.33071. 21.Scrutinized Companies.Pursuant to Section 287.135,Florida Statutes,Contractor represents that in entering into this Agreement,the Contractor has not been designated as a"scrutinized company"under the statute and,in the event that the Contractor is designated as a"scrutinized company",the Contractor will immediately notify the District whereupon this Agreement may be terminated by the District. 22.Severability.If any provision of this Agreement is held invalid or unenforceable,the remainder of this Agreement will remain in full force and effect. 23.Assignment.This Agreement is not transferrable or assignable by either party without the written approval of both parties. 1 6 1 1 A 1 24.Amendment.This Agreement may not be altered,changed or amended,except by an instrument in writing,signed by both parties hereto. 25.Arm's Length Transaction.This Agreement has been negotiated fully between the District and the Contractor as an arm's length transaction. In the case of a dispute concerning the interpretation of any provision of this Agreement,the parties are each deemed to have drafted,chosen,and selected the language, and any doubtful language will not be interpreted or construed against any party. 26.Counterparts.This Agreement may be executed in any number of counterparts,each of which when executed and delivered will be an original;however,all such counterparts together will constitute,but one and the same instrument. 27.Entire Agreement.This Agreement contains the entire agreement and neither party is to rely upon any oral representations made by the other party,except as set forth in this Agreement.This Agreement supersedes and subsumes any prior agreements. To the extent that any provisions of this Agreement conflict with the provisions in any exhibit,the provisions in this Agreement controls over provisions in any exhibit. Innersync Studio,LLC. Cedar Hammock Steve Williams Date Print name Date VP of Marketing 1 6 1 1 A 1 Exhibit A: Proposal for Services Implementation Quantity Subtotal Onboarding of ADA Compliant Website and Remediation of 1 $1,512.30 Historical Documents • Migration website pages and present on a staged website for approval • Initial PDF Accessibility Compliance Service for 1500 pages of remediation Ongoing services Quantity Subtotal Website services 1 $615.00 • Hosting, support and training for users • Website management tools to make updates • Secure certification(https) • Monthly site reporting,monitoring and error corrections Ongoing PDF Accessibility Compliance Service 750* $937.50 • Remediation of all PDFs stored on your website • Remediation of up to 750 PDF pages • Dashboard for reporting and managing all PDFs • 48-hour turnaround for fixes for board agendas • PDF manager dashboard Social Media Manager Included EXHIBIT A 1 6 1 1 A 1 Statement of work 1. On-boarding of ADA Compliant Website and Remediation of Historical Documents.Contractor will deliver a functional,responsive,working ADA compliant website that can display content submitted to the Contractor by the District.At a minimum,the website and the documents on the website will: 1. Comply with the guidelines provided by Web Content Accessibility Guidelines 2.1,as amended and/or replaced by new releases from time to time("WCAG"); 2. Contain a website accessibility policy that includes: a commitment to accessibility for persons with disabilities,the accessibility standard used and applied to the website(at a minimum WCAG),and contact information of the District Manager or their designee(email and phone number)in case users encounter any problems; 3. Display an ADA compliance shield,seal,or certification; 4. Provide options to create a CDD-branded design(colors, logo, etc...) 5. Be accessible on modern versions of Internet Explorer,Edge,Mozilla, Safari,and Chrome web browsers and be"mobile friendly"and offer a "mobile version"of the sites content for access from tablets or smart phones. 6. Be free of any commercial advertising; 7. Be free of any known spyware,virus,or malware; 8. Secure certification(https) 9. Secure cloud hosting with fail-overs 10.Allow for data backups, and record retention as required by law; 11. Allow for the display a calendar,reservation request form, and newsletter; 12.Creation of a dashboard for the District to upload and remove content,manage all documents,manage document remediation,and review reports generated by the Contractor;and 13.Remediate 1500 pages identified by the District for the new website in an ADA compliant format.* 2. Domain Fee.The Contractor shall pay the annual fee for the domain name of the District's website. 3. Maintenance and Management of the Website. 1. Contractor will manage and maintain the website; 2. Remediate in an ADA compliant format new documents(a not to exceed 750 pages per year) uploaded by the District Manager to the document portal;* 1.For Agenda Packages,the Contractor shall turn around the documents within 2 business days 3. District shall be responsible for uploading the documents onto the document portal for the website. Upon completion of the remediation services,Contractor shall ensure that the remediated documents are live on the website. Contractor shall ensure that the District only has the ability to upload documents to the document portal(not the ability to make documents go live on the website)or remove documents on the website and cannot alter any other aspect of the website; 4. Contractor will store all District data,including files,text and parameters;data will be backed-up on a separate storage system at regular intervals; and EXHIBIT A 1 6 1 1 A 1 5. The ADA compliant website will be on-line at all times unless maintenance or upgrades require it to be unavailable. When maintenance or upgrades require the website to be unavailable,Contractor will provide the District with reasonable advance notice in writing. 4. Monthly Auditing and Remediation Services. 1. Every month Contractor will comprehensively audit the website's compliance with(1)WCAG and(2) any applicable laws,rules,and regulations(including,the Department of Justice); 2. After the audit,Contractor will remediate any web accessibility deficiencies of the website or content on the website; and 3. The Contractor will provide a written report to the District that summarizes the audit and any remediations made. 5. Support Services. Contractor will supply telephone and/or email support to the District on a reasonable and necessary basis to within business hours—Monday to Friday 9 am to 6 pm EST,exclusive of holidays.The Contractor will provide a listing of detailed hours,holidays,and service availability on their website,and reserves the right to modify the times technical support is available. *If certain PDFs are not able to he fully remediated,Contractor shall work with the District to create a summary of the content in the PDF and provide contact information if anyone needs reasonable accommodations to access the full content within that PDF. EXHIBIT A 1 6 1 1 A 1 CEDAR HAMMOCK Community Development District Financial Report September 30, 2019 Prepared by: iINFRAMARK IN,4'.FSiNUC URt I•IUNACtU1N1 SLHVILLJ 1611A1 CEDAR HAMMOCK Community Development District Table of Contents FINANCIAL STATEMENTS Pages Balance Sheet 1 General Fund 2-3 SUPPORTING SCHEDULES Non-Ad Valorem Special Assessments 4 Cash and Investment Report 5 Valley National Bank Reconciliation 6 Check Register 7 1611A1 CEDAR HAMMOCKS Community Development District Financial Statements (Unaudited) September 30, 2019 1611A 1 CEDAR HAMMOCK Community Development District General Fund Balance Sheet September 30, 2019 ACCOUNT DESCRIPTION TOTAL ASSETS Cash-Checking Account $ 665,136 Investments: Money Market Account 213,136 Deposits 1,359 TOTAL ASSETS $ 879,631 LIABILITIES Accounts Payable $ - Accrued Expenses 900 TOTAL LIABILITIES 900 FUND BALANCES Nonspendable: Deposits 1,359 Assigned to: Operating Reserves 43,617 Reserves-Bridges 119,036 Reserves-Bulkheads 125,885 Reserves-Lakes 47,153 Reserves-Roadways 229,725 Unassigned: 311,956 TOTAL FUND BALANCES $ 878,731 TOTAL LIABILITIES&FUND BALANCES $ 879,631 Page 1 1 61 1A 1 CEDAR HAMMOCK General Fund Community Development District Statement of Revenues, Expenditures and Changes in Fund Balances For the Period Ending September 30, 2019 ANNUAL ADOPTED YEAR TO DATE YEAR TO DATE VARIANCE($) ACCOUNT DESCRIPTION BUDGET BUDGET ACTUAL FAV(UNFAV) REVENUES Interest-Investments $ 2,017 $ 2,017 $ 17,191 $ 15,174 Hurricane Irma FEMA Refund - - 5,316 5,316 Interest-Tax Collector - 188 188 Special Assmnts-Tax Collector 379,523 379,523 379,523 - Special Assmnts-Discounts (15,181) (15,181) (13,901) 1,280 Other Miscellaneous Revenues - 9,281 9,281 'TOTAL REVENUES 366,359 366,359 397,598 31,239 I EXPENDITURES Administration ProfServ-Engineering5,101 30,000 30,000 35,101 ProfServ-Legal Services 2,000 2,000 14,028 (12,028) ProfServ-Mgmt Consulting Sery 38,404 38,404 41,498 (3,094) ProfServ-Property Appraiser 5,693 5,693 5,693 - ProfServ-Special Assessment 2,941 2,941 7,941 (5,000) ProfServ-Web Site Maintenance 656 656 656 - Auditing Services 5,000 5,000 4,400 600 Postage and Freight 765 765 2,843 (2,078) Insurance-General Liability 7,959 7,959 7,000 959 Printing and Binding 2,246 2,246 1,252 994 Legal Advertising 2,394 2,394 6,395 (4,001) Misc-Bank Charges 700 700 380 320 Misc-Assessmnt Collection Cost 7,590 7,590 7,312 278 Misc-Web Hosting 239 239 239 Office Supplies 400 400 28 372 Annual District Filing Fee 175 175 175 - Total Administration 107,162 107,162 134,941 (27,779) Page 2 1 6 I 1 A 1 CEDAR HAMMOCK General Fund Community Development District Statement of Revenues, Expenditures and Changes in Fund Balances For the Period Ending September 30, 2019 ANNUAL ADOPTED YEAR TO DATE YEAR TO DATE VARIANCE($) ACCOUNT DESCRIPTION BUDGET BUDGET ACTUAL FAV(UNFAV) Field ProfSery-Field Management 1,539 1,539 5,008 (3,469) Contracts-Water Mgmt Services 7,200 7,200 7,200 - Utility-Cameras 1,320 1,320 1,299 21 Electricity-Wells 3,000 3,000 2,190 810 Electricity-Aerator 2,000 2,000 1,358 642 R&M-Lake 3,000 3,000 3,113 (113) R&M-Plant Replacement 3,015 3,015 788 2,227 R&M Bulkheads 8,000 8,000 8,000 - R&M-Bridges&Cart Paths 8,000 8,000 650 7,350 Misc-Contingency 20,289 20,289 10,675 9,614 Capital Outlay 9,944 9,944 12,015 (2,071) Reserve-Bridges 20,910 20,910 22,064 (1,154) Reserve-Bulkheads 83,980 83,980 94,023 (10,043) Reserve-Lakes 15,000 15,000 - 15,000 Reserve-Roadways 72,000 72,000 - 72,000 Total Field 259,197 259,197 168,383 90,814 TOTAL EXPENDITURES 366,359 366,359 303,324 63,035 Excess(deficiency)of revenues Over(under)expenditures - - 94,274 94,274 Net change in fund balance $ - $ - $ 94,274 $ 94,274 FUND BALANCE,BEGINNING(OCT 1,2018) 784,457 784,457 784,457 FUND BALANCE, ENDING $ 784,457 $ 784,457 $ 878,731 Page 3 1611A1 CEDAR HAMMOCKS Community Development District Supporting Schedules September 30, 2019 1611A1 CEDAR HAMMOCK Community Development District Non-Ad Valorem Special Assessments (Collier County Tax Collector-Monthly Collection Distributions) For the Fiscal Year Ending September 30,2019 ALLOCATION Discount/ County Gross Date Net Amount (Penalties) Expense Amount General Fund Received Received Amount Amount Received Assessments Assessments Levied For FY 2019 $379,523 $ 379,523 Allocation% 100% 100% 11/01/18 42,900 1,824 876 45,600 45,600 11/08/18 3,422 194 70 3,686 3,686 11/19/18 130,936 5,567 2,672 139,175 139,175 11/26/18 78,204 3,325 1,596 83,125 83,125 12/24/18 55,235 2,292 1,127 58,654 58,654 01/24/19 22,501 677 459 23,637 23,637 02/18/19 6,058 114 124 6,295 6,295 04/01/19 9,722 38 198 9,958 9,958 04/26/19 5,497 (14) 112 5,594 5,594 05/24/19 2,397 (71) 49 2,375 2,375 06/17/19 959 (29) 20 950 950 06/18/19 479 (14) 10 475 475 09/30/19 Adj. (2) (2) (2) TOTAL $ 358,310 $ 13,901 $ 7,312 $ 379,523 $ 379,523 %COLLECTED 100% 100% TOTAL OUTSTANDING $ 0 $ 0 Report Date:10/3/2019 Page 4 1 6 1 1 A 1 CEDAR HAMMOCK Community Development District All Funds Cash and Investment Report September 30, 2019 General Fund Account Name Bank Name Investment Type Maturity Yield Balance Checking Account-Operating Valley National Bank Gov't Interest Checking n/a 1.94% 665,136 Money Market Account BankUnited Public Funds MMA n/a 1.50% 213,136 Total $ 878,272 Report Date:10/2/2019 Page 5 161 1A 1 Cedar Hammock CDD Bank Reconciliation Bank Account No. 2555 Valley National Bank-GF Statement No. 9/19 Statement Date 9/30/2019 G/L Balance(LCY) 665,136.40 Statement Balance 671,844.20 G/L Balance 665,136.40 Outstanding Deposits 0.00 Positive Adjustments 0.00 Subtotal 671,844.20 Subtotal 665,136.40 Outstanding Checks 6,707.80 Negative Adjustments 0.00 Differences 0.00 Ending G/L Balance 665,136.40 Ending Balance 665,136.40 Difference 0.00 Posting Document Document Cleared Date Type No. Description Amount Amount Difference Outstanding Checks 9/26/2019 Payment 2357 BANKS ENGINEERING INC 2,532.50 0.00 2,532.50 9/26/2019 Payment 2358 INFRAMARK,LLC 4,175.30 0.00 4,175.30 Total Outstanding Checks 6,707.80 6,707.80 Page 6 1 6 1 1 A 1 V 0 0 0 0 Ch I )n0 O N 0 g 01 op CO N0 Ch 0 0 0 0 )A N N N (+) (O O . 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I 6 1 1 A 1 CEDAR HAMMOCK COMMUNITY DEVELOPMENT DISTRICT Motion: Assigning Fund Balance as of 9/30/19 The Board hereby assigns the FY 2019 Reserves as follows: Operating Reserve $ 43,617 Reserves—Bridges $119,036 Reserves-Bulkheads $125,885 Reserves-Lakes $ 47,153 Reserves-Roadways $229,725 Unassigned Fund Balance: $311,573 1 6 1 1 A 1 et Berger, Toombs, Elam, terGaines & Frank Cen,fied Pubic Accountants PL 600 Citrus Avenue Suite 200 Fort Pierce, Florida 34950 772/461-6120 11 461-1155 FAX:772/468-9278 September 5, 2019 Cedar Hammock Community Development District do Inframark Infrastructure Management Services 210 North University Drive, Suite 702 Coral Springs, FL 33071 The Objective and Scope of the Audit of the Financial Statements You have requested that we audit the financial statements of Cedar Hammock Community Development District,which comprise governmental activities, a discretely presented component unit and each major fund for the General Fund as of and for the year ended September 30, 2019 which collectively comprise the basic financial statements. We are pleased to confirm our acceptance and our understanding of this audit engagement by means of this letter for the year ending September 30. 2019 and thereafter for two annual renewals if mutually agreed by Cedar Hammock Community Development District and Berger, Toombs, Elam, Gaines, & Frank, Certified Public Accountants, PL. Our audit will be conducted with the objective of expressing an opinion on the financial statements. The Responsibility of the Auditor We will conduct the audit in accordance with auditing standards generally accepted in the United States of America and "Government Auditing Standards" issued by the Comptroller General of the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial statements. The procedures selected depend on the auditor's judgment, including the assessment of the risks of material misstatement of the financial statements, whether due to fraud or error. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of significant accounting estimates made by management, as well as evaluating the overall presentation of the financial statements. Because of the inherent limitations of an audit, together with the inherent limitations of internal control, an unavoidable risk that some material misstatements may not be detected exists, even though the audit is properly planned and performed in accordance with generally accepted auditing standards. Also, an audit is not designed to detect errors or fraud that are immaterial to the financial statements. Fort Pierce/Stuart Member AICPA Member AICPA Division For CPA Firms Member FICPA Private Companies Practice Section 1 6 I 1 A 1 Berger,Toombs, Elam, Gaines& Frank Cr.0.4 FM.& .., r, Cedar Hammock Community Development District September 5, 2019 Page 2 In making our risk assessments, we consider internal control relevant to Cedar Hammock Community Development District's preparation and fair presentation of the financial statements in order to design audit procedures that are appropriate in the circumstances but not for the purpose of expressing an opinion on the effectiveness of the entity's internal control. However, we will communicate to you in writing concerning any significant deficiencies or material weaknesses in internal control relevant to the audit of the financial statements that we have identified during the audit. We will also communicate to the Board any fraud involving senior management and fraud that causes a material misstatement of the financial statements that becomes known to us during the audit, and any instances of noncompliance with laws and regulations that we become aware of during the audit. The funds that you have told us are maintained by Cedar Hammock Community Development District and that are to be included as part of our audit are listed below: 1. General Fund 1 6 1 1 A 1 Berger,Toombs, Elam, Gaines&Frank <.niu r.w w+rwr n Cedar Hammock Community Development District September 5, 2019 Page 3 The Responsibilities of Management and Identification of the Applicable Financial Reporting Framework Our audit will be conducted on the basis that management acknowledges and understands that it has responsibility: 1. For the preparation and fair presentations of the financial statements in accordance with accounting principles generally accepted in the United States of America; 2. To evaluate subsequent events through the date the financial statements are issued or available to be issued, and to disclose the date through which subsequent events were evaluated in the financial statements. Management also agrees that it will not evaluate subsequent events earlier than the date of the management representation letter referred to below; 3. For the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of financial statements that are free from material misstatement, whether due to fraud or error; and 4. To provide us with: a. Access to all information of which management is aware that is relevant to the preparation and fair presentation of the financial statements such as records, documentation and other matters; b. Additional information that we may request from management for the purpose of the audit; and c. Unrestricted access to persons within the entity from whom we determine it necessary to obtain audit evidence. As part of our audit process, we will request from management written confirmation concerning representations made to us in connection with the audit, including among other items: 1. That management has fulfilled its responsibilities as set out in the terms of this letter; and 2. That it believes the effects of any uncorrected misstatements aggregated by us during the current engagement and pertaining to the latest period presented are immaterial, both individually and in the aggregate, to the financial statements taken as a whole. 1 6 1 1 A 1 Berger,Toombs,Elam, Gaines&Frank Cott14.1 NV,4.6 .. PI Cedar Hammock Community Development District September 5, 2019 Page 4 Management is responsible for identifying and ensuring that Cedar Hammock Community Development District complies with the laws and regulations applicable to its activities, and for informing us about all known material violations of such laws or regulations. In addition, management is responsible for the design and implementation of programs and controls to prevent and detect fraud, and for informing us about all known or suspected fraud affecting the entity involving management, employees who have significant roles in internal control, and others where the fraud could have a material effect on the financial statements. Management is also responsible for informing us of its knowledge of any allegations of fraud, or suspected fraud affecting the entity received in communications from employees, former employees, analysts, regulators, or others. The Board is responsible for informing us of its views about the risks of fraud within the entity, and its knowledge of any fraud, or suspected fraud affecting the entity. Cedar Hammock Community Development District agrees that it will not associate us with any public or private securities offering without first obtaining our consent. Therefore,Cedar Hammock Community Development District agrees to contact us before it includes our reports or otherwise makes reference to us, in any public or private securities offering. Because Berger, Toombs, Elam, Gaines & Frank will rely on Cedar Hammock Community Development District and its management and Board of Supervisors to discharge the foregoing responsibilities, Cedar Hammock Community Development District holds harmless and releases Berger, Toombs, Elam, Gaines & Frank, its partners, and employees from all claims, liabilities, losses and costs arising in circumstances where there has been a known misrepresentation by a member of Cedar Hammock Community Development District's management,which has caused, in any respect, Berger, Toombs, Elam, Gaines & Frank's breach of contract or negligence. This provision shall survive the termination of this arrangement for services. Records and Assistance If circumstances arise relating to the condition of the Cedar Hammock Community Development District's records, the availability of appropriate audit evidence, or indications of a significant risk of material misstatement of the financial statements, because of error, fraudulent financial reporting, or misappropriation of assets, which, in our professional judgment, prevent us from completing the audit or forming an opinion, we retain the unilateral right to take any course of action permitted by professional standards, including: declining to express an opinion, issuing a report, or withdrawing from engagement. During the course of our engagement, we may accumulate records containing data that should be reflected in the Cedar Hammock Community Development District's books and records. The District will determine that all such data, if necessary,will be so reflected. Accordingly,the District will not expect us to maintain copies of such records in our possession. 1 61 1A 1 Berger,Toombs,Elam, Gaines& Frank Cedar Hammock Community Development District September 5, 2019 Page 5 The assistance to be supplied, including the preparation of schedules and analyses of accounts, will be discussed and coordinated with an Inframark accountant. The timely and accurate completion of this work is an essential condition to our completion of the audit and issuance of our audit report. Other Relevant Information In accordance with Government Auditing Standards, a copy of our most recent peer review report has been provided to you, for your information. Fees, Costs, and Access to Workpapers Our fees for the services described above are based upon the value of the services performed and the time required by the individuals assigned to the engagement, plus direct expenses. Invoices for fees will be submitted in sufficient detail to demonstrate compliance with the terms of this engagement. Billings are due upon submission. Our fee for the services described in this letter for the year ending September 30, 2019, will not exceed $5,000, unless the scope of the engagement is changed,the assistance which Cedar Hammock Community Development District has agreed to furnish is not provided, or unexpected conditions are encountered, in which case, we will discuss the situation with you before proceeding. All other provisions of this letter will survive any fee adjustment. The two annual renewals must be mutually agreed and approved by the Board of Supervisors. In the event we are requested or authorized by Cedar Hammock Community Development District or are required by government regulation, subpoena, or other legal process to produce our documents or our personnel as witnesses with respect to our engagement for Cedar Hammock Community Development District, Cedar Hammock Community Development District will, so long as we are not a party to the proceeding in which the information is sought, reimburse us for our professional time and expenses, as well as the fees and expenses of our counsel, incurred in responding to such requests. The audit documentation for this engagement is the property of Berger, Toombs, Elam, Gaines, & Frank and constitutes confidential information. However, you acknowledge and grant your assent that representatives of the cognizant or oversight agency or their designee, other government audit staffs, and the U.S. Government Accountability Office shall have access to the audit documentation upon their request and that we shall maintain the audit documentation for a period of at least three years after the date of the report, or for a longer period if we are requested to do so by the cognizant or oversight agency. Access to requested documentation will be provided under the supervision of Berger, Toombs, Elam, Gaines, & Frank audit personnel and at a location designated by our Firm. 1 6 I 1 A 1 Berger,Toombs,Elam, Gaines& Frank Gi14J P.14 M.uiMww % Cedar Hammock Community Development District September 5, 2019 Page 6 Information Security— Miscellaneous Terms Berger, Toombs, Elam, Gaines & Frank is committed to the safe and confidential treatment of Cedar Hammock Community Development District's proprietary information. Berger, Toombs, Elam, Gaines & Frank is required to maintain the confidential treatment of client information in accordance with relevant industry professional standards which govern the provision of services described herein. Cedar Hammock Community Development District agrees that it will not provide Berger,Toombs, Elam, Gaines&Frank with any unencrypted electronic confidential or proprietary information, and the parties agree to utilize commercially reasonable measures to maintain the confidentiality of Cedar Hammock Community Development District's information, including the use of collaborate sites to ensure the safe transfer of data between the parties. If any term or provision of this arrangement letter is determined to be invalid or unenforceable, such term or provision will be deemed stricken and all other terms and provisions will remain in full force and effect. Reporting We will issue a written report upon completion of our audit of Cedar Hammock Community Development District's financial statements. Our report will be addressed to the Board of Cedar Hammock Community Development District. We cannot provide assurance that an unmodified opinion will be expressed. Circumstances may arise in which it is necessary for us to modify our opinion, add an emphasis-of-matter or other-matter paragraph(s), or withdraw from the engagement. In addition to our report on Cedar Hammock Community Development District's financial statements, we will also issue the following types of reports: • Reports on internal control and compliance with laws, regulations, and the provisions of contracts or grant agreements. We will report on any internal control findings and/or noncompliance which could have a material effect on the financial statements; • Management letter required by the Auditor General, State of Florida; and • Attestation reports required by the Auditor General, State of Florida. This letter constitutes the complete and exclusive statement of agreement between Berger, Toombs, Elam, Gaines & Frank and Cedar Hammock Community Development District, superseding all proposals, oral or written, and all other communication, with respect to the terms of the engagement between the parties. 1 6 1 1 A 1 ftBerger,Toombs,Elam, Gaines& Frank crot,14 Cedar Hammock Community Development District September 5, 2019 Page 7 Please sign and return the attached copy of this letter to indicate your acknowledgement of, and agreement with, the arrangements for our audit of the financial statements including our respective responsibilities. oVllr a a Aad Berger, Toombs, Elam, Gaines & Frank J. W. GAINES, CPA Confirmed on behalf of the addressee: Justin Faircloth-District Manager/Secretary October 23 2019 1 6 1 1 A 1 BAG G ETT Judson B. Boggett ft6815 Dairy Road IIBR[ MBA, rt CPA, CVA, Paner Zaphyrhills, FL 33542 REUT I MA N N Marci Reutimann (813) 788-2155 &ASSOCIATES, CTAS, PA CPA, Partner 41 (813) 782-8606 System Review Report To the Directors November 2, 2016 Berger, Toombs, Elam, Gaines & Frank, CPAs PL and the Peer Review Committee of the Florida Institute of Certified Public Accountants We have reviewed the system of quality control for the accounting and auditing practice of Berger, Toombs, Elam, Gaines & Frank, CPAs PL (the firm), in effect for the year ended May 31, 2016. Our peer review was conducted in accordance with the Standards for Performing and Reporting on Peer Reviews established by the Peer Review Board of the American Institute of Certified Public Accountants. As a part of our peer review, we considered reviews by regulatory entities, if applicable, in determining the nature and extent of our procedures. The firm is responsible for designing a system of quality control and complying with it to provide the firm with reasonable assurance of performing and reporting in conformity with applicable professional standards in all material respects. Our responsibility is to express an opinion on the design of the system of quality control, and the firm's compliance therewith based on our review. The nature, objectives, scope, limitations of, and the procedures performed in a System Review are described in the standards at www.aicpe.orq/prsummary. As required by the standards, engagements selected for review included engagements performed under Government Auditing Standards and audits of employee benefit plans. In our opinion, the system of quality control for the accounting and auditing practice of Berger, Toombs, Elam, Gaines & Frank, CPAs PL in effect for the year ended May 31, 2016 has been suitably designed and complied with to provide the firm with reasonable assurance of performing and reporting in conformity with applicable professional standards in all material respects. Firms can receive a rating of pass, pass with deficiency(ies), or fail. Berger, Toombs, Elam, Gaines & Frank, CPAs PL, has received a peer review rating of pass. BagOt . Reutimann & Associates, CPAs, PA UiliKf i P.I: lil.l'Ult7 16 Mcrnbtn Arneriran Instituto of Certified Public Accnuntnnts(AICPA)and Florida Institute of Certified Public Accountants(FICPA) Notional Association of Certified Vnluulion Analysts(NACVA) 1611A1 ADDENDUM TO ENGAGEMENT LETTER BETWEEN BERGER,TOOMBS, ELAM,GAINES AND FRANK AND CEDAR HAMMOCK COMMUNITY DEVELOPMENT DISTRICT (DATED SEPTEMBER 5,2019) Public Records. Auditor shall, pursuant to and in accordance with Section 119.0701, Florida Statutes, comply with the public records laws of the State of Florida, and specifically shall: a. Keep and maintain public records required by the District to perform the services or work set forth in this Agreement;and b. Upon the request of the District's custodian of public records, provide the District with a copy of the requested records or allow the records to be inspected or copied within a reasonable time at a cost that does not exceed the cost provided in Chapter 119, Florida Statutes, or as otherwise provided by law;and 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 for the duration of the contract term and following completion of the Agreement if the Auditor does not transfer the records to the District; and d. Upon completion of the Agreement, transfer, at no cost to the District, all public records in possession of the Auditor or keep and maintain public records required by the District to perform the service or work provided for in this Agreement. If the Auditor transfers all public records to the District upon completion of the Agreement, the Auditor shall destroy any duplicate public records that are exempt or confidential and exempt from public disclosure requirements. If the Auditor keeps and maintains public records upon completion of the Agreement, the Auditor shall meet all applicable requirements for retaining public records. All records stored electronically must be provided to the District, upon request from the District's custodian of public records, in a format that is compatible with the information technology systems of the District. Auditor acknowledges that any requests to inspect or copy public records relating to this Agreement must be made directly to the District pursuant to Section 119.0701(3), Florida Statutes. If notified by the District of a public records request for records not in the possession of the District but in possession of the Auditor, the Auditor shall provide such records to the District or allow the records to be inspected or copied within a reasonable time. Auditor acknowledges that should Auditor fail to provide the public records to the District within a reasonable time, Auditor may be subject to penalties pursuant to Section 119.10,Florida Statutes. 6 1 1 A 1 IF THE AUDITOR HAS QUESTIONS REGARDING THE APPLICATION OF CHAPTER 119, FLORIDA STATUTES, TO THE AUDITOR'S DUTY TO PROVIDE PUBLIC RECORDS RELATING TO THIS AGREEMENT/CONTRACT, THE AUDITOR MAY CONTACT THE CUSTODIAN OF PUBLIC RECORDS FOR THE DISTRICT AT: INFRAMARK INFRASTRUCTURE MANAGEMENT SERVICES 210 NORTH UNIVERSITY DRIVE, SUITE 702 CORAL SPRINGS, FL 33071 TELEPHONE: 954-603-0033 EMAIL: Sandra.DeMarco@inframark.com Auditor:J.W. Gaines District: Cedar Hammock CDD 4:124'41 By: sy: / District Manager/Secretary f Title: Director Title: Date: September 5,2019 Date: 10/23/19 As approved by the Board at the 10/15/19 CDD meeting. 1611A1 U.S.Department of Ilomcient Security Region IV 3003 Cluuttblee Tucker Road Atlanta,GA 30341 »i rur:. �\ 7:4 , 0)i9, ,, i SEP 3 0 ZOt$ Mr.Jared Moskowitz,Director Mr.Justin Faircloth,Authorized Agent Florida Division of Emergency Management Cedar Hammock Community Development 2555 Shumard Oak Boulevard District 6 Tallahassee,Florida 32399-2100 5911 County Lakes Drive Fort Myers,Florida 33905 Reference: FEMA-4337-DR-FL Cedar Hammock Community Development District 6 PA ID:021-U6BPG-00 First Appeal,Grants Manager Project 7767 Dear Mr.Moskowitz and Mr.Faireloth: This letter is in response to the Cedar Hammock Community Development District 6's (Subrecipient) first appeal of the Federal Emergency Management Agency's(FEMA)decision to deny Public Assistance(PA)funding. The appeal is denied for the reasons discussed below and in the enclosed analysis. To be eligible,a Community Development District must be legally responsible for ownership, maintenance,and operation of an eligible facility that is accessible to the general public. The Subrecipient does not maintain and operate a facility that is open to or serves the general public, and,therefore, is not eligible for PA funding. This letter constitutes the official notification of this determination to the Subrecipient. The Subrecipient may appeal this determination to the Assistant Administrator,Recovery Directorate,at FEMA Headquarters pursuant to 44 C.F.R. §206.206,Appeals. if the Subrecipient elects to file a second appeal,the appeal must: 1)contain documented justification supporting the Subrecipient's position,2)specify the monetary figure in dispute,and 3)cite the provisions in Federal law,regulation,or policy with which the Subrecipient believes the initial action was inconsistent. A second appeal must be submitted to the Florida Division of Emergency Management(Recipient)by the Subrecipient within 60 days of the Subrecipient's receipt of this letter. The Recipient's transmittal of that appeal,with recommendation,is required to be submitted to my office within 60 days of your receipt of the Subrecipient's letter. My office will transmit the second appeal to FEMA headquarters. 1 6 1 1 A 1 If you have questions or need additional information,please contact Mr. Terry L. Quarles, CEM, Director, Recovery Division,at(770)220-5300. S' crely, ; '.i Gracia B. zt_zec fill Regional Administrator Enclosures: Appeal Analysis: FEMA-4337-DR-FL,Cedar Hammock Community Development District 6, Grants Manager Project 7767 Administrative Record Index 2 16I1A1 FIRST APPEAL ANALYSIS FEMA-4337-DR-FL Cedar Hammock Community Development District 6,PA ID:021-U6BPG-90 Grants Manager Project 767—Legal Responsibility Background Hurricane Irma, the ninth named storm of the 2017 hurricane season and strongest hurricane in terms of maximum sustained winds observed in the Atlantic since Hurricane Wilma in 2005, made landfall in the Florida Keys on September 10,2017. Thereafter, Hurricane Irma tracked up and across Florida's peninsula,severely damaging communities along both coasts with strong winds,heavy rain, and storm surge. The event was declared a major disaster(FEMA-4337-DR- FL)on September 10,2017,with an incident period extending from September 4 to October 18, 2017. Strong winds damaged facilities owned and maintained by the Cedar Hammock Community Development District 6(Subrecipient),an independent special district located in Collier County.' FEMA prepared Project Worksheet(PW)7767 to capture damage and associated cost to the surface water management system components at Lake 5(Facility). On April 22,2009,the Subrecipient entered into an operation and maintenance agreement (Agreement)with Cedar Hammock Golf and Country Club(Club)for ease of administration, potential cost savings,and the benefits of full-time on-site operation and maintenance. The Agreement pertains to the lakes,preserves,sidewalks,curbs,gutters,bridges, bulkheads,street signage,entrances, irrigation pump houses,and wells. Further,the agreement states that the Club shall be solely responsible for the staffing,budgeting,financing,billing and collection of fees,assessments,service charges necessary to perform the operation,and maintenance responsibilities 2 In a Determination Memorandum dated February 4,2019,FEMA determined the Subrecipient's Facility ineligible for Public Assistance(PA)funding.3 Specifically,FEMA determined that the Subrecipient was not legally responsible for the Facility nor was the Facility accessible to the general public!' t 2018 Florida Statues,Title XIII,Chapter 190.Community Development Districts. 3 Community Development District Systems and Facilities Operation and Maintenance Agreement,between Cedar Hammock Community Development District(CHCDD),and Cedar Hammock Golf and Country Club (Apr.22,2009). 'FEMA Public Assistance Determination Memorandum(DM),Cedar Hammock Community Development District (CHCDD),FEMA-4337-D11.-FL,PW 7767(Feb.4,2019). PublicAssistwnce Program and Policy Guide, FP I04-009-2,at 10(Apr.2018)(stating,"...a Community Development District must be legally responsible for ownership,maintenance,and operation of an eligible facility that is accessible to the general public"). 1 1 6 1 1 A 1 First Appeal On April 2,2019,the Subrecipient submitted a first appeal to the Florida Division of Emergency Management(Recipient).5 In its appeal,the Subrecipient asserts it is eligible for PA funding because: 1)the district is a local government,2)the facilities serve the general public,and 3)the maintenance agreement does not change the ownership and nature of the facilities. Notably,the Subrecipient states that the District will retain full responsibility for the major capital renewal and replacements for the lake. Further,the Subrecipient contends the agreement neither transfers ownership nor ultimate legal responsibilities for the facilities,6 The Recipient concurred with the Subrecipient and transmitted the first appeal to FEMA with a recommending approval in a letter dated May 21,2019.7 Request for Information FEMA issued a Request for Information(RFI)to the Recipient and Subrecipient on June I4, 2019,1 requesting that the Subrecipient provide documentation supporting that its Facility serves the general public without exclusion to membership,and facility access is not prohibited by gates or other security features. The Subrecipient responded in a letter dated July 14,2019.9 In its response,the Subrecipient states that the facility is not open to members of the community,nor is it open to the general public for traditional recreational activities;however, it provides a service to the general public in the form of flood control and water quality treatment. Discussion Pursuant to Title 44 of the Code of Federal Regulations(44 C.F.R)§206.222,Subrecipient eligibility,10 local governments or special districts as defined by 44 C.F.R§206.2 '1 are eligible Subrecipients under FEMA's Public Assistance program. FEMA's Public Assistance Program and Policy Guide(PAPPG)states: Community Development Districts(CDD)are special districts that finance,plan,establish,acquire,construct or reconstruct,operate, and maintain systems,facilities,and basic infrastructure within their respective jurisdictions. To be eligible,a CDD must be S Subrecipient First Appeal Letter from Authorized Agent,CHCDD,to Florida Division of Emergency Management (FDEM)(Apr.2,2019). 6Id,at2. Recipient First Appeal Letter from Governor's Authorized Representative,FDEM,to Region IV Administrator, FEMA(May 21,2019), a RFL Letter from Recovery Division Director,Region IV,FEMA to Interim Director,FDEM,and Attorney, CHCDD(June 14,2019). s RF1 Response Letter from Attorney,CHCDD,to Director,Recovery Division,Region IV,FEMA(July 14,2019) [hereinafter RFI Response]. 1°Title 44 of the Code of Federal Regulations(44 C.F.R.)§206.222(2016). 11 44 C.F.R§206.2. 2 1611A1 legally responsible for ownership,maintenance,and operation of an eligible facility that is accessible to the general public,t2 Therefore,CDD facilities must be open to the general public or provide a service to the general public to be eligible.13 The Subrecipient's Facility is not eligible for PA funding because it is not open to and does not serve the general public.14 In response to FEMA's RFI,the Subrecipient states that"the facility is not open to members of the community nor is it open to the general public fur traditional recreational activities."ti The Subrecipient also asserts that the Facility is a component of a surface water management system that provides services to the general public in the form of flood control and water quality treatment, However,the ERP issued to the Club on April 14, 2014,states that the stormwater management system serves within an existing 416.70-acre golf course known as Cedar Hammock Golf Course Modification.t6 This permit indicates that the facility does not serve the general public of Collier County, but a gated community,whose facilities ore limited to members of the Club. The Subrecipient has not provided documentation in support of its assertion that the Facility is open to and serves the general public,and that access to the facility is not prohibited by gates or other security features,and,therefore, its facility is not eligible for PA funding. Conclusion The Subrecipient,a Community Development District,does not maintain and operate a facility that is open to or serves the general public;therefore,the appeal is denied. 12 PAPPG,at 10. Id,at 15. 14 PAPPG,at JO. 15 RFI Response,at I. 16 South Florida Water Management District,Environmental Resource Permit No, 11-01683P,at 1(Apr. 14,2014). 3 1611A1 ADMINISTRATIVE RECORD INDEX FEMA-433 7-DR-FL Cedar Hammock Community Development District 6,PA ID:021-U6BPG-00 Grants Manager Project 7767 Doc. No. Document Document Document # of PW Date Type From To Description/ Pages Subject I. 2 7767 05/21/2019 Letter Recipient FEMA Appeal Letter 2. 2 7767 04/02/2019 Letter Attorney/ Subrecipient Recipient 1 Appeal Letter 3. 6 7767 02/04/2019 Letter FEMA Recipient/ Determination Subrecipient Memo Appeal 4. 8 N/A N/A Code of Subrecipient N/A Attachment A; OrdinanceOrdinances No. 99-81 Appeal 5. 5 N/A 4/22/08 Agreement Subrecipient N/A Attachment B: Memorandum of Agreement Appeal 6. 4 N/A N/A Statutes State of Florida N/A Attachment C: 2018 Florida Statutes Appeal 7. 5 N/A 11/27/13 Permit South Florida Water Attachment D: Management District Subrecipient Permit No. 11 01683-P Appeal 8. 2 7767 07/14/2019 Letter Attorney/Subrecipient FEMA Attachment:RF1 Response Appeal Attachment:Rl'1 9. 3 N/A N/A Florida Response 62- Statues Subrecipient N/A 330.301 Florida Administrative Code End of Record 1 1 611A 1 8H. 1 6 1 1 A 1 NEIGHBORHOOD INFORMATION MEETING The public is invited to attend a neighborhood meeting held by Collier County on: Friday,October 25,2019 at 5:30 p.m. Golden Gate Community Center 4701 Golden Gate Pkwy,Naples,FL 34116 Subject Area: The area is located in all four quadrants of the 1-75/Collier Blvd. intersection and Davis Blvd./Collier Blvd. intersection,as shown in the map below. ( Insert Map: lnnovZonelnsetMap) ORDINANCE 2018-39, ADOPTED ON JULY 10, 2018 BY THE BOARD OF COUNTY COMMISSIONERS, ESTABLISHED THE INTERCHANGE ACTIVITY CENTER NO. 9 INNOVATION ZONE; THE INNOVATION ZONE IS INTENDED TO ATTRACT AND RETAIN QUALIFIED TARGETED INDUSTRY BUSINESS AS DEFINED BY FLORIDA STATUTE 288.106, TO PROMOTE ECONOMIC GROWTH WHICH RESULTS IN HIGH WAGE JOBS TO DIVERSIFY THE ECONOMY OF COLLIER COUNTY. THIS GROWTH MANAGEMENT PLAN AMENDMENT IS TO ESTABLISH THE COLLIER BOULEVARD/INTERSTATE 75 INNOVATION ZONE OVERLAY WHICH PROVIDES FOR SPECIFIC ECONOMIC DEVELOPMENT USES THAT ARE ALLOWED WITHIN THE INNOVATION ZONE. [PL20190000821/CPSP-2019-2) WE VALUE YOUR INPUT Business and property owners, residents and visitors are welcome to attend the meeting and discuss the Growth Management Plan amendment with Collier County staff. If you are unable to attend this meeting, but have questions or comments,they can be directed by mail,phone, fax or e-mail by October 25,2019 to: David Weeks Collier County Zoning Division 2800 North Horseshoe Drive Naples,Florida 34104 Email: David.Weeks(a colliercountytl.4ov Phone: (239)252-2306 Fax: (239)252-6689 1 6 1 1 A 1 EXHIBIT PETITION PL20190000821 Collier I3oulevard!lnterState-75 Innovation Zone Overlay Collier County, Florida / SUBJECT SITE PL20190000821 m r r• IS; 7;irdrff . .:~----...„. 17,,„ • / • �/�/moi RADIO RD i FA . ej w Co 0 J m re W J J 0 V ADOPTED-XXX LEGEND Ord.No.XXX I. t :,i Collier Boulevard/Interstate-75 O PREPMEb BY OEM YANG MCP ) GIIE InIhLW ZonostNiEWOEFAASMENI 0 750 1,500 3,000 Feet H� Innovation Zone Overlay ' iI1.E Inn,WM+on 7,bM toratign lAn{'mrC --"' -�- —_ I 1 i 1 I 1 1 1 _ --_._ DOE 08/2049 __.... -_._ 1 6 1 1 A 1 MINUTES OF MEETING CEDAR HAMMOCK COMMUNITY DEVELOPMENT DISTRICT A meeting of the Board of Supervisors of the Cedar Hammock Community Development District was held on Tuesday October 15, 2019 at 2:00 p.m. at the Cedar Hammock Clubhouse, 8660 Cedar Hammock Boulevard, Naples, Florida. Present and constituting a quorum were: Norman Day Chairman Quentin Greeley Vice-Chairman Fred Bally Assistant Secretary John Martino Assistant Secretary Gene Bolton Assistant Secretary Also present were: Justin Faircloth District Manager Sam Marshall District Engineer Jim Kurtezborn Cedar Hammock Golf and Country Club Number of Residents The following is a summary of the discussions and actions taken at the October 15, 2019 Cedar Hammock Board of Supervisors meeting. FIRST ORDER OF BUSINESS Call to Order and Roll Call o Mr. Faircloth called the meeting to order. A quorum was established SECOND ORDER OF BUSINESS Approval of Agenda o Mr. Faircloth asked if there were any changes or additions to the agenda. o Mr. Marshall and Mr. Faircloth had a discussion and a copy of the revised District map as well as new documents from Bridging Solutions were handed out. On MOTION by Mr. Greeley seconded by Mr. Day with all in favor the agenda was approved as presented. 1 1611A1 October 15,2019 Cedar Hammock CDD THIRD ORDER OF BUSINESS Public Comments on Agenda Items o No public comments were received. FOURTH ORDER OF BUSINESS Old Business A. Bulkhead and Bridge Repair/Replacement Project Update o Mr. Faircloth presented the final design received from Mr. Schulties for this project with the changes requested by the Board. The bid documents were also presented. o Mr. Marshall reviewed all the changes to the bid documents. He mentioned, he will verify the web link for the bid documents. The link will be made available where the bidders, Board members or the general public will be able to access all the related documents for the projects. o All documents included in the agenda package were reviewed and further discussion ensued regarding the bid documents, and ensuring the website is updated with all the necessary documents prior to the bid. o Discussion of the pre-bid meeting ensued. Mr. Faircloth stated they can make modifications to the RFP and only notify those who are in attendance at the pre-bid meeting. At the same rate it is a mandatory pre-bid meeting at this point and time as requested previously and if they do not attend the pre-bid meeting they will be unable to bid. o Mr. Day questioned whether it is a two phase project. Mr. Faircloth stated as per Mr. Schulties because of the amount of work they are doing it is anticipated to be a two phase project. o Discussion ensued regarding all the items as it relates to the bid such as the process, the contracts, insurance, dates, time and a number of additional items. o Further discussion ensued regarding the closure of the golf club during the project. o Mr. Faircloth indicated the importance of discussing the fees before they proceed. o Mr. Faircloth was asked by the Board to get proposals for bathymetrics on holes 4,5,10, 16, & 17. He has sent a request to four firms to get proposals and received a proposal from Lake and Wetland Management West Coast in the amount of $5,800 which exceeds the Boards amount by $800. CPH provided a proposal in the amount of $12,500 and there were two other firms which declined to bid for various reasons. 2 1611A1 October 15,2019 Cedar Hammock CDD o Further discussion was had regarding the proposals and the dollar amount. On MOTION by Mr. Greeley seconded by Mr. Bolton with all in favor to rescind the prior motion for bathymetrics in the amount not to exceed $5,000 and put a cap in the amount not to exceed $13,000 to be determined by Kip Schulties was approved. o Mr. Faircloth indicated Mr. Marshall will make the final changes to ensure the Board is onboard with what is being done. On MOTION by Mr. Bally seconded by Mr. Martino with all in favor proceeding with the RFP as amended was approved. FIFTH ORDER OF BUSINESS New Business A. Martella October 5, 2019 Email o This item was tabled by the Board. B. Campus Suite ADA Website Compliance Proposal o Mr. Faircloth presented the proposal from Campus Suite for website compliance. He indicated they had the best price out of all the other companies looked at. The proposal is in the amount of$3,064. o Mr. Faircloth provided an overview of what the ADA is looking for and how it relates to the websites. He indicated the purpose of this proposal and the importance of having this done. o The Board requested Mr. Faircloth to research insurance coverage for ADA issues. On MOTION by Mr. Greeley seconded by Mr. Martino with all in favor the proposal with Campus Suite subject to review by District Counsel was approved. 3 October 15,2019 Cedar Hammock CDD 1 6 I 1 A 1 SIXTH ORDER OF BUSINESS Attorney's Report o None. SEVENTH ORDER OF BUSINESS Engineer's Report A. Cedar Hammock Bulkhead& Bridges Preliminary Schedule Chart o None. EIGHTH ORDER OF BUSINESS Manager's Report A. Approval of the Minutes of July 15, 2019 Meeting On MOTION by Mr. Martino seconded by Mr. Bally with all in favor the minutes of July 15, 2019 meeting were approved as presented. B. Approval of the Minutes of August 22, 2019 Continued Meeting On MOTION by Mr. Bally seconded by Mr. Greeley with all in favor the minutes of August 22, 2019 meeting were approved as presented. C. Acceptance of the Financial Report On MOTION by Mr. Bally seconded by Mr. Greeley with all in favor the acceptance of the financial report was approved. D. Motion to Assign Fund Balance On MOTION by Mr. Greely seconded by Mr. Day with all in favor the unassigned fund balance $311,956 be assigned to bulk head reserves was approved. E. Acceptance of the FY2019 Financial Audit Engagement Letter On MOTION by Mr. Greeley seconded by Mr. Martino with all in favor the FY2019 financial audit engagement letter was accepted. F. Follow-Up Items o Mr. Faircloth indicated all follow-up items were discussed earlier in the meeting. 4 October 15,2019 1 6 1 1 A 1 Cedar Hammock CDD G. Fema Update o A notice of denial from FEMA as it relates to the lake repairs was received but money was received for debris cleanup. NINTH ORDER OF BUSINESS Supervisors Requests o Mr. Greeley asked for staff to provide options to update the CDD Supervisor email accounts. TENTH ORDER OF BUSINESS Audience Comments o None. ELEVENTH ORDER OF BUSINESS Adjournment IOn MOTION by Mr. Martino seconded by Mr. Bolton with all in favor the meeting was adjourned at 4:12 pm. — -cretary ifC/l•r/1^)$11('�� Chairman/Vice-CRman 5 1 6 1 1 A 1 MINUTES OF MEETING CEDAR HAMMOCK COMMUNITY DEVELOPMENT DISTRICT A continued meeting of the Board of Supervisors of the Cedar Hammock Community Development District was held on Thursday September 26, 2019 at 2:00 p.m. at the Cedar Hammock Clubhouse, 8660 Cedar Hammock Boulevard, Naples, Florida. Present and constituting a quorum were: Norman Day Chairman Quentin Greeley Vice-Chairman Fred Bally Assistant Secretary John Martino Assistant Secretary Gene Bolton (by phone) Assistant Secretary Also present were: Justin Faircloth District Manager Jim Kurtezborn Cedar Hammock Golf and Country Club Kipp Schulties Kipp Schulties Golf Design, Inc Cedar Hammock Master Association Members (by phone) Number of Residents The following is a summary of the discussions and actions taken at the September 26, 2019 Cedar Hammock Board of Supervisors meeting. FIRST ORDER OF BUSINESS Call to Order and Roll Call o Mr. Faircloth called the meeting to order. He indicated Mr. Bolton was attending today's meeting by phone. On MOTION by Mr. Bally seconded by Mr. Greeley with all in favor to allow Mr. Bolton to attend by phone and vote during the meeting was approved. SECOND ORDER OF BUSINESS Approval of Agenda o Mr. Faircloth discussed a revised budget for the project. This budget takes into account the changes that were requested by the Board at the continuation meeting. There is a UNAPPROVED 1 16I1A 1 September 26,2019 Cedar Hammock CDD $700,000 increase when they added the contingency that they requested a couple of meetings ago. The 10% contingency the Board agreed to previously was added along with the costs for bridges 9 and 18. The cost for 17 is not associated in there, but that is a minimal cost, as it is the cost for putting wear decking on the bridge. Mr. Faircloth reviewed the revised budget and he indicated Mr. Schulties incorporated all the changes requested by the Board. THIRD ORDER OF BUSINESS Public Comments on Agenda Items o No public comments were received. FOURTH ORDER OF BUSINESS Old Business A. Bulkhead and Bridge Repair o Mr. Schulties was present to discuss the bulkhead/bridge project and the following items were discussed: o Hole#4—no changes to what was presented. o Hole #5 — Mr. Schulties will update the design drawing to show the cap rock walls around the island and both bridges. There were no additional changes. o Hole#7—The Board requested to change the design to a land bridge with a small equalizer pipe and not to have a cap rock bridge. o Hole#10—No changes were made. o Hole#16—the cap rock around the tees o Mr. Schulties stated all the above changes have been added in. Discussion ensued regarding 9 and 18. o When Mr. Schulties was at the last meeting the scope of work was presented which met the criteria of what the CDD needed and the time of closure to try to minimize it to 6-7 weeks for 9 holes, but adding all the changes in, he has no idea how long the course will be closed for, as construction will be much longer than 6-7 weeks. o Further discussion ensued regarding the closures, as well as the designs, and bridges. o Mr. Faircloth stated they need to incorporate Mr. Schulties documents and cut out the items they do not need and incorporate the things that they do. It will take some time putting this all together as one cohesive document that can be utilized. Mr. Faircloth 2 1 September 26,2019 Cedar Hammock CDD 6 I 1 A 1 will send it out for comments from the Board and have in final form by the October 15, 2019 meeting and the plan is to put it out to bid on October 17, 2019. o The Board, Kip Schulties and Mr. Faircloth reviewed all the changes. o Hole#17-there were no changes. o Mr. Day mentioned the issues with the irrigation intake from Lake 1. He feels they should research this further by the Club to see if this issue is present and resolve it during the construction while the equipment is on site. o Discussion ensued regarding the irrigation line. o In discussion regarding the project, Mr. Schulties stated he expects change orders and that is not a bad thing, as some change orders are positive and some are negative. He is expecting this project to come in lower than he has estimated. o Mr. Faircloth reviewed the project. There are no changes on number four and Mr. Schulties is going to update the job on number five, there is no change there. He will update the drawing for number seven. There are no changes on number 10 and on number 16 they are going to connect the rock wall and change the drawing. For number 17 there is no change but they are going to look at the intake and review that issue. It was noted that Mr. Schulties would like to obtain bathymetrics on the lakes for holes 4, 5, 10, 16 and 17. On MOTION by Mr. Day seconded by Mr. Greeley with all in favor to perform bathymetrics on the lakes for holes 4, 5, 10, 16 and 17 in the amount not to exceed$5,000 was approved. o Discussion ensued regarding the irrigation. On MOTION by Mr. Day seconded by Mr. Bally with all in favor for an irrigation consultant in the amount not to exceed $8,000, with Mr. Schulties requesting a proposal from Dave Regan was approved. 3 1 6 1 1 A 1 September 26,2019 Cedar Hammock CDD o Mr. Schulties stated the bids will be sent out on October 17, 2019 and final bids are to be received on November 19, 2019. He mentioned he normally goes through a second round of bidding. o Mr. Faircloth stated they would review them at the December 9, 2019 meeting and should be able to go forward with contract negotiations based on the decision by the Board. Should contract negotiations fail with one vendor they can move to the next one. Further discussion ensued regarding this matter. o Discussion ensued regarding the issue some Board members were having with their emails. Mr. Faircloth provided an overview of the email process. o Mr. Faircloth continued his discussion regarding Mr. Schulties' bid. Also discussed was the process for the documents to be received. o Mr. Faircloth mentioned the proposal from Bridging Solution which he indicated, they would not have to go out to bid as the proposal is under$35,000. The number of phases of this construction was discussed. On MOTION by Mr. Martino seconded by Mr. Bally with all in favor the proposal from Bridging Solutions with the condition that the timeframe of this work matches and covers the construction in the amount of$34,860 was approved. o The bid process was discussed further. o Mr. Faircloth noted he is still waiting to receive from the State an executed copy of the Statewide Mutual Aid Agreement. o Mr. Faircloth continued, they need to discuss what the Board plans on doing on the bridges on 9, 17 and 18 and the Board has a full understanding of what the project encompasses. o Discussion ensued regarding additional funding or increasing the assessment for next year to cover the costs, but these funds would not be available until the Spring of the following year. Once they know where the bids are at, they will know if they have enough money to do the project. o Discussion ensued regarding possibly getting a loan for the whole thing and spreading it out over 10 years. 4 1611A1 September 26,2019 Cedar Hammock CDD o Mr. Faircloth will be bringing a proposal for ADA website compliance for consideration at the October meeting. o Discussion ensued regarding a number of additional items. Mr. Faircloth asked that the Board review all the documents sent to them so a consensus can be made. Let the record reflect Mr. Greeley left the meeting. o Mr. Faircloth went over the bidding schedule. FIFTH ORDER OF BUSINESS New Business o None. SIXTH ORDER OF BUSINESS Attorney's Report o None. SEVENTH ORDER OF BUSINESS Engineer's Report A. Cedar Hammock Bulkhead & Bridges Preliminary Schedule Chart o Item was discussed at the July 15, 2019 meeting. EIGHTH ORDER OF BUSINESS Manager's Report A. Approval of the Minutes of June 17, 2019 Meeting B. Financial Report C. Report on Registered Voters D. Follow-Up Items i. Fema Update o All items were approved and discussed at the July 15, 2019 meeting. NINTH ORDER OF BUSINESS Supervisors Requests o None. TENTH ORDER OF BUSINESS Audience Comments o None. ELEVENTH ORDER OF BUSINESS Adjournment On MOTION by Mr. Bally seconded by Mr. Martino with all in favor the meeting was adjourned at 4:18 pm. CL-,fr›gt-.9 r Acretary Chairman/Vice-7-airman 5 ,- ,-::''.".. • ...,' - ',14-..1 . \ ' 4. • ft• ••, , • ,..”-- ..j. 6 • - ,, \\,. i . ••• - • ..-• . .4,,,?,,•,,,,44-.;r„. .. .. . .4.-.- -- . , . .., , ., . , ..,,,!...t....-:.,--..;,:•.,..4. :..::‘, .',,,, -••• •: ,.-4 . 4-1,-,.. ..,,,,,, ,,:,:4-4,....:-.. -i,,,,,e/ , .1.H.,;,,;- ,. : , . .. T-• -411a. fr. 0 - - ,,A* . -- - ' ;iitt... ..'',:''' ' :):'''21-!!'''•-,, ,,,.c.,•-A ',,,,i IC,'•:::.:-';•1.,.*....:1 ' . '''''° '1..... -' Vr; ' ...." 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' alkiet'. , .11 1' --Ilis4142 ' '.. ir-- '''' , ' N' ' • ' '' ' , ,. • .e.,''''''.:',,,t.4.''. ' '•J" ' ' % . . ,---44:, - - " ..,L _ ... , ‘" --. -7.--- . •-1. ,„:1, ' ..• - . ..........- . - . . „ ... • . A I' .••• --:, ' '- 4"- ".... •n. ,.. ,.. +0.-.......r... ...... ' , , Individual Assistance Program and Policy Guide (IAPPG) FP 104-009-03 I March 2019 ...77,9,,, FEMA - , ,.... , ,,,.,‘„.....__.,) ..., ... .. ,,..,, -,„ -7 , , 161181 U.S.Department of Homeland Security Washington,DC 20472 '''4 FEMA 4ND SE MEMORANDUM FOR: Regional Administrator Regions I—X FROM: Christopher B. Smith 06;(1 Director Individual Assistance Division SUBJECT: Policy Changes to the Individuals and Households Program resulting from the Disaster Recovery Reform Act of 2018, Section 1212 Section 1212 of the Disaster Recovery Reform Act of 2018 (DRRA) authorizes changes to the provision of Individuals and Households Program (IHP)Assistance. These changes are retroactive to disasters declared on or after August 1, 2017. Specifically, DRRA directs FEMA to: • Remove financial assistance maximum award limits for temporary housing assistance. • Remove financial assistance maximum award limits for accessibility-related real and personal property items for applicants with disabilities or other access and functional needs. • Establish a separate financial assistance maximum award limit for Home Repair and Replacement Assistance. • Establish a separate financial assistance maximum award limit for Other Needs Assistance. FEMA released the Individual Assistance Program and Policy Guide (IAPPG) on March 5, 2019. The guide serves as the singular policy reference for the delivery of Individual Assistance, including IHP. I am authorizing policy changes to the IAPPG as outlined below due to the requirements of the DRRA, Section 1212. The changes are effective immediately and will be incorporated into a subsequent publication of the IAPPG. Temporary Housing Assistance Financial assistance for temporary housing expenses is not limited to a maximum award amount. This includes Lodging Expense Reimbursement(LER), Rental Assistance, and Continued Rental Assistance. • FEMA will consider limited extensions to the LER eligibility period upon a request from the state,territory, or tribe that establishes that local temporary housing resources are unavailable or infeasible. • FEMA may provide Rental Assistance, including initial and continued assistance awards, up to the 18-month period of assistance, plus one additional month when utilized for a security deposit. If the 18-month financial period of assistance is extended,the number of eligible months of Rental Assistance will also be extended. www.fema.gov 1 161181 Accessibility-Related Losses Disaster-caused losses to accessibility-related real and personal property for applicants with a disability or other access and functional need are not subject to a financial assistance maximum award limitation. • The U.S. Small Business Administration disaster loan referral limitations still apply. • This applies to accessibility items currently awarded under Home Repair Assistance and Personal Property. Financial Housing Assistance Maximum Financial assistance for Home Repair and Replacement Assistance for owner-occupied homes is limited to a maximum award amount, adjusted each fiscal year based on the Department of Labor Consumer Price Index for All Urban Consumers (CPI). Financial Other Needs Assistance Maximum Financial assistance for Other Needs Assistance Personal Property,Transportation,Moving and Storage, Medical and Dental, Funeral, Child Care, and Miscellaneous Items is limited to a maximum award amount, adjusted each fiscal year based on the Department of Labor CPI. Below is a chart that depicts these specific changes by type of assistance. IHP Assistance Maximums Type of Assistance Maximum Financial Housing Home Repair Assistance Adjusted annually by CPI Assistance Maximum Home Replacement Assistance Personal Property Assistance Transportation Assistance Moving and Storage Assistance Medical/Dental Assistance Financial Other Needs Funeral Assistance Assistance Maximum Child Care Assistance Adjusted annually by CPI Assistance for Miscellaneous Items Critical Needs Assistance Clean and Removal Assistance Group Flood Insurance Policy Lodging Expense Reimbursement Rental Assistance Continued Rental Assistance Award amount based on No Maximum Applicable Home Repair Assistance receipts, Fair Market Rent accessibility items rates, or line item amounts established by FEMA Personal Property accessibility items IAPPG policy language not specifically referenced in this memorandum remains in effect unless otherwise directed. Should you have any questions or need additional information,please contact Chris Smith, Individual Assistance Division Director, at christopher.b.smith@fema.dhs.gov. cc: Keith Turi,Assistant Administrator, Recovery Directorate Regional Recovery Division Directors, Regions I -X 2 1611B1 Individual Assistance Branch Chiefs, Regions I - X Monty LeMaire, Chief, Individuals and Households Program Service Delivery Branch 3 161181 Individual Assistance ProgramEr�FtiT • ° and Policy Guide (IAPPG) FEMA FREQUENTLY ASKED QUESTIONS What happened after the IAPPG comment period? Comments were adjudicated, finalized, and FEMA is notifying stakeholders about the release of the final document. When will the final IAPPG be published? The final IAPPG will be published on March 1, 2019. How often will the IAPPG be updated? FEMA will conduct a comprehensive review of the guidance no less than every three years. If FEMA determines it necessary to publish new or updated policy language before the next scheduled update, FEMA will update the electronic version of this document and issue a memorandum describing the additions or updates. What is difference between the IAPPG and the IPHUG? IAPPG includes clarifications, additions, and updates to the IHPUG, along with additional stand- alone IA policies. Some information users will find in the IAPPG include: • Updates and clarification of IHP eligibility requirements • Delegation of authorities for certain decisional program extensions • Clarifies specific application processes and program requirements • Establishes guidance, and updates eligibility criteria for temporary housing and rental assistance options What is included in the IAPPG? Below is a table of contents and brief overview for each chapter of the IAPPG. Chapter 1: Introduction • This chapter describes the presidential declaration process, introduces the types of assistance available under FEMA's Individual Assistance Programs, describes program delivery considerations, and explains the federal cost share. Chapter 2: Mass Care/Emergency Assistance • This chapter discusses the role of Mass Care/Emergency Assistance, including its primary activities, Transitional Sheltering Assistance, the Rapid Temporary Repair program, and the National Mass Care Exercise. Chapter 3: Individuals and Households Program (IHP) • This chapter provides an overview of the Individuals and Households Program, including conditions of eligibility, for each type of IHP Assistance available under the Housing 161181 Assistance and Other Needs Assistance provisions of IHP, including financial and direct assistance. This chapter also addresses the recovery of IHP Assistance that was improperly awarded or obtained through fraudulent means. Chapter 4: Disaster Case Management • This chapter provides an overview of the Disaster Case Management federal award program, including conditions of eligibility,pre-and post-award requirements, and closeout. Chapter 5: Crisis Counseling Assistance and Training Program(CCP)Guidance • This chapter provides an overview of the Crisis Counseling Assistance and Training Program, including both the Immediate Service Program(ISP) and Regular Service Program(RSP). Chapter 6: Disaster Legal Services • This chapter discusses the Disaster Legal Services federal award program, including the period of assistance, partner organizations, conditions of eligibility, and delivery of services. Chapter 7: Disaster Unemployment Assistance • This chapter discusses the Disaster Unemployment Assistance federal award program, which is administered by the U.S. Department of Labor with funding from FEMA. Chapter 8: Voluntary Agency Coordination • This chapter discusses the role of the Voluntary Agency Coordination Section and the responsibilities of FEMA's Voluntary Agency Liaisons in both declared and non- declared disasters. 161181 Individual Assistance Program and Policy Guide (IAPPG) Summary of Changes Individuals and Households Program (IHP): • Delegation of Authority: o The IA Division Director must approve all waivers to established policies; and o Operational procedures for oversight and parameters for delegated authorities (e.g., roles and responsibilities between Headquarters, Regions, and Field leadership) are delineated. • Conditions of eligibility: o Eligibility is clarified for applicants who reside in Coastal Barrier Resources System Areas, Otherwise Protected Areas, or dwellings on non-permanent foundations in Special Flood Hazard Areas; incarcerated applicants; pre-disaster homeless applicants; residents of non-traditional housing; roommates and boarders; and applicants assisted by the U.S. Department of Housing and Urban Development (HUD) pre-disaster. • Housing Assistance (HA)—Financial: o Eligibility for Home Repair Assistance for improvements and upgrades, and for privately-owned houseboats and docks has been clarified; and o Language has been added to clarify that landlords are not eligible for IHP Home Repair and Replacement Assistance. • Housing Assistance (HA)—Direct: o Multi-Family Lease and Repair has been updated to include accessibility improvements to serve a broader range of applicants; and o Recreational Vehicles (RVs) and Direct Lease have been established as new Direct Temporary Housing Assistance options. • Other Needs Assistance: o SBA-Dependent ONA: Reimbursement at actual cost for ADA-compliant personal property is allowed. o Non-SBA-Dependent ONA: FEMA can award Funeral Assistance for deaths indirectly attributed to the disaster in accordance with October 2017 CDC guidelines, and Clean and Removal Assistance is established for flood-affected habitable homes. • A recoupment minimum of$250.00 has been established. • New Policy for Transportation Assistance under Section 425 of the Stafford Act has been established. 161181 Mass Care/Emergency Assistance (MC/EA): • Transitional Sheltering Assistance (TSA): o TSA policy has been removed from the document; specific policy will be issued by FEMA MC/EA for each disaster in which TSA is requested. Voluntary Agency Coordination (VAC): • No significant changes have been made. Community Services: • Disaster Case Management (DCM): o Non-policy content (tools,job aids, etc.) will be hosted in toolkits accessible via the FEMA.gov site; o The application period has been extended to 90 days from the date of major disaster declaration; and o Non-federal entities can be reimbursed for services starting the date of declaration, if approved. • Crisis Counseling Assistance and Training Program (CCP): o No significant changes have been made. • Disaster Legal Services (DLS): o No significant changes have been made. • Disaster Unemployment Assistance (DUA): o No significant changes have been made. SEQUENCE OF DELIVERY 1 61 1 B 1 Individual Assistance Local Government and Emergency Voluntary Agencies Phase '- F, Shelter Clothing, Medical Needs.. Relief Insurance (Such as Homeowners, NFIP etc.) Phase FEMA Registration Call to Register: 1-800-621-FEMA(3362)or TTY 1-800-462-7585 or online at: www.fema.gov or The FEMA app,available in the Apple App Store or Google Play FEMA Housing Assistance (Not SBA Dependent) (An element of the Individuals and Household Program(IHP)) Assistance to ensure housing in a safe,secure and functional environment 1.Temporary Housing 2.Home Repairs or Replacement Financial Assistance Financial Assistance -Rental -Lodging Expense Reimbursement -Direct Assistance -FEMA-provided housing unit Small Business Administration (SBA) Disaster Loans Other Government Disaster Homeowners Homeowners and Renters Businesses Programs Up to$200,000 Up to$40,000 Up to$1,500,000 Disaster Unemployment Assistance (for home repairs (to replace personal property) Crisis Counseling or replacement) Legal Assistance (Applicants must complete the SBA loan application process and be turned IRS Assistance for casualty loss down in order to receive assistance from ONA for personal property, Veterans Assistance vehicle or moving and storage assistance) HUD Housing USDA Rural Housing SBA USDA D-SNAP Assistance SBA Loan Failed income Test Denial/Referral *IHP-Other Needs Assistance(ONA)(SBA *Other Needs Assistance(ONA)(Non-SBA Dependent—must apply to SBA first)Personal dependent,does not require SBA application or Property denial) Transportation(vehicle) Funeral Dental Moving and Storage Medical Other Expenses Group Flood Policy Transportation(public transportation) Maximum assistance for combined total of Housing and Other Needs assistance is $33,300 Long Term Recovery *FY 2017 Long Term Recovery Groups Voluntary Agencies Faith-based Organizations Long Term Recovg v Committees„— .._._.- 161181 This page is intentionally blank. 161181 TABLE OF CONTENTS TABLE OF CONTENTS TABLE OF FIGURES vii Foreword 1 Chapter 1: Introduction 3 I. Presidential Declarations 3 A. Types of Assistance 3 B. Federal Cost Share 4 C. Type of Incident 4 D. Incident Period 4 E. Designated Areas 5 F. FEMA-State/Territory/Tribal Government Agreement 5 II. Individual Assistance Programs Overview 6 A. Chapter 2: Mass Care and Emergency Assistance 6 B. Chapter 3: Individuals and Households Program Assistance 6 C. Chapter 4: Disaster Case Management 7 D. Chapter 5: Crisis Counseling Assistance and Training Program 8 E. Chapter 6: Disaster Legal Services 8 F. Chapter 7: Disaster Unemployment Assistance 8 G. Chapter 8: Voluntary Agency Coordination 9 III. Sequence of Delivery 10 IV. Federal Requirements for IA Programs 12 A. Reasonable Accommodations 12 B. Privacy Act 12 C. Rehabilitation Act 12 D. Program Delivery Considerations 13 Chapter 2: Mass Care/Emergency Assistance 15 I. Overview 15 A. Period of Assistance 15 B. Types of Assistance 1E C. General Eligibility Requirements 16 D. Delivering Mass Care and Emergency Assistance MC/EA 17 II. Sheltering Support 18 A. Description of Assistance 18 B. Partner Organizations 18 161181 C. Triggers for Implementation 18 D. Delivery of Assistance 19 III. Feeding Support 22 A. Description of Assistance 22 B. Partner Organizations 22 C. Triggers for Implementation 22 D. Delivery of Assistance 22 IV. Distribution of Emergency Supplies Support 25 A. Description of Assistance 25 B. Partner Organizations 25 C. Triggers for Implementation 26 D. Delivery of Assistance 26 V. Disability,Access,and Functional Needs Support 28 A. Description of Assistance 28 B. Partner Organizations 28 C. Triggers for Implementation 28 D. Delivery of Assistance 28 E. Personal Assistance Services 29 VI. Reunification Services 31 A. Description of Assistance 31 B. Partner Organizations 31 C. Triggers for Implementation 31 D. Delivery of Assistance 32 E. National Emergency Child Locator Center 33 VII. Household Pets, Service Animals,and Assistance Animals 34 A. Description of Assistance 34 B. Partner Organizations 34 C. Triggers for Implementation 34 D. Delivery of Assistance 34 VIII.Mass Evacuee Support 37 A. Description of Assistance 37 B. Partner Organizations 37 C. Triggers for Implementation 37 D. Delivery of Assistance 37 E. National Mass Evacuation Tracking System 38 IX. Transitional Sheltering Assistance 40 161161 A. Description of Assistance 40 X. Rapid Temporary Repair(Operation Blue Roof)Program 41 A. Description of Assistance 41 B. Partner Organizations 41 C. Eligibility Considerations 41 D. Delivery of Assistance 41 XI. National Mass Care Exercise 42 A. Description of Exercise 42 B. Application Process 42 C. Implementation of Exercise 42 Chapter 3: Individuals and Households Program 43 I. Individuals and Households Program Overview 43 A. Period of IHP Assistance 43 B. Amount of IHP Assistance 43 C. Types of IHP Assistance 44 II. Individuals and Households Program Eligibility 47 A. General IHP Eligibility 47 B. Additional Eligibility Considerations 56 C. Appeal Process 65 III. Delivering Individuals and Households Program Assistance 68 A. Applying for FEMA IHP Assistance 68 B. Verifying Losses 71 C. Applicant Communication 74 IV. Housing Assistance(Financial) 78 A. Lodging Expense Reimbursement 78 B. Rental Assistance 80 C. Continued Rental Assistance 81 D. Rental Assistance Rate Increase 85 E. Home Repair Assistance 86 F. Privately-Owned Access Routes 88 G. Replacement Assistance 91 V. Housing Assistance(Direct) 93 A. Direct Housing Assistance Request and Approval 93 B. Direct Temporary Housing Assistance Conditions of Eligibility 96 C. Direct Temporary Housing Assistance Terms and Conditions 98 D. Multi-Family Lease and Repair 107 iii 161161 E. Transportable Temporary Housing Units and Site Types 112 F. Disposing of TTHUs through Sales to Occupants and Donations 118 G. Direct Lease 124 H. Permanent Housing Construction 127 VI. Other Needs Assistance 133 A. ONA Options and Cost Shares 133 B. Non-Small Business Administration-Dependent 137 C. SBA-Dependent 152 VII. Recovery of Program Funds 164 A. Reasons for Recovery of Funds 166 B. Identifying and Verifying Potential Debts 166 C. Notice of Potential Debt and Appeal Process 167 D. Debt Compromise, Suspension,or Termination 168 E. Transfer of Debt to Treasury 169 F. Statute of Limitations 170 Chapter 4: Disaster Case Management 172 I. Overview 172 A. Overview of Services to Survivors 172 B. Program Types 173 C. Waivers to Existing Program Policy 174 D. Authorities 174 II. Immediate Disaster Case Management 175 A. IDCM Period of Assistance 175 B. Transition to Non-Federal Entity DCM Federal Award Program 175 C. Federal and Congressional Review Process 176 III. Disaster Case Management Program 177 A. Period of Assistance 177 B. General Conditions of Eligibility for a DCM Federal award 177 C. DCM Award Roles and Responsibilities 178 D. Pre-Award Requirements for DCM 179 E. Notice of Award(NOA) 184 F. Post-Award Requirements for DCM 184 Chapter 5: Crisis Counseling Assistance and Training Program 190 I. Overview 190 A. Overview of Services to Survivors 190 B. Crisis Counseling vs. Traditional Mental Health Treatment 191 iv 161181 C. Services Funded Through the CCP 192 D. General Conditions of Eligibility for a Federal CCP Award 193 E. Waivers to Existing Policy 194 F. Authorities 194 G. Partner Organizations 194 H. Types of Assistance 194 II. Immediate Services Program 195 A. Period of Assistance for ISP 195 B. Pre-Award Assessment and Application 195 C. Approval Process for ISP 200 D. Notice of Award(NOA)for ISP 201 E. Post-Award Requirements 201 F. Closeout and Records Retention 202 III. Regular Services Program 204 A. Period of Assistance for RSP 204 B. Pre-Award Assessment and Application 204 C. Approval Process for RSP 208 D. Notice of Award(NOA)for RSP 209 E. Post-Award Requirements 209 F. Closeout and Records Retention 212 IV. Considerations for Implementation of ISP and RSP 213 A. Main Components of a Program Management Plan 213 B. Staffing of the CCP 213 C. Data Collection,Evaluation,and Reporting 214 D. Quality Assurance 215 E. General Provisions 215 F. Modifications to Budget and Program Plans 216 G. Appeals 217 H. Procurement Requirements under a Federal Award 217 Chapter 6: Disaster Legal Services 218 I. Overview 218 A. Period of Assistance 218 B. Types of Assistance 218 C. Authorities 219 D. Partner Organizations 219 E. Conditions of Eligibility 219 v 161181 II. Delivery of Services 220 A. Program Approval Process 220 Chapter 7: Disaster Unemployment Assistance 222 I. Overview 222 A. Period of Assistance 222 B. Types of Assistance 222 C. Application Process 223 D. Conditions of Eligibility 224 II. Delivery of Services 225 Chapter 8: Voluntary Agency Coordination 226 I. Overview 226 A. Voluntary Agency Coordination 226 II. Responsibilities of FEMA Voluntary Agency Liaisons 227 A. National Response Coordination Center 227 B. Non-Declared Disasters 227 C. Emergency Declarations and Public Assistance 227 D. Donations and Volunteer Management 228 Appendix A: Transportation Assistance 230 Appendix B: Individual Assistance Program and Assistance Approvals 232 Appendix C: Individual Assistance Policy Supersession 236 Appendix D: Legal Considerations for Recipients of Federal Financial Assistance 238 Appendix E: DCM-Allowable and Unallowable Costs 240 Appendix F: CCP—Allowable and Unallowable Costs 243 Appendix G: Definitions 251 Appendix H: Abbreviations and Acronyms 255 Endnotes 263 vi 161161 TABLE OF FIGURES Figure 1:Disaster Assistance Sequence of Delivery 10 Figure 2: Timeline of Individual Assistance Programs 11 Figure 3:Housing Assistance 45 Figure 4:U.S. Citizenship and Resident Alien 48 Figure 5:Acceptable Documentation to Verify Identity 50 Figure 6: Insurance Eligibility 51 Figure 7:Housing Assistance Documentation to Verify Occupancy 53 Figure 8: Documentation to Verify Ownership 55 Figure 9: Condo and Co-op Assistance 57 Figure 10: Assistance for Roommates and Boarders 58 Figure 11: Assistance for Residents of Non-Traditional Housing 62 Figure 12: Flood Insurance Requirements for Homeowners and Renters 64 Figure 13: Sample Appeal Letter 67 Figure 14: Registration Period 69 Figure 15: Privacy Act Statement and Declaration of Eligibility 71 Figure 16: FEMA Rental Assistance Overview 81 Figure 17: Excerpt of Form 010-0-12 Application for Continued Temporary Housing Assistance 83 Figure 18: Continued Rental Assistance Documentation 84 Figure 19: FMR Calculator 86 Figure 20: General Sequence of FEMA Direct Housing Assistance Options 96 Figure 21: FEMA Notification of Occupant Violations 104 Figure 22: Example of a Penalty Fee 106 Figure 23: Conditions for PHC Repair or New Construction 129 Figure 24: SBA Disaster Loan application process 133 Figure 25: Other Needs Assistance,Non-SBA-Dependent and SBA-Dependent 134 Figure 26: Excerpt of FEMA Form 010-0-11,ONA Administrative Option Selection 134 Figure 27: ONA Administrative Option Responsibility 136 Figure 28: Example—Comparison of Pre-and Post-Disaster Child Care Costs 144 Figure 29: Child Care Assistance Documentation 146 Figure 30: FEMA Deliberative Process for Identifying and Validating Debt Payments 165 Figure 31:DCM Services Provided to Individuals 173 vii 1 6 1 1 B 1 Figure 32: Fiscal and Program Officer Responsibilities 178 Figure 33: DCM Application Required Information and Documents 181 Figure 34: 2 C.F.R. Part 200 Compliance 189 Figure 35: Characteristics of CCP 191 Figure 36: Mental Health vs Crisis Counseling Services 192 Figure 37: Services Funded through the CCP 192 Figure 38: ISP Application Required Information and Documents 196 Figure 39: RSP Application Required Information and Documents 206 Figure 40: VAL Coordination during Non-Declared Emergencies and PA-Only Declarations 228 Figure 41: Delegation of IA Authorities 232 Figure 42: Individual Assistance Policy Supersession 236 Figure 43: Disaster Case Management(DCM)—Allowable and Unallowable Costs 240 Figure 44: CCP—Allowable and Unallowable Costs 243 viii 161181 Foreword Foreword On behalf of the Federal Emergency Management Agency(FEMA), I am pleased to present the Individual Assistance Program and Policy Guide (IAPPG). The IAPPG consolidates information on Individual Assistance (IA)programs offered by FEMA to a state,territorial,tribal, or local government jurisdiction affected by a disaster. The IAPPG will: • Supersede all stand-alone Individual Assistance policies and program guides currently located in FEMA documents and standard operating procedures (SOPs), including the 2016 Individuals and Households Program Unified Guidance (IHPUG); • Provide a comprehensive guide to programs and activities available to the state,territory, tribe, or local government following a disaster; and • Increase consistency in implementation, collaboration in planning, and the sharing of knowledge between states, territories, tribes, local governments, FEMA and other Federal and non-Federal entities who assist disaster survivors. The IAPPG will not replace the existing National Emergency Management Information System (NEMIS)business rules or internal technical manuals, as these describe FEMA's internal processes and business rules for FEMA staff FEMA has archived the policy,program guide, and activity documents listed in Appendix C'. These policy and guidance documents remain in effect for incidents declared prior to March 1, 2019. The policies reflected in this guide are effective for incidents declared on or after March 1, 2019. Any waivers to policy contained in this document must be submitted,with justification,to the IA Division Director for consideration and approval. FEMA will conduct a comprehensive review no less than every three years. If FEMA determines it necessary to publish new or updated policy language before the next scheduled update, FEMA will update the electronic version of this document, issue a memorandum describing the additions or updates, and post both documents at www.fema.gov. („9„),„, cry Keith Turi Assistant Administrator, Recovery 1 1 6 U 8 1 Chapter 1: Introduction This page is intentionally left blank. 2 Chapter 1: Introduction 1 b I 1 B 1 Chapter 1 : Introduction The Individual Assistance Program and Policy Guide(IAPPG) consolidates information on all of FEMA's Individual Assistance(IA)programs and activities and provides a comprehensive policy resource for state,' territorial,tribal,2 and local3 (SLTT) governments,non-governmental partners, and entities that participate in or support the recovery of disaster survivors. The Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended(Stafford Act), Public Law 93-288,42 U.S.C. § 5121 et. Seq.,4 authorizes the President to provide Federal assistance when the magnitude of an incident or threat of an incident exceeds the affected SLTT government's capability to respond or recover. I. Presidential Declarations When a state,territorial, or tribal government determines an incident has exceeded their capability to respond,the Governor or Tribal Chief Executives may request a declaration from the President through FEMA. They must request the declaration within 30 days of the incident. FEMA may extend the deadline if the Governor or Tribal Chief Executive submits a written time extension request within 30 days of the incident stipulating the reason for the delay.6 For FEMA to provide assistance,the President must declare that an emergency or major disaster exists. A declaration establishes the following: • Types of assistance • • Federal cost share 4 Images offlood • Type of incident Amt damaged homes. • Incident period ,• • • Designated areas A. Types of Assistance ,•s 40„. • fs The declaration designates the types of • Federal programs and assistance available. Assistance varies,but may be available to SLTT governments, certain types of Private Non-Profit(PNP) organizations and Faith Based Organizations, or to individuals and households. Through the Individual Assistance (IA)programs, FEMA provides direct assistance to individuals and households, as well as SLTT government to support individual survivors. Through the Public Assistance (PA)program, FEMA provides grants to SLTT governments and certain PNP organizations to assist them with disaster response and recovery, including debris removal, emergency protective measures, and permanent restoration of facilities. For more 3 161181 Chapter 1: Introduction information, see the Public Assistance Program and Policy Guide (PAPPG), FP 104-009 January 2018. B. Federal Cost Share The assistance FEMA provides through its PA program and '_- • some types of IA are subject to a cost share. For IA, FEMA provides 100%of Federal Individuals and Households Program(IHP)Housing Assistance, Disaster Case Management(DCM), Disaster Unemployment Assistance (DUA), Disaster Legal Services (DLS), and Crisis Counseling and Training Program(CCP) costs. However, IHP Other Needs Assistance(ONA), and Transitional r Sheltering Assistance(TSA) are subject to a cost share between FEMA and the state,territorial, or tribal $ '� "+ government. FEMA covers 75% of eligible ONA and TSA - ' 1- 42011r, costs, and the state,territorial, or tribal government is # responsible for the remaining 25%.8 Above:A disaster-destroyed home. C. Type of Incident Below: Volunteers repair a home. The declaration designates the type of incident(e.g., hurricane,tsunami, earthquake, etc.). For Emergency Declarations, an incident is any instance the President determines warrants supplemental emergency assistance to the state, territorial, or tribal government to save lives and protect property,public health, and safety, or to lessen or avert the threat of a catastrophe. For Major Disaster Declarations, an incident is any natural catastrophe (including but not limited to earthquake, hurricane, flood,volcanic eruption, severe winter weather, storm surge,tsunami, wildfires, landslide, mudslide, extreme winter weather, snowstorm,high winds, ice storm, straight line winds, drought) or man-made hazards (including fire, explosion,technological failure), regardless of cause, that produces damage of sufficient severity and magnitude in the President's determination to warrant supplemental assistance to a state,territorial, or tribal government.9 Major Disaster Declarations may include a combination of incident types, including man-made and natural. D. Incident Period The incident period is established by FEMA in the FEMA-State/Territory/Tribal Government Agreement and published in the Federal Register.10 The incident period is the span of time during which the Presidentially-declared incident occurs. This period varies in length depending on the incident. 4 161161. Chapter 1: Introduction E. Designated Areas The declaration designates which counties,parishes,tribal lands, municipalities,villages, or districts11 are eligible to receive Federal assistance. The Governor, Governor's Authorized Representative (GAR), or Tribal Chief Executive may request the designation of additional areas within 30 days of the declaration or the end of the incident period,whichever is later. F. FEMA-State/Territory/Tribal Government Agreement After every declaration, FEMA and the state,territorial, or tribal government enter into an agreement documenting the understanding, commitments, and conditions under which FEMA will provide assistance (FEMA-State/Territory/Tribal Government Agreement).12 FEMA and the Governor or Tribal Chief Executive must sign this agreement before FEMA provides assistance. If necessary,because of extreme circumstances, FEMA may authorize essential emergency services or assistance while the agreement is in the signature process. 5 161181 Chapter 1: Introduction II. Individual Assistance Programs Overview A. Chapter 2: Mass Care and Emergency Assistance 1. Overview Mass Care and Emergency Assistance(MC/EA) is the provision of life-sustaining services to disaster survivors as defined in the National Response Framework. MC/EA services are provided immediately before a potential incident, during the immediate response to an incident, and during the beginning of the post-disaster recovery effort. To provide more effective coordination, MC/EA will deploy staff and resources to the National Response Coordination Center(NRCC), Regional Response Coordination Center(RRCC), FEMA Joint Field Office (JFO), and/or SLTT Emergency Operations Centers (EOC). In the event of a Presidentially-declared disaster, all impacted survivors are eligible to receive MC/EA services. 2. Types of Services and Delivery MC/EA is composed of seven services known as activities. Activities include: sheltering; feeding; distribution of emergency supplies; support for individuals with disabilities and others with access and functional needs; reunification services for adults and children; support for household pets, service animals, and assistance animals; and mass evacuee support. In addition to the seven aforementioned activities, MC/EA also supports the National Mass Care Exercise (NMCE) training program and offers partnerships through the Blue Roof Program and Transitional Sheltering Assistance (TSA). MC/EA supports the whole community approach to emergency management. By engaging state and National Voluntary Organizations Active in Disaster(VOAD) and other various entities involved in delivering post-disaster aid, MC/EA increases capacity to meet the life-sustaining needs of survivors in catastrophic disasters. MC/EA coordinates the delivery of assistance for both pre-disaster preparedness and post-disaster emergency support to individuals. Pre-disaster technical assistance is provided to organizations critical in supporting mass care, including: FEMA's Response, Recovery, and Logistic Management Directorates; the National Preparedness Directorate; SLTT governments,FEMA Regions, and Federal agencies. B. Chapter 3: Individuals and Households Program Assistance 1. Overview IHP Assistance provides financial assistance and direct services to eligible individuals and households who have uninsured or underinsured necessary expenses and serious needs. IHP Assistance is not a substitute for insurance and cannot compensate for all losses caused by a disaster; it is intended to meet basic needs and supplement disaster recovery efforts. IHP Assistance is not considered income or a resource when determining eligibility for welfare, income assistance, or income-tested benefit programs that the Federal government funds, such as 6 1611131 Chapter 1: Introduction Social Security benefits or disability income. IHP Assistance is also exempt from garnishment or seizure, but this exception does not apply to assistance recovered by FEMA after being received in error or fraud. 2. Types of Services and Delivery IHP Assistance is comprised of two provisions, Housing Assistance and Other Needs Assistance (ONA). Housing Assistance may be provided in the form of financial assistance(funds provided to an applicant) or direct assistance (housing provided to the applicant by FEMA). Examples of financial assistance include Lodging Expense Reimbursement(LER), Rental Assistance, Home Repair Assistance, and Replacement Assistance. Examples of direct assistance include Multi- Family Lease and Repair(MLR), Transportable Temporary Housing Units (TTHUs), such as Recreational Vehicles (RVs) or Manufactured Housing Units (MHUs), Direct Lease, and Permanent Housing Construction(PHC). , Some types of ONA may only be provided if it I an applicant does not qualify for a disaster '1' a ..-• ,.,p loan from the U.S. Small Business �'� JR ` Administration(SBA); these are known as . 1 SBA-dependent types of ONA and include ft,r, " ^ m, Personal Property, Moving and Storage, ��`�,. ' Transportation Assistance, and Group Flood D g�';"""'` ` Insurance Policy(GFIP). Non-SBA- I dependent ONA includes Funeral Assistance, .....v0001 - Medical and Dental Assistance, Child Care FEMA disaster assistance staff provide applicants Assistance,Assistance for Miscellaneous information on FEMA disaster assistance programs, Items, Critical Needs Assistance, and Clean such as Other Needs Assistance(ONA)for eligible and Removal Assistance. disaster-caused expenses. IHP Assistance is limited to 18 months following the date of the Presidential disaster declaration; however, FEMA may extend the period of assistance due to extraordinary circumstances. C. Chapter 4: Disaster Case Management 1. Overview DCM is a time-limited process that promotes partnership between a case manager and a disaster survivor in order to assess and address a survivor's verified disaster-caused unmet needs through a disaster recovery plan. This disaster recovery plan includes resources, decision-making priorities,providing guidance, and tools to assist disaster survivors. 2. Types of Services and Delivery FEMA is authorized to provide case management services,to include financial assistance, to SLTT government agencies, or qualified private organizations (non-Federal entities), so that they may provide case management services to survivors in order to identify and address disaster- caused unmet needs. 7 161181 Chapter 1: Introduction D. Chapter 5: Crisis Counseling Assistance and Training Program 1. Overview CCP provides supplemental funding to eligible SLTT governments and non-governmental organizations to assist disaster-impacted individuals and communities in recovering from the major disasters through the provision of community-based outreach and psycho-educational services. The goal is to aid survivors in recovering from the adverse reactions to disasters and to begin to rebuild their lives. 2. Types of Service and Delivery CCP services include funding for supportive crisis counseling, psycho-education, development of coping skills, and linkage to appropriate resources. CCP services are separated into two categories: primary and secondary. Primary services are high-intensity and include such needs as crisis counseling,public education, and community support. Secondary services are those that have a broader scope and are less intense. These include the development and distribution of educational material as well as media and public service announcements. CCP services are available through the Immediate Services Program(ISP) and the Regular Services Program (RSP). ISP provides funding for up to 60 days following a major disaster declaration with IA. RSP provides longer-term funding for up to nine months from the notice of award. E. Chapter 6: Disaster Legal Services 1. Overview DLS provides legal aid to survivors affected by a Presidentially-declared major disaster through an agreement with the Young Lawyers Division(YLD) of the American Bar Association. DLS is put into effect during Presidentially-declared disasters and is available to survivors who qualify as low-income. 2. Types of Services and Delivery DLS is limited to cases that would not normally incur legal fees. Typically,the types of legal assistance offered include help with insurance claims (e.g. health,property, or life),recovery or reproduction of legal documents lost in the disaster, help with home repairs and disputes with contractors and/or landlords, the preparation of powers of attorney and guardianship materials, and FEMA appeals. F. Chapter 7: Disaster Unemployment Assistance 1. Overview DUA provides unemployment benefits and re-employment assistance services to survivors affected by a Presidentially-declared major disaster. These services are under the responsibility of the U.S. Department of Labor and administered by the SLTT government emergency 8 161161 Chapter 1: Introduction management officials of the affected area(s). DUA is only available to those survivors who are not eligible for regular state unemployment insurance(UI). 2. Types of Services and Delivery State law determines the amount of financial assistance a survivor may receive, so the amount of services varies state-to-state and disaster-to-disaster. DUA is a finite assistance tool: benefits are usually paid for up to 26 weeks post the disaster declaration. The continuation of assistance is dependent upon the survivors' period of unemployment as a direct result of the disaster. G. Chapter 8: Voluntary Agency Coordination 1. Overview Voluntary agencies are among the first to provide survivor support services post-disaster and continue throughout the recovery period. They complement Federally-provided assistance and may support gaps in coverage. FEMA's Voluntary Agency Coordination is staffed by personnel known as Voluntary Agency Liaisons (VALs). VALs establish and maintain relationships among voluntary agencies active in response and recovery, coordinate with the VOAD,provide guidance on donations management, and support NGOs that provide volunteers to affected jurisdictions. 2. Types of Services and Delivery The VAL's role is a critical component in all types of disasters—IA disaster declarations, PA- only disaster declarations, and non-Federally declared disasters—since voluntary agencies are so often both the first and the last to provide assistance to survivors. VALs support communities in conducting unmet needs assessments and organizing early coordination efforts, as well as developing and guiding local long-term recovery groups created to assist individuals and families with the recovery process. 9 1611B1 Chapter 1: Introduction III. Sequence of Delivery The sequence of delivery establishes the order in which disaster relief agencies and organizations provide assistance to disaster survivors.13 This is intended to prevent duplication of benefits, maximize available resources, and coordinate efforts to help disaster survivors navigate the recovery process.Figure 1 shows the sequence of delivery of assistance after a disaster. Figure 1: Disaster Assistance Sequence of Delivery Voluntary Agencies and Mass Care Insurance Emergency Food,Shelter.Clothing.Medical Needs Honteow net..Reuter.Flood.etc. Federal assistance may be available for uninsured or underinsured needs, or when insurance benefits are significantly delayed.* FEMA Housing Assistance Financial:Lodging Expense Reimbursement(LER),Rental.Repair.and Replacement Assistance Direct:Multi-Fancily Lease and Repair(MLR),Transportable Temporary Housing Unit(TTHL-). Direct Lease.Permanent Housing Construction(PHC) FEMA/Staterrerritorv/Tribal Government ONA Non-SBA-Dependent Items (Funeral.Medical.Dental.Child Care.Critical Needs Assistance.Clean and Removal.Other) SBA Income Evaluation(Repayment Capability) To determine if the applicant can qualify for a low-interest SBA loan. The applicant must complete the SBA loan application and be denied for a loan to he eligible for further FE\L1 assistance. SBA Referral FEMA/StateON_A For SBA-Dependent items and those applicants SBA-Dependent Items who qualify for a low-interest loan. For those applicants who do not qualify for an SBA loan. Real Property(owners)loans up to S200.000. Personal Property(owners&renters) loans up to 540,000. Personal Property Transportation Moving and Storage Group Flood Insurance Policy i Unmet Needs—Voluntary Agencies FE\LA will coordinate with whole community partners to address remaining unmet needs once an applicant has received all federal assistance for which they are eligible. *Eligibility for Federal assistance is based on each applicant's individual circumstances as they relate to each program's conditions of eligibility. Not all applicants will be eligible for all forms of Federal assistance. 10 161181 Chapter 1: Introduction See Figure 2 for a comprehensive visualization of the timeline of IA programs. Figure 2: Timeline of Individual Assistance Programs Mass Care and Emergency Crisis Counseling Assistance Assistance(MC/EA) and Training Program(CCP) 0 The,seven MC/EA/EA activities Iuuuediate,Service Program begin immediately before or ©(ISP)Application deadline immediately after a disaster r 14 dayshorn the date of incident tine inarpr disaster r„ declaration with IA. © Blue Roof Program provides d a free temporary root front 1 e © ISP services last up to 60 LI�SACS toprovides vols days from the to of the short-teen elr tmtil t ie 1 major disaster declaration homeowner can make with IA. permanent repairs. Presidential Disaster' Regular Service Program © Transitional Sheltering © (RSP)application is due no Assistance.may be aultoiized Declaration Eater than60 days after the b�ythe Assistant Administrator date 01 cieclaratfon. ((AA)for Recovery up to 180 days froth the date of 2 3 1 1 Declaration. 2 0 RSP services last lip to 9 eip months f�om the ate of the 1 notice oIt award. A 4 et Disaster Legal Services .i 740 (DLS) ©DLSmay be available to Individuals and Households smuvivors after a major Program(IHP) © �ti IAaster declaration with 0 Initial Registration for II)P Assistance starts on the date Disaster Unemployment Il1tdividual AssiVance was designated for the declaration 2 .'Q Q Assistance(DUA) and nuns for 60 days. r Applications for DUA begin © The Regional Administrator ©after t disaste declarationth (RA)may extend IIIhe initial and c c s 30 �ys nom the • egistration period. ! ,", date o theepn rc announcement of DUA 3 , 2 availability. cnFEMA will accept lar registrations for'IHP for n additional 60 days after thhe, c0 p li ants he timei 21 claimar initial registration period with a�s om the a g 1 is file to provide proof of extenuating circum stances. 3 employment. 0 IHP Assistance lasts for a 0 UA benefits ray be pal period of up to 18 months. 4 or no loner than 26 weeks e outing ue ray week oflowutg a nla�1 or disaster r declaration witfi IA. c 0 4 Voluntary Agency Coordination Disaster Case Management (DCM) ©Voluntary Agencies are the c first st p torta tees mune pia l before or Application deadline no A irectly alter-a isaster and later than 90 days after the P continue throughout the I.A declaration. response and recovery 2 phases. DCM funding ma continue le tor up to 24 thpnt s from the ©Voluntary Agencies provide Baster of the major aster support after Federal and declaration. Stafe services have ended. 11 161181 Chapter 1: Introduction IV. Federal Requirements for IA Programs A. Reasonable Accommodations at Reasonable Accommodations FEMA makes reasonable accommodations k. Applicants may request reasonable to policies,practices, and procedures to accommodations to access FEMA programs and ensure physical, programmatic, and services at any time, including during effective communication access to FEMA registration, inspection, community meetings, disaster assistance. This may include using briefings,or any other event when FEMA is technologies and services to ensure present. effective communication with applicants with limited English proficiency(LEP), applicants with disabilities, and others with access and functional needs. For additional information, see Chapter 1, IV. D. later in this chapter. B. Privacy Act Determining eligibility for FEMA assistance requires applicants to provide 0 Privacy Act personal information, such as a Social Security Number(SSN), home address, and The Privacy Act of 1974 protects the household income. applicant's rights as to how FEMA uses and shares personal information.The Stafford Act I The Privacy Act of 1974 regulates how and other authorities allow FEMA to collect this I FEMA collects,uses, and discloses an information to determine eligibility and applicant's personal information in order to administer FEMA disaster assistance as a result protect the privacy of the applicant. For of an Emergency or a Presidentially-declared example, FEMA employees and contractors disaster.Information shared with other agencies I will always verify an applicant's identity will not be used for any purpose other than before discussing eligibility or potential assisting the applicant's recovery,preventing duplication of benefits,or informing other assistance. disaster recovery programs. i iC. Rehabilitation Act FEMA may share the applicant's information outside of FEMA with entities such as states, The Rehabilitation Act of 1973, as territorial,tribal,and local governments, P amended, applies to all FEMA-conducted voluntary organizations, and other organizations and assisted activities and requires in accordance with published routine uses compliance with physical,program, and identified in DHS/FEMA-008 Disaster effective communication access throughout Recovery Assistance Files System or Rcccord� Notice.FEMA shares this information to enable all aspects of FEMA assistance. the applicant to receive additional disaster i assistance,prevent a duplication of benefits,and 1 prevent future disaster losses. 12 1611B 1 Chapter 1: Introduction All FEMA staff and contractors will present an identification badge to ensure applicants know they are providing private information to a trusted FEMA representative. The Rehabilitation Act of 1973 protects the civil rights of persons with disabilities. It prohibits discrimination on the basis of disability by the Federal government, Federal contractors, and by recipients of Federal financial assistance. Any recipient or sub-recipient of Federal funds is required to make their programs accessible to individuals with disabilities. The Act's protections apply to all programs and businesses that receive any Federal funds. This applies to all elements of physical/architectural, programmatic and effective communication accessibility in all services and activities conducted by or funded by the Federal government, including all elements of Individual Assistance. Given the magnitude of a catastrophic incident, waivers, 1111111111 exceptions, and exemptions to policy,regulations, and laws may Se^s- PeroOle 10..�,ora. be available in order to save and sustain life and to protect and s"°"""�"` property and the environment. However, any such waivers, exceptions, and exemptions must be . consistent with laws that preserve human and civil rights and protect individuals with disabilities and others with access and functional needs. D. Program Delivery Considerations FEMA pamphlets designed for disaster survivors with FEMA is committed to providing equal access to all applicants. disabilities and others with This section outlines program delivery considerations for access and functional needs. applicants with disabilities and/or others with access and functional needs,those with LEP,those residing in insular areas, and tribal governments. 1. Applicants with Disabilities and Others with Access and Functional Needs FEMA makes reasonable accommodations to policies,practices, and procedures to ensure physical,programmatic, and effective communication access to FEMA disaster assistance. This may include using technologies and services to ensure effective communication with applicants with LEP, applicants with disabilities, and other individuals with access and functional needs. Disaster survivors may request and receive reasonable accommodations to access FEMA programs and services at any time, including during registration, inspection, community' meetings,briefings, or any event where FEMA is present. To request a reasonable accommodation, applicants can 1) call 800-462-7585 for Text Telephone (TTY) or 800-621-3362 for 711 or Video Relay Service(VRS); or 2) speak with a FEMA team member at a Disaster Recovery Center(DRC), or 3) a Disaster Survivor Assistance team member, or 4) submit a written request through the Disaster Assistance webform. 13 16118 1 Chapter 1: Introduction Effective communications access is available for applicants with a disability or who have an access or functional need. Applicants should call 800-621-3362 or 800-462-7585 for TTY. Effective communications access is available where FEMA programs and services are provided including registration, inspection, community meetings, briefings, or any event where FEMA is present. Effective communications access may include,but is not limited to: o American Sign language (ASL) interpreter o Foreign language interpreter o Video Relay Interpreting(VRI) o Assistive listening devices o Braille/Large Print o Reading Assistance Services • Access to DRCs that comply with the Americans with Disabilities Act (ADA) and Section 504 of the Rehabilitation Act, which include: wheelchair accessibility into the facility, accessible restrooms, and accessible paths of travel from the parking lot and throughout the facility, as well as multi-lingual signage and technology to address a variety of access and functional needs. • ASL interpreters and/or Communication Access Real-time Translation(CART) at DRCs and public/community outreach events and field staff equipped with tablet computers that can access VRI for applicants who use ASL. • Assistance and program modification for applicants who are having difficulty understanding the registration process, denial letters, or the appeal process. 2. Applicants with Limited English Proficiency FEMA ensures all applicants receive critical, accessible, and understandable disaster assistance communications, regardless of language proficiency. To best assist these applicants, FEMA provides all of the following: • Disaster information in languages identified through demographic analysis of the impacted area; • Translation and interpretation services available in 250 languages to assist non-English- speaking disaster survivors; • Staff to identify language needs and connect disaster survivors to applicable translation services; • VRI for ASL or on-site translation at DRCs; • Appropriate referrals for applicants with disabilities and others with access and functional needs who also have LEP; and • Spanish language instructions through https://www.disasterassistance.gov/es where individuals can register for assistance. 14 161161 Chapter 2:Mass Care/Emergency Assistance Chapter 2: Mass Care/Emergency Assistance Overview FEMA Mass Care/Emergency Assistance(MC/EA)provides coordination and support to state, territorial, tribal and local (SLIT) governments and/or jurisdictions for the provision and/or direct delivery of life-sustaining services to disaster survivors as defined in the National Response Framework, Emergency Support Function#6 (ESF#6).14 The National Mass Care Strategy—the strategy which underlies capacity development for and deployment of MC/EA services—was developed in partnership with the American Red Cross and other mass care practitioners, and serves as a Federal guide formim the provision of national mass care capability. } FEMA is committed to supporting the further ' L0 development and implementation of the strategyoj and its goals by: ;( i ! 11flie. • Providing technical assistance such as i planning support, subject matter expertise, etc.; 1` MSP. • Financing invitational travel and � supporting National Mass Care Exercises; FEMA Mass Care Specialist and Southern Baptist Disaster Relief nurse place donated respirators in a • Hosting webinars; storage unit in Moore, Oklahoma following tornados. • Co-branding guidance documents and tools; and • Serving as the convener and facilitating the engagement of the public and private sector in the creation of multi-agency guidance and templates. In support of its mission,MC/EA will deploy staff and resources to the National Response Coordination Center(NRCC), Regional Response Coordination Center(RRCC), FEMA Joint Field Office (JFO), SLTT government Emergency Operations Center(EOC), and/or other field assignment settings. During Presidentially-declared disasters, most MC/EA services are funded under the Stafford Act Section 40315 (commonly referred to as Category B: Emergency Protective Measures) subject to the applicable cost share. Section 403 assistance for MC/EA services may be provided via Direct Federal Assistance (DFA). A. Period of Assistance MC/EA services may be provided before a potential incident, during the immediate response to an incident, and during the recovery phase after a disaster or incident. 15 16I1bj. Chapter 2: Mass Care/Emergency Assistance B. Types of Assistance FEMA MC/EA is responsible for the coordination of seven activities or services detailed under the MC/EA functions of ESF#6 and has a unique partnership with the American Red Cross as the co-lead agency for the Mass Care component of ESF#6. The seven activities included are: • Sheltering(congregate and non-congregate); • Feeding; • Distribution of emergency supplies (including but not limited to, medications, baby diapers and formula, clothing from donation management, Commonly Used Shelter Items (CUSI), mobile feeding, meal preparation kits, and other commodities); • Support to individuals with disabilities and others with access and functional needs; • Reunification services for adults and children; • Support to household pets, service animals, and assistance animals; and • Mass evacuee support. In addition to these seven activities, FEMA MC/EA supports training and exercises, like the National Mass Care Exercise (NMCE), and also provides partnered assistance through: • Transitional Sheltering Assistance (TSA) (See Chapter 2, IX.) .4,t s--: • Blue Roof program (United States Army Corps of Engineers 441 jUSACE]) (See Chapter 2, X.) C. General Eligibility Requirements ... All survivors impacted by a disaster are eligible to receive MC/EA services. There is no application process for MC/EA — • services as these are most often life US Army Corps of Engineers'Blue Roof Program helps to sustaining. These programs will be prevent further damage to structures as a result of Hurricane delivered directly to disaster survivors and Katrina in Biloxi,Mississippi. impacted communities typically through SLTT partners and non-profits with technical assistance and resource support from FEMA. Two notable exceptions to this general rule are the TSA(See Chapter 2, IX) and the Blue Roof Program (See Chapter 2, X), which do have specific eligibility criteria. 16 Chapter 2: Mass Care/Emergency Assistance l b i 16 1 D. Delivering Mass Care and Emergency Assistance MC/EA FEMA MC/EA coordinates and supports assistance for both pre-disaster preparedness and post- disaster emergency support to individuals through other FEMA divisions, Federal agencies, partner SLTT governments, and non-government organizations (NGOs). Pre-disaster technical assistance is provided to: • FEMA's Response, Recovery, and Logistics Management Directorates in the development of National and Regional response and recovery operational plans, catastrophic plans, and other critical operational planning documents and activities; • The National Preparedness Directorate in the development and implementation of FEMA doctrine, Planning Guidance, the Resource Typing initiative, the National Exercise Program, and the National Preparedness Report as well as fulfillment of Presidential Policy Directive 8 (PPD-8)requirements; and • SLTT governments, FEMA Regions, and other Federal agencies including, but not limited to USACE, Corporation for National and Community Service (CNCS), General Services Administration(GSA),the Department of Health and Human Services (HHS), the United States Department of Agriculture (USDA), the United States Department of Veterans Affairs (VA), and the Department of Defense(DOD). FEMA is committed to the whole community approach to emergency management and works through the FEMA Regions to engage SLTT community experts to identify capabilities, capacities, anticipated shortfalls, and gaps. FEMA MC/EA works with government agencies and voluntary, community, and faith-based organizations to secure the development of multi-agency guidance,planning templates, training and other resources through pre-scripted mission assignments (PSMAs), interagency agreements (IAAs), and memoranda of agreement(MOAs) to expedite the ability to meet anticipated needs. Resources and services provided via PSMA, IAA, and MOA include but are not limited to, staffing for NRCC/RRCC/State EOC, Blue Roof program mission for USACE, shelter support,AmeriCorps assistance from CNCS, Retired and Senior Volunteer Program(RSVP)under CNCS, activation of National Disaster Medical System (NDMS), etc. 17 1611B1 Chapter 2: Mass Care/Emergency Assistance II. Sheltering Support A. Description of Assistance FEMA MC/EA deploys equipment, materials, supplies, and personnel to support disaster- affected jurisdictions in providing life-sustaining services in congregate and non-congregate facilities that provide a secure and sanitary environment for displaced survivors. This support includes providing a s: sanitary, and secure place for evacuees and disaster survivors to stay while displaced from their homes and requires the cooperation and coordination of multiple agencies and organizations. MC/EA also coordinates support to survivors sheltering in place, including people with disabilities and others with access and functional needs, dietary restrictions, household pets, service animals, and assistance animals, and those in ESF#8 medical shelters. Every effort should be made to accommodate those with disabilities and others with access and functional needs in general population shelters. If requested, MC/EA can assist with durable medical equipment, consumable medical supplies, personal assistive services, etc. to provide a basic level of care in congregate shelters and thus ensure that only survivors with acute medical needs be referred to ESF #8 Medical Shelters. FEMA can provide needed resources through in- house capabilities, mission assignments, and/or contract capabilities. During Presidentially-declared disasters, most MC/EA services are direct Federal assistance (DFA),which is funded under the Stafford Act Section 403 (a)(3)(B) (commonly referred to as a Category B) of a Major Disaster or Emergency Declaration, and the Federal share of assistance shall be not less than 75%of eligible cost. Some examples include non-congregate sheltering through TSA, feeding through Individual Assistance-Support Contracts (IASC) and reunification services under the National Center for Missing and Exploited Children.16 B. Partner Organizations MC/EA works with multiple partners in sheltering support efforts including: the American Red Cross, the CNCS, Adventist Community Services (ACS), the Salvation Army, the North American Mission Board(NAMB),National Animal Rescue and Sheltering Coalition(NARSC), National Coalition for the Homeless, Southern Baptist Disaster Relief(SBDR), Feeding America, other National Voluntary Organizations Active in Disaster(VOAD) and many others. C. Triggers for Implementation In the event of a natural or manmade disaster, sheltering support services are triggered by an Emergency Declaration or a Presidential Disaster Declaration authorizing Public Assistance (Category B). There is no individual application process required for survivors as this support is provided in conjunction with the SLTT governments and in accordance with their request. 18 161181 Chapter 2: Mass Care/Emergency Assistance D. Delivery of Assistance —' Pre-disaster responsibilities include preparedness activities and other forms of technical assistance that do not require `y. _f Category B funding such as: == • Providing technical assistance for the Y� development of multi-agency sheltering templates; Federal, state, tribal, and territorial plans; training materials; exercises; and other tools to FEMA coordinates with partners,like the American Red strengthen and enhance the nation's Cross,to provide temporary sheltering support for disaster capacity to support sheltering evacuees. activities; • Analyzing and incorporating best practices and lessons learned into preparedness activities; • Developing contracts, PSMAs, agreements, and other mechanisms to provide resources, programs, and services for sheltering during disaster response activities; • Expanding national capabilities beyond the traditional MC/EA shelter providers to meet Federal Interagency Operational Planning(FIOP) - Response metrics; • Providing technical assistance for the establishment of state/tribal/territorial sheltering task forces; • Providing training to whole community shelter providers; • Providing technical assistance for implementation of FEMA data systems, including the National Shelter System, which supports states with MC/EA planning, data analysis, and mapping and reporting; and • Providing subject matter expertise to internal partners, including, Response, Recovery, Logistics and National Preparedness Directorates, PA, Office of Disability Integration and Coordination, and the National Processing Service Center. Once a disaster has been declared, FEMA MC/EA provides post-disaster support, such as: • Coordinating with other Federal agencies; declared states,territories, and tribes;NGOs; and other partners to analyze and validate the need for human and material resources, programs, and services for sheltering; • Providing subject matter expertise/technical assistance in the NRCC, RRCC, FEMA JFO, Initial Operating Facility(IOF), State EOC, and/or other field settings; 19 161181 Chapter 2: Mass Care/Emergency Assistance • Assisting the state in the implementation of a coordinated and integrated sheltering mission that meets the disaster-caused needs of evacuees and survivors; • Providing resource support through FEMA logistics, including equipment, material, supplies, facilities, shelf-stable meals,water, cots,blankets, andif( Tools and Resources personnel,to support state sheltering operations through • CUSI: Includes DME items, consumable medical mission assignments, contracts, supplies(CMS)items,hygiene kits,and other and other mechanisms; relevant information resources available on the National Mass Care Strategy Website • Monitoring activity, analyzing data,validating information, • Multi-Agency Distribution of Emergency Supplies and reporting on sheltering Plan Template activities; • Federal, SLTT government software systems(e.g., WebEOC) • Identifying resource requirements, shortfalls, and limiting factors; providing information to FEMA, other Federal agencies, SLTT governments,NGOs, and private sector partners; • Providing tools and resources to assist the SLTT government in the implementation of integrated strategies and processes for coordinated sheltering operations; • Monitoring, analyzing, validating, and supporting state requirements, as requested, in order to provide a safe, sanitary, and secure environment for shelter residents; • Facilitating the fulfillment of requests by ensuring that the sequence for obtaining resources is followed; • Providing evacuee and survivor support to SLTT governments through the activation of pre-negotiated blanket purchase agreements (BPAs) and indefinite delivery indefinite quantity(IDIQ) contracts for food and food supplies, durable medical equipment(DME), consumable medical supplies, commonly used shelter items, and other needed commodities; • Supporting SLTT governments during a disaster when sheltering operations needs exceed SLTT government capabilities as outlined in the National Response Framework ESF#6 Annex; • Providing the necessary tools and resources to develop an integrated strategy and process for implementing coordinated sheltering operations by the FEMA JFO and the State Coordinator for carrying out mass care activities, limiting duplication of efforts, and maximizing resources within any state, territorial, or tribal government that have requested Federal assistance; 20 161181 Chapter 2: Mass Care/Emergency Assistance • Facilitating FEMA staff's access to congregate care facilities to assist in the registration of disaster survivors for Federal disaster assistance; • Providing staff support to state for Sheltering Task Force, Multi-agency Sheltering Task Force (MASTF)or other teams,which advise and assist shelter managers with shortfalls and other concerns that may fall outside their area of expertise (e.g., functional needs support and Americans with Disabilities Act [ADA] compliance). See nationalmasscarestrategy.org for more information; • Providing technical assistance for the ESF#6 Support System, which can support the state with congregate care planning, data analysis, mapping, and reporting; • Providing support for the collection of shelter information, including data entry(upon request); • Issuing mission assignments to other Federal agencies, including but not limited to: CNCS to provide AmeriCorps, Senior Corps, Learn and Serve, and/or Volunteers in Service to America(VISTA)volunteers to augment congregate care points of distribution and other operational staffing requirements; HHS for shelter assessment team staff support; USDA for subject matter expertise and technical assistance on household pets, service animals, and assistance animal support activities; and USACE for human and material resources, such as facility inspection teams; • Invitational Travel may provide NGOs and other partners with travel funds to support the ESF#6 functions with essential technical assistance. FEMA can request agencies and individuals to support the mission of MC/EA and augment the leadership team with agency expertise; and • Activating IASC,which can provide a full range of congregate care management and support resources. As IASC services are subject to state cost-share, activation of the IASC is generally considered the last option. 21 1 6 1 1 B 1 Chapter 2: Mass Care/Emergency Assistance III. Feeding Support A. Description of Assistance FEMA MC/EA Section deploys equipment, materials, supplies, and personnel to support SLTT governmental feeding services to evacuees, disaster survivors and their household pets and service and assistance animals, and, in some cases, emergency workers. FEMA and Red Cross (ESF#6 Mass Care Federal CO-Leads)coordinate feeding activities with other Federal agencies, NGOs, and private sector agencies and organizations.17 MC/EA provides resources and technical assistance to SLTT governments before, during, and after a disaster to meet the feeding needs of evacuees. A component of feeding also includes meeting the basic needs of infants, toddlers, children, and people with dietary restrictions and/or culturally appropriate dietary needs. B. Partner Organizations Tools and Resources MC/EA works with multiple partners • Feeding Support Task Force and Feeding in feeding support efforts, including Assessment Team but not limited to: CNCS,USDA, • FEMA Emergency Support Function(ESF)#6 DOD, USACE, American Red Cross, Support Systems(ESF6-SS),which tracks and the National VOAD and its member supports Geographic Information System organizations, e.g., Feeding America, (GIS)mapping of shelter locations,and other the Salvation Army, SBDR, and Federal systems that support feeding activities GreaterGood.org/RescueBank. • FEMA MC/EA Resource Management Tool C. Triggers for Implementation • National Mass Care Strategy Multi-Agency Feeding Plan Template In the event of a natural or manmade disaster, feeding support services are triggered by an Emergency Declaration or a Major Disaster Declaration for PA(Category B). There is no individual application process required for survivors as this support is provided in conjunction with the SLTT governments and in accordance with their request. However, a Major Disaster Declaration for Individual Assistance is required for the Disaster Supplemental Nutrition Assistance Program(D-SNAP), a program which can be authorized by the USDA upon state request. D. Delivery of Assistance FEMA MC/EA provides support to both pre-disaster and post-disaster feeding activities. Pre- disaster responsibilities include: • Providing technical assistance for the development of multi-agency feeding templates, Federal, SLTT government plans,training materials, exercises, and other tools to strengthen and enhance the nation's capacity to support feeding activities; 22 161181 Chapter 2:Mass Care/Emergency Assistance • Analyzing and incorporating best practices and lessons learned into preparedness activities; • Developing contracts, PSMAs, agreements, and other mechanisms to provide resources, programs, and services for feeding during disaster response activities; • Expanding national capabilities beyond the traditional MC/EA service providers to meet Federal Interagency Operational Planning-Response metrics; • Providing technical assistance for the establishment of SLTT government feeding task forces; • Providing subject matter expertise to internal partners, including Response, Recovery, Logistics and National Preparedness Directorates, PA, Office of Disability Integration and Coordination, and the National Processing Service Center; and • Providing technical assistance and subject matter expertise to government agencies, NGOs, and the private sector to expand national feeding capability. Whole Community Whole Community is an approach to emergency management that reinforces the fact that FEMA is only one part of our nation's emergency management team;that we must leverage all of the resources of our collective team in preparing for,protecting against,responding to,recovering from,and mitigating all hazards; and that collectively we must meet the needs of the entire community in each of these areas. This larger collective emergency management team includes not only FEMA and its partners at the Federal level,but also SLTT government partners;non-governmental organizations like faith-based and non-profit groups and private sector industry;and individuals,families, and communities,who continue to be the nation's most important assets as first responders during a disaster. Both the composition of the community and the individual needs of community members,regardless of age, economics,or accessibility requirements,must be accounted for when planning and implementing disaster strategies. Once a disaster has been declared, FEMA MC/EA provides post-disaster support, such as: • Coordinating with other Federal agencies,the affected states,territorial and/or tribal governments,NGOs, and other partners to analyze and validate the need for human and material resources,programs, and services for feeding; • Providing subject matter expertise/technical assistance in the NRCC, RRCC, FEMA JFO, IOF, State EOC, and/or other field settings; • Assisting the SLTT government in the implementation of a coordinated and integrated feeding mission that meets the disaster-caused needs of evacuees and survivors; 23 161181 Chapter 2: Mass Care/Emergency Assistance • Providing resource support, including equipment, material, supplies, facilities, and personnel,to support SLTT government jurisdictions and their partners with feeding operations through mission assignments, contracts, and other mechanisms; • Coordinating with FEMA Logistics to acquire, store,transport and/or distribute resources to support feeding operations; • Providing tools and resources to assist the SLTT government jurisdictions and their partners with the implementation of integrated strategies and processes for coordinated feeding operations; and • Monitoring activity, analyzing data, validating information, and reporting on feeding activities; identifying resource requirements, shortfalls, and limiting factors; providing information to FEMA, other Federal agencies, SLTT governments,NGOs, and private sector partners. 24 1 6 1 1 B 1 Chapter 2: Mass Care/Emergency Assistance IV. Distribution of Emergency Supplies Support A. Description of Assistance Upon request from a SLTT government, FEMA MC/EA staff work in close coordination with Donations and Volunteer Managers at the Federal and SLTT government level to ensure emergency supplies needed are coordinated with ESF#6 Donations and Volunteer Management efforts. Such support may include: technical assistance, and if required,resource support through internal logistics and contracted capabilities. Distribution of emergency supplies is the targeted acquisition, storage, delivery, and provision of life-sustaining resources, hygiene items, and clean-up items to meet the immediate,basic needs of evacuees and disaster survivors, and their household pets, service and assistance animals. Additional support can include transportation,warehousing, equipment,technical assistance, staff and other mission-critical services.18 There are four categories of emergency supplies: • Life-sustaining, such as food, water,non- prescription medicine, cooking kits, and i - "1 supplies for household pets, service ' 1 animals, and assistance animals. • Comfort, such as hygiene kits (including supplies like toothpaste,towels, washcloths, soaps and toothbrushes), sleeping bags, tents, cots, and blankets. • Clean-up, such as shovels,rakes,bleach, Evacuee gathers food and necessities at the Chalmette Recovery Center following devastating gloves, cleaning detergents, buckets, Hurricane Katrina. mops,trash bags, chlorine bleach, garden hose/nozzle, and hand sanitizer. • Other essential supplies, such as first aid kits and other items unique to specific disaster. B. Partner Organizations MC/EA works with multiple partners in the distribution of emergency supplies, including: other Federal agencies, the American Red Cross,the National VOAD and its member organizations such as: Adventist Community Services, The Salvation Army, American Logistics Aid Network (ALAN), Donations and Volunteer Managers at the State and Local Level, State Voluntary Agency Liaisons (VALs), and the private sector. 25 161181 Chapter 2: Mass Care/Emergency Assistance C. Triggers for Implementation In the event of a natural or manmade disaster,the distribution of emergency supplies is triggered by an Emergency Declaration or a Presidential Disaster Declaration for PA (Category B). There is no individual application process required for survivors as this support is provided in conjunction with the SLTT government and in accordance with their request. Tools and Resources • CUSI includes DME items,consumable medical supplies(CMS)items,hygiene kits,and other relevant information resources,available on the National Mass Care Strategy website. • FEMA ESF#6 Support System,which can track and map distribution site locations. • FEMA MC/EA Resource Support tool,which enables users to develop estimates for MC/EA requirements based on multiple variables,quantify available resources that meet requirements, and identify shortfalls. • ESF#6 Support Contract,which provides for facilities, equipment,supplies, and personnel. • Corporation for National and Community Service,which can provide personnel. • National Voluntary Organizations Active in Disaster,which provides facilities,equipment, supplies, and personnel. See the Multi-Agency Distribution of Emergency Supplies Plan Template for a list of National VOAD organizations involved in the distribution of emergency supplies. D. Delivery of Assistance FEMA MC/EA provides support to both pre-disaster and post-disaster emergency supplies distribution efforts. Pre-disaster responsibilities include: • Providing technical assistance in the development and maintenance of: a multi-agency distribution of emergency supplies planning template; Federal and SLTT government plans; training materials; and other tools that strengthen and enhance the nation's capacity to coordinate and distribute emergency supplies; • Incorporating best practices and lessons learned for the distribution of emergency supplies; • Developing contracts, PSMAs, MOAs, and Memoranda of Understanding (MOUs), and other mechanisms to acquire, store, and distribute emergency supplies during a disaster response; • Coordinating with outside partners, including other Federal agencies; SLTT government entities; NGOs; and public and private sectors to develop and maintain integrated processes and mechanisms to increase SLTT government distribution of emergency supplies resource capabilities; and 26 161161 Chapter 2: Mass Care/Emergency Assistance • Providing subject matter expertise to internal FEMA partners, including the Response, Recovery, Logistics and National Preparedness Directorates, PA,the Office of Disability Integration and Coordination, and the Recovery Service Centers. Once a disaster has been declared, MC/EA coordinates with state government and NGO partners to analyze anticipated resource shortfalls to provide commodities to impacted areas. As a last resort, MC/EA has the capability to utilize Acquisitions and Contract Management to process contracts to support resource shortfalls. NGOs provide support,which includes: • Coordinating with internal and external partners, monitoring activity, analyzing data and validating information on and provide support to the states for services and human and material resources; • Providing subject matter expertise/technical assistance in the NRCC, RRCC, FEMA JFO, IOF, State EOC, and/or other field settings; • Assisting jurisdictions in the implementation of a coordinated and integrated whole community distribution system that meets the disaster-caused needs of evacuees and survivors; • Providing resource support, including equipment, material, supplies, facilities, and personnel,to support the state's distribution operation through mission assignments, contracts, and other means; • Monitoring activity, analyzing data, and validating information on and requests for resource support; • Identifying resource requirements, shortfalls, and limiting factors; and • Communicating information to partners. 27 161181 Chapter 2: Mass Care/Emergency Assistance V. Disability, Access, and Functional Needs Support A. Description of Assistance FEMA MC/EA coordinates with and supports SLTT governments in the provision of services and resources to people with disabilities and others with access and functional needs. The MC/EA Section ensures that the needs of evacuees and disaster survivors with functional needs in congregate and non-congregate facilities, including general population shelters, embarkation and disembarkation sites, reception centers, and other settings, are met through the coordination, procurement, transportation, and provision of resources. These services should be integrated into all MC/EA activities.19 B. Partner Organizations MC/EA works with multiple partners in efforts supporting individuals with disabilities and others with access and functional needs, including, but not limited to: the HHS Preparedness and Response(Personnel/Disaster Medical Assistance Teams/Emergency Prescription Assistance Program),VA,the American Red Cross, the National Council on Independent Living(NCIL), the National Disability Rights Network(NDRN), Pass It On Center, Friends of Disabled Adults and Children(FODAC), Partnership of Inclusive Disaster Strategies and Portlight Inclusive Disaster Strategies, The Salvation Army, DOD, and others. C. Triggers for 1 mplementation In the event of a natural or manmade disaster, disability and access and functional needs support is triggered by an Emergency Declaration or a Presidential Disaster Declaration for PA (Category B). D. Delivery of Assistance FEMA MC/EA provides support to individuals with disabilities and others with access and functional needs in both the pre-disaster and post-disaster phases. Pre-disaster responsibilities include: • Developing plans, templates, guidance,training courses, and tools for MC/EA providers at the SLTT government and NGO levels to ensure access and functional needs support services are integrated into operational plans; • Developing contracting requirements,pre-scripted mission assignments, interagency agreements, and other mechanisms to provide resources and services to people with disabilities and others with access and functional needs during disaster response activities; and • Coordinating with the FEMA Office of Disability Integration and Coordination,the American Red Cross,the HHS, and other agencies and organizations to identify and develop strategies and processes to expand support to people with disabilities and others with access and functional needs. 28 161181 Chapter 2: Mass Care/Emergency Assistance Once a disaster has been declared, FEMA MC/EA provides post-disaster support, such as: • Coordinating with Federal agencies,NGOs, and other partners to support the state in monitoring, analyzing, and validating the need for human and material resources, programs, and services; • Acquiring and deploying DME, consumable medical supplies, assistive technology, accessible hygienic stations,portable ramps, enhanced cots, and bariatric equipment and provide assessable community support(i.e., American Sign Language [ASL] interpreters, Text Telephone [TTY], and Section 508 compliant communication); • Activating contracts for Personal Assistance Services (PAS) and/or to retrofit facilities to meet ADA and other accessibility requirements; • Coordinating with other Federal agencies and non-governmental veterinary and animal welfare organizations to support life-sustaining resources for service and assistance animals, including food, hydration, and veterinary medical care and treatment; • Providing subject matter expertise/technical assistance in the NRCC, RRCC, FEMA JFO, IOF, State EOC, and/or other field settings; and • Providing subject matter expertise to the Functional Needs Support Task Force, which is responsible for identifying resources for survivors to maintain independence in congregate and non-congregate settings. E. Personal Assistance Services (IMI Personal Assistance FEMA MC/EA,upon request from the state, Services(PAS) territorial, or tribal government, contracts with PAS PAS augment disaster-affected providers to augment the ability of SLTT jurisdictions in their ability to support governments to support individuals with disabilities disaster survivors with disabilities and and others with access and functional needs in others with access and functional needs maintaining their health, safety, and independence in to maintain their health,safety,and congregate and non-congregate shelter facilities, in independence. the most integrated setting, as required to meet the needs of the individual as required under the Americans with Disabilities Act and the Olmstead Supreme Court decision, during an incident that receives a Presidential Declaration. PAS may be required to support people whose usual means of assistance are not available due to circumstances associated with a disaster. PAS workers are sometimes referred to as home health aides, Certified Nursing Assistants, or caregivers. The services are defined as formal and informal services provided by paid personal attendants, friends, family members, and/or volunteers that enable individuals with disabilities and others with access and functional needs to maintain their routine level of independence while in an emergency shelter. FEMA may provide PAS support to meet assistance with the activities of daily living and other identified care requirements upon request of the impacted SLTT government jurisdiction. 29 1611B1 Chapter 2: Mass Care/Emergency Assistance FEMA MC/EA provides subject matter expertise to internal and external partners, including the Office of Response and Recovery, Office of Disability Integration and Coordination,American Red Cross, FEMA Regions, and other agencies. They coordinate with FEMA acquisitions, and Contract Management Section to develop, maintain,manage, and implement contracts. They also maintain a list of Frequently Asked Questions (FAQ)to ensure the SLTT government and NGOs have access to current information regarding PAS program requirements. Tools and Resources Once a disaster has been declared, FEMA • FEMA: Guidance on Planning for the MC/EA coordinates with other Federal Integration of Functional Needs agencies,the Office of Disability Integration Support Services in General and Coordination, FEMA Logistics,NGOs, Population Shelters and other partners to monitor activity, analyze data, validate information and provide support to the states on the need for PAS. This includes potentially deploying subject matter expertise and technical assistance in the NRCC,RRCC, FEMA JFO, SLTT government EOCs, and other field offices in order to acquire, deploy, and provide PAS as requested by the SLTT government. In order to provide monitoring, analysis, and validation support to state on Functional Needs Support activities, FEMA MC/EA identifies resource requirements, shortfalls, and limiting factors, and exchange information with FEMA, other Federal agencies, SLTT governments, and NGO and Private Sector agencies and organizations. FEMA MC/EA also participates in the task forces and work groups staffed by individuals from multiple agencies and organizations and created to identify shortfalls and provide support needed to maintain independence during congregate care. 30 161161 Chapter 2: Mass Care/Emergency Assistance VI. Reunification Services A. Description of Assistance Reunification Services is one of the MC/EA activities where FEMA has a statutorily mandated role in providing services directly to disaster survivors to facilitate the reunification of unaccompanied minors with their custodial parents/legal guardians, as well as the voluntary reunification of adults with their families, during declared emergencies or major disasters.20 FEMA works to coordinate this statutory requirement directly with the impacted SLTT jurisdiction(s), and collaborates with whole community partners to develop procedures, identify best practices, and provide resources to strengthen reunification services. MC/EA facilitates partner agreements and identifies and develops new resources and tools, including training and exercises, in support of SLTT governmental reunification planning and operations. FEMA also coordinates deployment of national reunification resources—both human and material—to support state-led reunification task forces as well as field operations.2t B. Partner Organizations MC/EA works with multiple partners in reunification efforts, including: the National Center for Missing and Exploited Children,the CNCS, the Department of Justice(DOJ), HHS, and the American Red Cross. COTools and Resources • Multi-Agency Reunification Services Plan Template • Post Disaster Reunification of Children -A Nationwide Approach • National Center for Missing and Exploited Children • Unaccompanied Minors Registry • American Red Cross Safe and Well • WebEOC C. Triggers for Implementation In the event of a natural or manmade disaster, reunification services are triggered by an Emergency Declaration or a Presidential Disaster Declaration for PA(Category B). Once an event is declared as an emergency or major disaster, and emergency protective measures (such as Reunification) are being performed, an individual only has to be affected by the declared incident to qualify for Reunification Assistance; there is no additional application process required for the individual or household. 31 161161 Chapter 2: Mass Care/Emergency Assistance D. Delivery of Assistance FEMA MC/EA provides support to both pre-disaster and post-disaster reunification activities. Pre-disaster responsibilities include: • Providing technical assistance for the development of Federal and state reunification plans,training materials, exercises, and other tools to strengthen and enhance the nation's capacity to support reunification activities; • Analyzing and incorporating best practices and lessons learned into preparedness activities; • Developing contracts,pre-scripted mission assignments, agreements, and other mechanisms to provide resources,programs, and services for reunification during disaster response activities for FEMA to meet our statutory obligations; • Providing technical assistance for the establishment of state reunification task forces; • Providing subject matter expertise to internal partners, including Response, Recovery, Logistics and National Preparedness Directorates; PA; Office of Disability Integration and Coordination; External Affairs; Office of the Senior Law Enforcement Advisor; and the Recovery Service Centers (formerly National Processing Service Centers); • Providing technical assistance and subject matter expertise to and coordinating planning efforts with government agencies,NGOs, and the private sector to expand national reunification capability; • Identifying communication mechanisms,which include but are not limited to,new reunification systems, current and emerging social media tools and communication technologies, and private/public communications equipment; • Developing agreements and procedures to utilize or coordinate the use of these communication mechanisms; and • Incorporating these resources into plans and procedures in order to provide access for disaster survivors to a wide range of communications methods in a timely manner. Once a disaster has been declared, FEMA MC/EA provides post-disaster support such as: • Coordinating with other Federal agencies; declared states, territories, and tribes; NGOs; and other partners to monitor, analyze, validate, and provide human and material resource support,programs, and services for reunification; • Providing subject matter expertise/technical assistance in the NRCC, RRCC,FEMA JFO, IOF, State EOC, and/or other field settings; • Providing staff and resources to support field operations, state-led reunification task forces, and related task forces, such as a Children and Youth Task Force; 32 161161 Chapter 2: Mass Care/Emergency Assistance • Assisting the state in the implementation of coordinated and integrated reunification services system for evacuees and survivors; • Providing resources, including equipment, material, supplies, facilities, and personnel,to support state operations through mission assignments, contracts, and other mechanisms; • Providing tools and resources to assist the state in the implementation of integrated strategies and processes for coordinated reunification operations; • Monitoring activity, analyzing data, and validating information on reunification activities; • Identifying resource requirements, shortfalls, and limiting factors; • Coordinating public messaging with reunification partners and FEMA External Affairs; • Activating resources of the National Center for Missing and Exploited Children,via the current procurement process,to stand up the National Emergency Child Locator Center (NECLC) and deploy Team Adam(a staff resource to assist with identification and reunification of children)upon request from the declared state; and • Providing support to law enforcement missing persons operations and agencies tasked with child reunification during response and transition to recovery as needed and requested. E. National Emergency Child Locator Center National Emergency Child Locator Center(NECLC) FEMA also utilizes NECLC, which is operated out of the National Center for Phone: 800-843-5678 Missing and Exploited Children. In Website: http://www.missingkids.com/home collaboration with National Center for Missing and Exploited Children, FEMA -supports SLTT governments and law enforcement agencies in the tracking, locating, and reunification of children who have become separated from their parents or guardians as a result of a Presidentially-declared disaster. 33 161181 Chapter 2: Mass Care/Emergency Assistance VII. Household Pets, Service Animals, and Assistance Animals A. Description of Assistance FEMA MC/EA, in consultation with FEMA Regions and SLTT government jurisdictions provides coordination and support for the rescue,transportation, shelter,reunification, essential needs, and care of household pets, service animals, and assistance animals (HPSA) during preparedness and response and recovery operations to ensure their safety and well-being of owners and their household pets, service animals, and assistance animals. Upon request from the SLTT government jurisdictions, FEMA MC/EA supports HPSA activities with the provision of technical assistance and resource support through Federal, SLTT government,NGO, and private sector partners.22 FEMA's engagement on HPSA issues falls under the relevant statutory requirements of the Robert T. Stafford Disaster Relief and Recovery Act and under other statutory and/or regulatory requirements related to service and assistance animals (e.g., the Americans with Disabilities Act, Fair Housing Act). B. Partner Organizations MC/EA works with multiple partners in HPSA support efforts, including: DOD, USDA, and HHS Assistant Secretary for Preparedness and Response (ASPR)National Veterinary Response Teams; the American Red Cross,the National Alliance of State Animal and Agricultural Emergency Programs (NASAAEP),the NARSC, GreaterGood.org, and National VOAD. C. Triggers for Implementationc)'� i "" In the event of a natural or manmade disaster, HPSA 1 A � ; 16118 1 Chapter 2: Mass Care/Emergency Assistance • Developing methods of procurement,pre-scripted mission assignments, other agreements and mechanisms to provide resources, coordinating, and supporting programs and services for owners and their HPSA during disaster response activities; • Coordinating with government agencies, NGOs, and the private sector to develop integrated processes and mechanisms to augment national,regional, state, and local HPSA capabilities; and • Providing subject matter expertise to internal FEMA partners, including Response, Recovery, Logistics and National Preparedness Directorates, PA, Office of Disability Integration and Coordination, and Office of External Affairs. Once a disaster has been declared, FEMA MC/EA provides post-disaster support, such as: • Coordinating with other Federal agencies, declared states (related to Stafford Act authorities), FEMA Logistics,NGOs and other partners to analyze and validate the need for support with human and material resources,programs, and services; • Providing subject matter expertise/technical assistance in the NRCC, RRCC, FEMA JFO, IOF, State EOC, and/or other field settings; • Assisting the state, territory, or tribe in the implementation of coordinated and integrated HPSA response and recovery activities that meet the disaster-caused needs of evacuees, survivors, and their HPSA; • Providing resource support, including equipment, materials, supplies, facilities, veterinary services, specialized transportation, and personnel, to support the rescue, transportation, sheltering, and care of HPSA through mission assignments, contracts, and other mechanisms; • Collecting, analyzing,validating, and reporting information on HPSA activities; identifying resource requirements, shortfalls, and limiting factors; providing information to FEMA, other Federal agencies, SLTT governments,NGOs, and private sector partners; and (121 Tools and Resources • Public Assistance Program and Policy Guide(PAPPG) • Multi-agency coordination support and/or multi-agency support task force, and Federal and state software systems that support HPSA activities • FEMA National Mass Evacuation Tracking System(NMETS) • FEMA ESF#6 Support System,which manages data and supports GIS products related to emergency household pet shelter locations • FEMA MC/EA Resource Management Tool 35 161181 Chapter 2: Mass Care/Emergency Assistance • Coordinating with other Federal agencies and NGOs at the NRCC/RRCC/EOC/IOF on transportation coordination issues, logistics,response, and evacuation issues to: o Encourage the inclusion of HPSA food and supplies, mobile feeding, and distribution operations. o Encourage the inclusion of HPSA included in the reunification plans and activities. o Monitor information on the status of HPSA sheltering activities to update situational awareness. 36 161181 Chapter 2:Mass Care/Emergency Assistance VIII. Mass Evacuee Support A. Description of Assistance FEMA MC/EA may support disaster-affected and host-state governments by providing life- sustaining services and resources to disaster survivors/evacuees and their household pets, service animals, and assistance animals during mass evacuation incidents. MC/EA provides pre-incident support in the form of technical assistance, coordination and communication, and identified resources. At the time of an incident response, FEMA MC/EA staff will work in collaboration with the declared state(s)to determine if Mass Evacuee Support is required or if it will conduct such activities at the direction of the President.23 B. Partner Organizations MC/EA works with multiple partners in mass evacuee support efforts, including but not limited to: the American Red Cross; the National VOAD; USDA; and DOD. C. Triggers for Implementation In the event of a natural or manmade disaster,mass evacuee support services are triggered by an Emergency Declaration or Major Disaster Declaration for PA (Category B), and a request from the SLTT government. There is no individual application process required for survivors as this support is provided in conjunction with the SLTT government and in accordance with their request. D. Delivery of Assistance FEMA MC/EA provides support to both pre-disaster and post-disaster mass evacuee efforts. Pre- disaster responsibilities include: • Providing technical assistance for the development of multi-agency mass evacuee support templates; Federal, SLTT government plans; training materials; and other tools to strengthen and enhance the nation's capacity to support transportation-assisted evacuees; • Analyzing and incorporating best practices and lessons learned into preparedness activities for evacuee support; • Developing contracts,pre-scripted mission assignments, agreements, and other mechanisms to provide resources,programs, and services to support mass evacuees; • Coordinating with government agencies,NGOs, and the private sector to develop integrated processes and mechanisms to augment national,regional, SLTT government capabilities for mass evacuee support; • Supporting implementation of Host State Agreements (a state agrees to provide evacuation and/or sheltering support to individuals from the Presidentially-declared impact state); • Developing and maintaining the National Mass Evacuation Tracking System(NMETS) - a tracking tool; 37 161181 Chapter 2: Mass Care/Emergency Assistance • Providing training and facilitating exercises with other Federal, SLTT governments and NGO partners; and • Providing subject matter expertise to internal partners, including, Response, Recovery, Logistics and National Preparedness Directorates, PA, Office of Disability Integration and Coordination, and the National Processing Service Center. Once a disaster has been declared, FEMA MC/EA provides post-disaster support, such as: • Coordinating with other Federal agencies, declared and host SLTT governments, FEMA Logistics, NGOs, and other partners to monitor, analyze,validate the need for, and provide support to SLTT governments for human and material resources,programs, and services; • Providing subject matter expertise/technical assistance in the NRCC, RRCC, FEMA JFO, IOF, State EOC, and/or other field settings; • Providing resources, including equipment,material, supplies, facilities, and personnel,to support mass evacuees through mission assignments,contracts, and other mechanisms; • Deploying NMETS software, equipment, and personnel to support the tracking of evacuees utilizing government-assisted transportation and facilitate data coordination/exchange among declared and host states; and • Identifying resource requirements, shortfalls, and limiting factors, and providing information to FEMA, other Federal agencies, SLTT governments,NGOs, and private sector partners. E. National Mass Evacuation Tracking System The NMETS is an evacuation tracking tool designed to support SLTT governments in conducting government-assisted evacuations under emergency assistance activities as defined in the National Response Framework for ESF #6.NMETS has the ability to track the movement of evacuees,their household pets, service animals, and assistance animals, luggage, DME, and essential belongings. NMETS is triggered by a request from a SLTT government. Data captured in NMETS belongs to and is the responsibility of the state utilizing NMETS. FEMA MC/EA provides pre-disaster preparedness training and facilitate exercises with other Federal, SLTT government, and NGO partners, as well as continuous improvement and maintenance of NMETS. They also provide technical assistance to states in developing evacuee support plans that address Critical Transportation Needs (CTN)populations including individuals with disabilities and individuals with access and functional needs. FEMA MC/EA assists states in identifying preferred tracking methodologies and incorporating NMETS into their operational plans. Implementation of the NMETS program software, including the licensing agreement, is free of charge; however, any equipment or maintenance costs are the responsibility of the State. 38 161181 Chapter 2: Mass Care/Emergency Assistance After a disaster, FEMA MC/EA may deploy NMETS, along with support personnel, to states for tracking the movement of transportation-assisted evacuees, their household pets, luggage, and medical equipment during evacuations. FEMA may provide technical support and just-in-time training to host states on the use of NMETS. MC/EA provides assistance in linking information on unaccompanied minors to the Unaccompanied Minor Registry(UMR) hosted by the National Center for Missing and Exploited Children, and initiates activation of reunification systems including the UMR, as requested by affected and host states. FEMA coordinates with government agencies to ensure adequate human and material resources to support evacuation tracking teams and advises host states of their responsibility to determine how personal identification information is to be managed and protected. NMETS includes two distinct evacuation support tools that can operate independently or be used in combination to support multi-state, state-managed, or local-level evacuation operations: • Paper-Based • Advanced Technology(AT) During registration, barcode wristbands are given to evacuees and their possessions. The wristband numbers are used to link all household members and their possessions electronically in the system. The wristbands,which contain a unique evacuee identifying number, are scanned at each site to record the evacuee's location and departure/arrival times. This information may be used to create transportation manifests, determine sheltering requirements, and inform operational decision making regarding the allocation of emergency resources. 39 161161 Chapter 2:Mass Care/Emergency Assistance IX. Transitional Sheltering Assistance' A. Description of Assistance25 The guidelines for TSA are currently under review in order to incorporate changes resulting from the 2017 Hurricane Season. Due to the publication date of the IAPPG, the updated guidelines could not be included. The new guidelines will be published as soon as they are available. At this time,the operation of TSA will be determined on a disaster-specific basis. TSA is a short-term non-congregate sheltering form of assistance for displaced disaster survivors taking refuge in emergency shelter locations other than their pre-disaster primary residence. The intent of TSA is to provide temporary sheltering for survivors as they transition from emergency shelters to temporary or permanent housing solutions. FEMA may provide TSA at the request of a declared state, territorial, or tribal government. When activated, TSA authorizes assistance under Sections 403 or 502 of the Stafford Act, as amended, and is implemented under Section 408.26 TSA does not count toward the Individuals and Households Program(IHP) financial assistance maximum award. TSA is funded under Section 403 of the Stafford Act and is subject to PA regulations on cost-share. For more information on PA, see Public Assistance Program and Guide, FP 104-009-2. Additional program guidance and implementation information and tools will be made available to the non-Federal entity by FEMA MC/EA through Disaster Specific Guidance (DSG). 40 161181 Chapter 2: Mass Care/Emergency Assistance X. Rapid Temporary Repair (Operation Blue Roof) Program A. Description of Assistance The Operation Blue Roof Program provides a free temporary roof for residential structures, schools, daycares, and some publicly-owned facilities. These temporary roofs provide short-term relief until the owner can make permanent repairs. They also prevent additional damage from occurring to the building and its contents. Plastic covering and tarps are temporary fixes designed to provide protection from the elements until the homeowner can make permanent repairs with a qualified professional. The authority governing the Rapid Temporary Repair program are the Robert T. Stafford Disaster Relief and Emergency Act (Section 403). B. Partner Organizations USACE staffs and operates Right of Entry(ROE) centers for disaster-affected counties. C. Eligibility Considerationsdik Tools and Resources In order for a structure to qualify for Blue ROE centers for affected counties are Roof services, damage to the roof must be staffed by Corps of Engineers employees. less than 50%, and the area to be covered To contact the nearest center, call toll-free 1-888- must be structurally sound for a crew to 766-3258. work on. Additionally, homeowners must complete a ROE form to allow government and contractor employees on their property. USACE covers roofs in the hardest hit counties first. USACE will respond to every person who has completed a ROE as rapidly as possible. In some instances,there may be a slowdown in installing plastic sheeting because of a national shortage. D. Delivery of Assistance Once eligibility is determined,homeowners must complete a ROE form to enable services. USACE carries out Operation Blue Roof, with the hardest hit counties in the disaster-affected jurisdiction as a priority. Homeowners can also cover their roofs with free tarps provided by FEMA and issued through their local governments. Survivors should connect with local officials and/or monitor social media for updates on where to pick up these tarps. 41 X61181 Chapter 2:Mass Care/Emergency Assistance Xl. National Mass Care Exercise A. Description of Exercise The NMCE contributes to the development of a state,territorial, or tribal government's mass care capacity and capabilities through partnership, coordination, and collaboration and can serve to validate a state's mass care services delivery or support plan. The NMCE is not a"one size fits all"model, and should be adapted to suit the needs of the host state. This may include incorporating mass care as a main focus of a larger, existing state exercise, or by developing a standalone mass care exercise. The exercises are valuable for enhancing the nation's Mass Care Services core capability by utilizing a Whole Community approach to ensure that the needs of disaster survivors are met, and contributing lessons learned and best practices. B. Application Process Tools and Resources States, territories, and tribes interested in applying to host the National Mass Care . National Mass Care Strategy Exercise are encouraged to contact their FEMA Regional MC/EA Point of Contact for o Mass Care Multi-Agency Planning detailed information. Host entities are Templates selected in the last quarter of the calendar o Applicant/Host Toolkit year and typically conduct the exercise two to three years after selection. • After Action Reports of Past Exercises • FEMA Regional Mass Care/Emergency C. Implementation of Exercise Assistance Points of Contact(POCs) FEMA Headquarters MC/EA will be • FEMA Regional Exercise Officers designated as the lead to coordinate or directly provide additional support to the • National Preparedness Goal (NPG) FEMA Region, as requested. The MC/EA Headquarters Lead is responsible for not only supporting the Region/Host State but also in ensuring that national MC/EA concepts and capabilities are continuously being tested and that national best practices are captured and updated. The Headquarters MC/EA lead can also provide access to past exercise expertise and tools. The FEMA MC/EA Section may also provide additional support through the sponsorship of invitational travel for a limited number of additional State Mass Care Coordinators from across the country, generally including the State Mass Care Coordinator for the following year's NMCE. 42 161181 Chapter 3: Individuals and Households Program Chapter 3: Individuals and Households Program I. Individuals and Households Program Overview Individuals and Households Program(IHP)Assistance provides financial assistance and direct services to eligible individuals and households who have uninsured or underinsured necessary expenses and serious needs. IHP Assistance is not a substitute for insurance and cannot compensate for all losses caused by a disaster; it is intended to meet basic needs and supplement disaster recovery efforts. IHP Assistance is not considered income27 or a resource when determining eligibility for • welfare, income assistance, or income-tested < -� benefit programs that the Federal government sit . ' funds, such as Social Security benefits or disability income.28 IHP Assistance is also exempt from garnishment or seizure,but this exception does not apply to FEMA recovering AmeriCorps members work to repair homes assistance received in error or fraud.29 damaged by Hurricane Maria in Humacao, Puerto Rico. A. Period of IHP Assistance IHP Assistance is limited to 18 months following the date of the disaster declaration.30 The period of assistance begins at the date of the Presidential declaration and not the date on which the disaster is designated for Individual Assistance (IA).31 The President may extend the period of assistance due to extraordinary circumstances if an extension would be in the public interest. Through the delegation of authority,the Assistant Administrator(AA) for Recovery may, at the request of a state,territorial, and tribal government, extend the period of assistance.32 Should extraordinary circumstances exist,the AA for Recovery may extend the period of assistance for IHP Direct Temporary Housing Assistance (See Chapter 3, V.C'.4) or IHP Financial Assistance. B. Amount of IHP Assistance The amount of financial assistance an individual or household may receive under IHP is limited. Although minimal damage may cause some inconvenience, it is expected that individuals or households will address those losses without Federal assistance. Therefore, FEMA will only provide assistance when the total initial IHP award amount is $50 or more.33 There is no minimum amount for subsequent awards. The IHP financial assistance maximum award provided to eligible individuals or households under a single disaster is adjusted each fiscal year based on the Department of Labor Consumer Price Index.34 Eligible individuals or households receiving IHP Assistance may not necessarily be awarded the maximum amount of financial assistance for their disaster-caused losses. 43 161181 Chapter 3: Individuals and Households Program Other Federal programs and voluntary organizations may provide additional financial assistance. FEMA informs the public of changes to the IHP financial assistance maximum award each year by publishing a notice in the Federal Register. IHP Assistance Scenario C. Types of IHP Assistance An applicant's FEMA inspection There are two categories of IHP Assistance: recorded$900 in real property damage and $25 in personal property damage. The • Housing Assistance applicant's insurance settlement totaled$875 • Other Needs Assistance (ONA) for real property,which left an unmet need of $25 in real property and$25 in personal 1. Housing Assistance property.In this scenario,the applicant is eligible for the total IHP award of$50,which Individuals and households may receive more is a combined total of Repair Assistance and than one type of Housing Assistance, including Personal Property Assistance. a combination of financial assistance and direct — "—"'W—"--` services.35 FEMA determines the appropriate types of Housing Assistance for which an individual or household may be eligible based on disaster-caused loss, access to life-sustaining services, cost-effectiveness, and other factors.36 FEMA provides financial Housing Assistance through funds paid directly to eligible individuals and households. Financial Housing Assistance may include the following types of assistance: • Lodging Expense Reimbursement(LER): Financial assistance to reimburse for hotels, motels,or other short-term lodging while an applicant is displaced from his or her primary residence. • Rental Assistance: Financial assistance to rent alternate housing37 accommodations while an applicant is displaced from his or her primary residence.38 • Repair: Financial assistance to repair an owner-occupied primary residence, Primary Residence utilities, and residential infrastructure, Primary residence refers to: including privately-owned access routes (i.e., driveways, roads, or bridges) to a 1. The home where the applicant normally lives during the major portion of the safe and sanitary living or functioning calendar year, or condition.39 2. The home that is required because of • Replacement: Financial assistance to proximity to employment,including help replace an owner-occupied primary agricultural activities that provide 50% residence when the residence is of the household's income. destroyed.40 FEMA may provide Direct Housing Assistance41 when applicants are unable to use Rental Assistance due to a lack of available housing resources. Direct Housing Assistance is not counted toward the IHP financial assistance maximum award amount and may include: 44 161181 Chapter 3: Individuals and Households Program • Multi-Family Lease and Repair (MLR): This program allows FEMA to enter into lease agreements with owners of multi-family rental property located in disaster areas and make repairs or improvements to provide temporary housing to applicants.42 • Transportable Temporary Housing Units (TTHUs): A readily fabricated dwelling (i.e., a Recreational Vehicle [RV] or a Manufactured Housing Unit [MHU]),purchased or leased by FEMA and provided to eligible applicants for use as temporary housing for a limited period of time. • Direct Lease: Existing ready-for-occupancy residential property leased and, if necessary, modified or improved to provide a reasonable accommodation for an eligible applicant with a disability and others with access and functional needs for use as temporary housing for eligible applicants. • Permanent Housing Construction (PHC): Home repair and/or construction services provided in insular areas outside the continental U.S. and in other locations where no alternative housing resources are available; and where types of housing assistance FEMA normally provides, such as Rental Assistance or other forms of direct assistance, are unavailable, infeasible, or not cost-effective.43 Figure 3: Housing Assistance • Lodging Expense Reimbursement • Rental Assistance Financial Assistance • Repair Assistance • Replacement Assistance • Multi-Family Lease and Repair • Transportable Temporary Housing Units Direct Assistance • Direct Lease • Permanent Housing Construction 2. Other Needs Assistance Applicants may receive financial assistance for other disaster-caused expenses and serious needs.44 The types of ONA are divided into two categories that are either dependent or non- dependent on the applicant's ability to secure a U.S. Small Business Administration(SBA) disaster loan. The SBA may provide low-interest, long-term loans to help applicants with transportation losses,moving and storage expenses, as well as repair/replacement funds for real and personal property damage caused by the disaster. 45 161161 Chapter 3: Individuals and Households Program Only applicants who do not qualify for a loan from the SBA may be eligible for assistance for the SBA-dependent category. SBA- dependent ONA includes Personal Property, ........------- --- Moving and Storage, and Transportation Assistance.Non-SBA-dependent types of r Iwig' ONA may be awarded regardless of the applicant's SBA status and may include wh. Funeral, Medical, Dental, Child Care,and assistance for miscellaneous items such as chainsaws or dehumidifiers purchased or rented after the disaster. FEMA and SBA conduct inspections along the Yukon River for applicants residing in fishing camps who were affected by severe flooding in Fort Yukon,Alaska. 46 Chapter 3: Individuals and Households Program 1 6 I 1 B 1 II. Individuals and Households Program Eligibility While each type of IHP Assistance has specific conditions of eligibility and documentation requirements, this chapter describes the basic conditions of eligibility that apply to all FEMA IHP Assistance. Specific situations and living arrangements that require clarification are also addressed. This chapter also provides information on the appeal process for applicants who disagree with FEMA's eligibility determination. A. General IHP Eligibility These general conditions must be met for an applicant to be eligible to receive IHP Assistance: • The applicant must be a U.S. citizen,non-citizen national, or qualified alien. • FEMA must be able to verify the applicant's identity.45 • The applicant's insurance, or other forms of disaster assistance received, cannot meet their disaster-caused needs.46 • The applicant's necessary expenses and serious needs are directly caused by a declared disaster.47 The process FEMA uses to verify that necessary expenses and serious needs are directly caused by a declared disaster is described in Chapter 3, III. In order to receive some forms of Housing Assistance and ONA, applicants must satisfy the additional conditions of eligibility listed below: • Occupancy • Ownership 1. U.S. Citizenship Only U.S. citizens, non-citizen nationals, or qualified aliens may be eligible for IHP Assistance. During the disaster assistance registration process or on a Declaration and Release form(FEMA Form 009-0-3), applicants self-certify their citizenship status and declare,under penalty of perjury,that they are one of the following statuses indicated in Figure 4. 47 161161 Chapter 3: Individuals and Households Program Figure 4: U.S.Citizenship and Resident Aliens Status Definitions A person born in one of the 50 United States,the District of Columbia, U.S. Citizen Puerto Rico,Guam,the U.S.Virgin Islands,or the Northern Mariana Islands; a person born outside of the U.S. to at least one U.S.parent; or naturalized citizen. A person born in an outlying possession of the U.S. (e.g.,American Samoa or Swain's Island)on or after the date the U.S. acquired the Non-Citizen National possession,or a person whose parents are U.S. non-citizen nationals. All U.S. citizens are U.S.nationals;however,not every U.S. national is a U.S. citizen. • Legal permanent resident("green card"holder) • An asylee,refugee,or an alien whose deportation is being withheld • Alien paroled into the U.S. for at least one year • Alien granted conditional entry(per law in effect prior to April 1, Qualified Alien 1980) • Cuban/Haitian entrant • Aliens in the U.S. who have been abused,subject to battery or extreme cruelty by a spouse or other family/household member, or have been a victim of a severe form of human trafficking • Aliens whose children have been abused and alien children whose parent has been abused who fit certain criteria If an applicant does not meet these criteria identified in Figure 4,the household may still apply for and be considered for IHP Assistance if: • Another adult household member meets the eligibility criteria and certifies their citizenship status during the registration process or signs the Declaration and Release form; or • The parent or guardian of a minor child who is a U.S. citizen,non-citizen national, or a qualified alien applies for assistance on behalf of the child, as long as they live in the same household. The parent or legal guardian must register as the co-applicant. There are several categories of aliens lawfully present in the U.S. who are not eligible for IHP Assistance. 48 161181 Chapter 3: Individuals and Households Program These include,but are not limited to: Welfare Reform Act • Temporary tourist visa holders Title IV of the Personal • Foreign students Responsibility and Work Opportunity Reconciliation Act of 1996,commonly known • Temporary work visa holders as the Welfare Reform Act,provides that • Habitual residents such as citizens of the aliens who are not qualified aliens are not eligible for Federal public benefits. Federated States of Micronesia and the Republic of the Marshall Islands Federal public benefits include any retirement, welfare,health disability,public or assisted Regardless of citizenship status, disaster housing,post-secondary education,food survivors may be eligible for the following assistance,unemployment benefits,or any programs: similar benefits for which payments or assistance are provided to an individual, • Chapter 2: Emergency Assistance household,or family eligibility unit by an (search and rescue,medical care, shelter, agency of the U.S. or by appropriated funds of food, and water, and reducing threats to the U.S. life,property, and public health or safety) • Chapter 5: Crisis Counseling Assistance and Training Program (CCP) • Chapter 4: Disaster Case Management(DCM) • Chapter 6: Disaster Legal Services (DLS) • Disaster Food Stamps (Disaster Supplemental Nutrition Assistance Program, or D- SNAP),which is administered by the U.S. Department of Agriculture; the state, territorial, or tribal government can request the Federal government to initiate D-SNAP only after a Presidential declaration approving Individual Assistance 2. Identity Verification FEMA must be able to verify an applicant's identity with a valid Social Security Number(SSN) before considering their eligibility for disaster assistance. By verifying identity, FEMA prevents fraud and ensures applicants receive the disaster assistance intended for them.48 FEMA typically verifies an applicant's identity at the time of registration: • Through an automated public records search; and • Through a series of questions associated with the applicant's credit file or public records. When FEMA is unable to verify an applicant's identity through the automated public records search or the applicant answers the questions incorrectly, applicants may be asked to submit a copy of one of the documents described in Figure 5: 49 Chapter 3: Individuals and Households Program 1 6 I 1 B 1 Figure 5: :Acceptable Documentation to Verify Identity i • Documentation from the Social Security Administration(SSA), or other Federal entity,containing full or last four digits of SSN • Social Security card if accompanied by Federal or state-issued identification • Employer's payroll document containing full or last four digits of the SSN • Military identification • Proof of name change: o Name change court order o Marriage,civil union,or domestic partnership certificate Documentation to verify name/SSN: o Divorce or annulment decree o Certificate of citizenship or naturalization o U.S.Tribal government document o U.S. amended/corrected birth certificate o If the applicant still fails identity verification using their previous name,the applicant will be required to submit one of the other forms of acceptable identity verification • U.S. passport • On a case-by-case basis,FEMA may allow applicants residing in U.S. territories to submit specific identity verification documents, such as voter registration cards, etc. • Any of the documents listed above,if in the child's name Documentation-applying for • Child's birth certificate and a copy of the child's Social Security assistance on behalf of a minor child: card or documentation from the SSA,or other Federal entity, containing the full or last four digits of the child's SSN _ J Applicants that do not successfully respond to the series of questions will not be eligible for expedited forms of assistance prior to receiving an inspection. FEMA does not accept the following documents as proof of an applicant's identity: • Internal Revenue Service forms (IRS) • Notarized statements or affidavits from applicants or any third parties • Applications for a marriage license or assistance from a Federal entity 3. Insurance FEMA provides IHP Assistance to applicants for their uninsured or underinsured disaster-caused expenses and serious needs. 50 161161 Chapter 3: Individuals and Households Program Applicants are required to inform FEMA of all insurance (flood,homeowners,vehicle, mobile !I II Insurance Deductible home,medical,burial, etc.) coverage that may In an insurance policy,the be available to them to meet their disaster- deductible is the amount that the caused needs. policyholder agreed to pay out of pocket Insured applicants must provide documentation before an insurance company pays any benefits.This amount is subtracted from the that identifies their insurance settlements or total amount paid by the insurance company. benefits before FEMA will consider their Insurance premiums are typically more eligibility for categories of assistance that may affordable when they involve higher be covered by private insurance. deductibles. Figure 6: Insurance Eligibility MIaxiunun IHP Assistance: 532.000 When the net settlement amount is FEMA Verified Loss(FVL):S32.000 equal to or exceeds the loss amount verified by FEMA or the Gross Settlement: 550.000 amount of IHP Assistance Deductible: - 5.000 available to meet that need.FEMA Net Settlement: $45.000 determines the applicant's need Example 1 has been met by insurance and FEMA Review will not provide assistance for that FVL $32.000 need. Net Settlement - 45,000 Not HIP Eligible 1 -- I Maximum IHP Assistance: 532.000 When the net settlement amount FEMA Verified Loss(FVL): 530.000 from insurance is less than the loss Gross Settlement: $25.000 amount verified by FEMA the Deductible: - 5,000 applicant may receive the difference Example 2 Net Settlement: 520.000 up to the maximum amount of assistance available for that type of FE\LA Review IHP Assistance to meet that need. FVL $30,000 } Net Settlement - 20,000 Eligible IHP Assistance = $10,000 / Maximum IHP Assistance: S32.000 When the insured disaster-causedFEMA Verified Loss(FVL): $2,500 damage is less than the deductible. Insurance Verified Loss: $3.000 FEMA may provide assistance to Deductible: - 5,000 help meet an applicant's needs. Example 3 Net Settlement: $0.00 Damages must affect the habitability of the primary residence FEMA Review to be eligible for IHP Assistance. FVL 52,500 Net Settlement - 0.00 Eligible IHP Assistance = S2.500 51 161181 Chapter 3: Individuals and Households Program After an applicant submits their insurance settlement information, FEMA compares the net settlement amount received for each loss to the maximum amount of assistance available for that type of IHP Assistance. FEMA only considers insurance coverage which includes the peril(s) (e.g., flood,wind,wind- driven rain,tornado, fire, etc.) listed as a cause of damage identified for the disaster when determining eligibility for assistance. For example, an applicant is not required to submit flood insurance documents for a wind-only disaster. When applicants are impacted by multiple perils, FEMA compares insurance benefits and verified loss amount separately for each peril. Exceptions: • • Uninsurable Items: Insured applicants may . t xr receive assistance for items not typically covered by homeowners or flood insurance, / " NNtut such as wells, septic systems, access roads, etc.,regardless of the type of disaster-caused damage or the applicant's insurance ' coverage. • Delayed Settlement: While FEMA cannot A FEMA inspector verifies wildfire damage at provide assistance for disaster-caused needs a severely impacted home site in Texas. covered by insurance benefits, FEMA may provide assistance to help meet an applicant's immediate needs when their insurance benefits are delayed.49 Two important conditions for receiving this FEMA assistance are: o Applicants who demonstrate their insurance settlement has been significantly delayed(30 days or more from the date a claim was filed)through no fault of their own, may be considered for initial Rental Assistance.5° FEMA- o Applicants accepting assistance in advance Verified Loss(FVL) of receiving their insurance settlement The total dollar amount must agree to repay FEMA upon receiving for IHP-eligible real or personal their insurance benefit. property items of average quality, I size,and capacity,as verified by 4. Occupancy FEMA. Applicants (both owners and renters)must be able to prove they occupied the disaster-damaged primary residence before receiving Housing Assistance and some types of ONA(i.e., Personal Property Assistance and Moving and Storage Assistance). Certain types of ONA do not require verification of occupancy of a primary residence; these include Transportation, Funeral, Medical, Dental,Child Care, and Critical Needs Assistance (CNA). All household members at the time of the disaster are considered occupants. Occupant means a resident of the housing unit.51 FEMA verifies occupancy at the time of registration and may also 52 161161 Chapter 3: Individuals and Households Program complete and update verification at the time of inspection. In locations where automated verification of public records is limited, FEMA partners with applicable authorities from the state,territorial, tribal, or local(SLTT) government to verify occupancy. • Documentation: When FEMA is unable to verify an applicant's occupancy of their disaster-damaged primary residence, the applicant may provide FEMA with any of the documents listed below for verification. FEMA can request additional documents to prove occupancy in cases where the name reflected on utility bills and the name of the primary occupant conflict. Figure 7: Documentation to Verify Occupancy Document and Description Acceptable Document Dates Utility Bills: Electric,gas, oil, trash,water/sewer bills Utility bills must be dated within 3 that reflect the name of the applicant or co-applicant and the residence address. months prior to the incident period. Merchant's Statement: Bank or credit card statement, Merchant statements must be dated phone bill, cable/satellite bill, etc. that reflect the name of within 3 months prior to the incident the applicant or co-applicant and the disaster-damaged residence. period. ..._........_...___............. Employer's Statement: Pay stubs and similar documents Employer's statements must be dated that reflect the name of the applicant or co-applicant and within 3 months prior to the incident the disaster-damaged residence. period. Lease/Housing Agreement: Copy of a written lease, housing agreement,or landlord's written statement that includes the name of the applicant or co-applicant,the These documents must be current landlord contact information,the basic terms of tenancy including the location of the unit,amount of rent,and (not expired)at the time of the duration of the lease confirming that the applicant lived disaster. there at the time of the disaster;and signatures from both the landlord and applicant/co-applicant. Rent Receipts: Copy of a rent receipt or bank statement (with image of the cancelled check)that reflects the name Rent receipts must be dated within 3 of the applicant or co-applicant,the landlord contact information,the location of the pre-disaster unit,the months prior to the incident period. amount of rent,and the landlord's signature. Public Official's Statement: Public official's (e.g. Police Chief Mayor, Postmaster, etc.)written statement that Public official's statements must be includes the name of the applicant or co-applicant,the dated within the 18-month period of residence address,the period of occupation,and the name assistance or extended period of and telephone number of the individual providing the assistance. verification. Driver's license, state-issued ID card,voter registration These documents must be current card that reflect the name of the applicant or co-applicant (not expired)at the time of the and the disaster-damaged residence. disaster. 53 161181 Chapter 3: Individuals and Households Program Document Exceptions: • Proof of Occupancy: If the listed documentation is unavailable, FEMA may accept a written self-declarative statement as a last resort, only from the applicants living in insular areas, islands, and tribal lands. The statement must also include how long the applicant lived in the disaster-damaged residence prior to the Presidential Disaster Declaration, an explanation of the circumstances that prevent standard occupancy verification, and the applicant's signature. • Intent to Occupy Statement: Applicants not occupying the residence at the time of the disaster may still receive consideration for IHP Assistance if they submit a written statement along with supporting verifiable documentation, such as a utility deposit or a pre-dated lease that contains the applicant/co-applicant's name and the residence address. Supporting documentation must be dated on or before the first day of the incident period. o Example 1: An applicant who recently purchased a home that was destroyed while the applicant was in the process of moving in may be eligible based on intent to occupy. Such applicants not occupying the residence at the time of the disaster may still be eligible if they submit documentation showing their intent to occupy the home as their primary residence. o Example 2: In addition to meeting general eligibility criteria(see Chapter 3. II.), incarcerated applicants must submit documentation verifying they will be released prior to the end of the assistance period, such as official documentation from the correctional facility or detention center, or information(e.g.,name of incarcerated individual,city and state of the facility, etc.)necessary to complete an online search of the facility's online database to determine the release date, if available. o If incarcerated applicants are not released prior to the inspection and cannot be present for an inspection, they must designate a third party 18-years or older to meet with the inspector on their behalf. • Student Occupancy: Applicants who lived in housing provided by an educational facility(e.g., college dormitory) may be eligible for IHP Assistance if the student housing was their primary residence. For additional information on student eligibility for disaster assistance, see Chapter 3, 11.B. S. Ownership FEMA verifies ownership through inspection, automated public records search, or submitted documents, including documents from the state,territorial, or tribal government. When an applicant's ownership of their pre-disaster primary residence has been verified,they may be considered for Repair, Replacement, or PHC Assistance. 54 1 6 1 1 B 1 Chapter 3: Individuals and Households Program FEMA defines an owner-occupied residence52 as one where the applicant: • Is the legal owner who permanently resides at the disaster-damaged residence; or • Does not hold a formal title to the residence and pays no rent, but is responsible for the payment of taxes or maintenance of the residence; or • Has lifetime occupancy rights with formal title vested in another(see Figure 8 for required documentation). • Ownership Documentation: When FEMA is unable to verify an applicant's ownership of their primary residence during inspection or through an automated public records search, the applicant may provide FEMA with documentation to prove ownership. There are various documents that may be used to prove ownership and are outlined below. Figure 8: Documentation to Verify Ownership Document and Description Acceptable Document Date Deed or Official Record: Original deed or deed of Deed must be current/effective during the disaster trust to the property. incident period. The most recent mortgage statements available Mortgage Documentation: Mortgage statement or should be submitted(within three months of the escrow analysis. disaster incident period)and escrow documents should be from the last quarter. Real property* insurance document,bill or Within three months of the disaster incident payment record, structural insurance period. documentation. *Buildings or other structures permanently attached to land as well as the land itself. This includes items that are structural components of the buildings or structures. Property tax receipt or property tax bill Manufactured home certificate of title Real Estate Provision Contract for Deed Current and/or effective during Land Installment Contract the disaster incident period. Quitclaim Deed Bill of Sale or Bond for Title Will naming the applicant heir to the property and a death certificate 55 161181 Chapter 3: Individuals and Households Program The document provided must reflect: • The name of the applicant or co-applicant registering for assistance; if a minor child is registering for assistance,the document must be in the adult co-applicant's name; • The address of the disaster-damaged primary residence; and • A date prior to the disaster incident period. Document Exceptions: If the listed documentation is unavailable, FEMA may accept a written self-declarative statement as a last resort, only from applicants living in insular areas, islands, and tribal lands. The statement must include how long the applicant lived in the disaster- damaged primary residence prior to the Presidential Disaster Declaration, an explanation of the circumstances that prevent standard ownership verification, and the applicant's signature. However, FEMA will not accept a declarative statement of ownership for pre-disaster squatters. B. Additional Eligibility Considerations Although general eligibility considerations apply to all IHP applicants, certain situations and living arrangements require additional clarification. 1. Condominiums and Cooperatives Condominium vs.Cooperative FEMA may provide Housing ,•, A condominium residence generally is a Assistance and ONA to condominium type of housing where each resident owns their (condo)owner-occupants and individual unit in a multi-unit building and shares the cooperative (co-op) owner-occupants costs of maintaining the structural elements and for eligible disaster-caused damage common areas(i.e.,roof,hallway,HVAC,walkways). they are responsible for within their A cooperative residence generally is a type of unit. housing where residents are shareholders of a The owner of a condo or co-op unit is corporation that owns the building and/or property where they reside. The share entitles each resident generally responsible for the fixtures, installations, and additions within the exclusive use of the unit they live in. interior surfaces of the unit's perimeter walls, floors, and ceilings. This includes interior partitions,plumbing, appliances, and the exterior heating and cooling units from the point of supply into the unit. FEMA generally does not provide assistance for disaster-caused damage to structural elements (e.g.,roof, exterior walls, chimneys, and shared foundation) and common areas shared by all residents such as recreational facilities, outdoor space,parking, landscaping, fences, laundry rooms, and all other jointly-used space. The condo or co-op association's master insurance policy generally covers damage to common areas and structural elements of the building that are shared by all residents. If the condo or co- op association does not hold an insurance policy for a particular peril and the association is 56 161161 Chapter 3: Individuals and Households Program responsible for the item, FEMA will not assist with the expenses related to any damage or the assessment fees resulting from the disaster due to the item being a shared common area expense. Figure 9: Condo and Co-op Assistance Building Portion Responsible Party Insurance Policy Type Eligible for IHP Condo or co-op unit, Unit owner Unit owner's policy Yes, if uninsured or walls in underinsured losses Condo or co-op No,unless applicant Common areas shared Condo or co-opassociation's master submits documentation by all residents association policy indicating individual responsibility Individual condo or co-op owners who claim responsibility for damaged items in common areas need to submit verifiable documentation to FEMA indicating individual responsibility, including the master policy or bylaws, in order to be considered for assistance. 2. Separated Households FEMA may provide Rental Assistance and/or LER to members of a family or household who were separated during a disaster through no fault of their own, such as those who were evacuated to different locations. Once the separated household members reunite, any eligible Continued Rental Assistance(see Chapter 3, IV.C.) will continue under the head of household's application, up to the IHP financial assistance maximum award, to ensure no duplication of benefits (DOB). Rental Assistance provided to the previously separated household members will cease to ensure no DOB. Each application's total number of months and total amount of Rental Assistance and LER awarded is compared to the 18-month assistance period and IHP financial assistance maximum award separately. Generally, FEMA provides all eligible IHP awards under only the head of household's application to assist all members of the pre-disaster household. Only the head of household will be eligible for additional categories of IHP Assistance. Housing Unit 3. Roommates and Boarders Housing unit is defined as a house, apartment,manufactured home,recreational FEMA defines roommates as household vehicle,readily-fabricated dwelling, members with an independent financial houseboat,or any other distinctly-separated responsibility for the housing unit that are not living space.A living space may qualify as a dependents of each other and are not married, housing unit if it includes facilities for such as renters whose names are on a lease. cooking,eating,and sanitation. It must be directly accessible from an outer door or FEMA considers boarders as individuals or through an interior door in a shared hallway families in a private commercial relationship rather than by walking through another with the landlord. Boarders may reside in a household's living space. housing unit with the landlord/head of 57 1 6 1 18 1 Chapter 3: Individuals and Households Program household or in a separate housing unit within the structure. FEMA defines a commercial relationship as a formal agreement to rent a portion of a residence from the owner. Figure 10: Assistance for Roommates and Boarders Type of Assistance Eligible Party Limitations Each roommate and boarder with Combined applications for same Personal Property individually-owned items housing unit cannot exceed a specific line item maximum quantity limit Medical Dental Funeral Each roommate and boarder Standard criteria Child Care Transportation First roommate who applies, unless roommates are unable to relocate together due to extenuating circumstances Boarders residing in the same housing unit as the landlord/head FEMA expects all household members Rental Assistance of household,if unable to relocate residing in the same housing unit to together due to extenuating circumstances relocate together Boarders residing in a separate housing unit within the structure may be eligible for Rental Assistance separate from the landlord Roommates and boarders must be able to demonstrate a formal agreement or financial responsibility to the household. A pre-disaster financial responsibility or formal agreement can be supported by one of the following: • Pre-disaster rent receipts, cancelled checks, or money orders for the disaster-damaged primary residence; • Pre-disaster lease, landlord's written or verbal statement, or rental agreement for the disaster-damaged primary residence; or • Pre-disaster major utility bills(water, electricity, or gas) in the roommate's or boarder's name for service at the disaster-damaged primary residence. Roommates and boarders may be eligible for individually-owned ONA personal property items, and will be considered under separate applications, but all the applications combined cannot exceed what FEMA identifies as the maximum quantity limit for a specific personal property line item for a housing unit. FEMA awards assistance to the landlord/head of household or the first 58 161181 Chapter 3: Individuals and Households Program roommate that applies. Subsequent applicants designated as roommates or boarders will only receive payment for non-duplicative personal property items; however,this limitation excludes boarders residing in a separate housing unit. Designation as a roommate or boarder does not impact an applicant's eligibility for Medical, Dental, Funeral, Child Care, or Transportation Assistance under ONA. Generally, FEMA awards Rental Assistance under one household member application for the housing unit, with the expectation that the household will relocate together. In some instances, Rental Assistance may be provided to individual roommates or boarders when they are unable to relocate with the household due to extenuating circumstances. However, in order for FEMA to process Rental Assistance, the individual roommate or boarder must submit a written statement explaining the extenuating circumstances that prevented the household from relocating together along with supporting documentation, if applicable. 4. Military Personnel FEMA may provide assistance to eligible Military Personnel active duty military and civilian military The Military Personnel and Civilian employees if the assistance is not duplicated Employees'Claim Act provides assistance to from available assistance from the military active duty military personnel and military such as the Military Personnel and Civilian civilian employees in military housing for Employees' Claim Act. personal property(including vehicles)as a result of disaster-caused damage or loss. FEMA does not automatically provide Rental The Safe Haven Allowance from the Assistance for applicants who live in military- Department of Defense(DOD),assists provided housing that received disaster-caused military personnel and their families with damage. However, applicants living in military disaster-caused housing costs. housing may receive FEMA Rental Assistance if they provide documentation showing they are not receiving housing assistance from another source. Active duty military and civilian military employees who live in privately-owned housing may be eligible for all categories of assistance. Active duty military personnel stationed outside of the country can authorize a third party to be present for inspection of their primary residence within the declared area. All military personnel/civilian military employees, regardless of residence type or military status,may be eligible for ONA if the items are not covered by the Military Personnel and Civil Employees' Claim Act. 5. Students 1111 Students FEMA may provide assistance to students who Eligible student applicants may have disaster-caused damage or losses. receive Medical,Dental,Funeral,Moving and Students living in housing provided by an Storage,Transportation,Assistance for Miscellaneous Items,and Child Care educational facility may be eligible for Assistance under ONA regardless of their Housing Assistance. FEMA determines residence type or dependent status. eligibility for Rental Assistance based on 59 Chapter 3: Individuals and Households Program 1 6 I 1 B 1 whether the student applicant is "dependent" or"independent" and whether the housing is their primary residence. Independent students living in college dormitories may be eligible for Rental Assistance; dependent students are not eligible for Rental Assistance. Personal Property Assistance is available for uninsured damaged items regardless of the student's residence type or dependent status. Personal Property Assistance is limited to student- owned items recorded during FEMA inspection. This'excludes items provided by the institution or covered by an insurance policy. Independent The term"Independent"refers to students who are financially independent from parent(s)or guardian(s)and: • Do not have a primary residence elsewhere and are responsible for their own living expenses; • Are at least age 24 by December 315`of the award year; • Were married prior to the disaster; • Are in a masters or doctorate program; • Have legal dependents; • Are an orphan or ward of the court; • Are on active military duty or are a military veteran; or • Have documented determination of independent status by a financial aid administrator. 6. Pre-Disaster U.S. Department of Housing and Urban Development(HUD)Applicants FEMA works closely with HUD to ensure applicants who were pre-disaster recipients of HUD assistance receive the appropriate form of FEMA Temporary Housing Assistance after a disaster. Because FEMA may not duplicate assistance with any other Federal program, insurance, voluntary organization, or other entity,the applicant, FEMA, and HUD must work closely to determine the appropriate responsibility for the applicant's disaster housing needs. FEMA's Joint Field Office (JFO) will work with HUD counterparts at the State and local levels to determine which applicants were assisted by HUD prior to the disaster. Applicants' eligibility for FEMA Temporary Housing Assistance will be based on the availability of HUD assistance for the applicants after the disaster. Once HUD assistance is available and offered to the applicant by HUD,the applicant will no longer be eligible for FEMA Temporary Housing Assistance. At this time, if they refuse to receive HUD assistance, they will no longer be eligible for continued HUD assistance. For limitations and Exclusions see Chapter 3, IV. A. 3. 7. Residents of Assisted Living Facilities Applicants whose primary residence is an assisted living facility may receive assistance for housing,personal property, and other disaster-caused needs not covered by the assisted living facility. Assisted living facilities are usually responsible for relocating their residents to 60 Chapter 3: Individuals and Households Program 161181 temporary housing, if necessary, and in many instances, most of the furnishings in the residence belong to the assisted living facility. FEMA provides assistance to applicants living temporarily in a hospice, hospital,nursing home facility, or similar facility at the time of the disaster, and who have a primary residence in the declared area. The applicant must demonstrate their current living situation is temporary, they intend to relocate back to their damaged primary residence, and their housing needs are not being met by the temporary living facility. Applicants living in assisted living facilities may still be eligible for ONA items such as Personal Property and Moving and Storage. 8. Homeless Definition of Homeless FEMA does not provide Housing Assistance (Rental Assistance, Direct Assistance,Home A homeless applicant is an Repair Assistance, or Replacement Assistance)to individual whose pre-disaster living homeless applicants because the need for housing arrangements were transient in nature and wasvoid of any form of structural ownership. not caused by the disaster. Homeless Examples of homeless living situations applicants must verify their pre-disaster living may include rent-free shelters,bridges, arrangements through a credible or official source underpasses,or living on the streets. (e.g., shelter manager,public official,homeless outreach advocate, etc.) at the time of inspection or by submitting documentation demonstrating the applicant lived at that location pre-disaster, such as a signed,written statement from a credible or official source, which includes the applicant's name, location of residence, dates of occupancy pre-disaster, and the source's name, title, and contact information. Pre-disaster homeless applicants who are not able to verify occupancy may be eligible for certain types of ONA that do not require occupancy verification (Transportation, Medical, Dental, Funeral, Child Care, and CNA). 9. Residents of Non-Traditional Housing mi Definition of Non-Traditional FEMA may provide initial Rental Assistance and Housing ONA to applicants who resided in non-traditional Non-traditional housing is a form forms of housing(i.e.,tents, lean-to structures, etc.) of dwelling void of structural floor,walls, pre-disaster. Non-traditional housing may be more and/or roof.Examples of non-traditional prevalent in certain areas, such as tribal housing structures may include tents,huts, communities,territories, and insular areas. or lean-to structures. Occupancy must be verified by a credible or official --- -. - source (e.g.,tribal council,public official,homeless outreach advocate, etc.) at the time of inspection. Applicants may also verify occupancy by submitting any document listed in Chapter 3, II.A.4,or a signed, written statement from a credible or official source, which includes the applicant's name, location of residence, dates of occupancy pre-disaster, and the source's name, title, and contact information. If pre-disaster occupancy cannot be verified, applicants may only be eligible for types of ONA that do not require occupancy verification(Transportation, Medical, Dental, Funeral, Child Care, 61 161181 Chapter 3: Individuals and Households Program and CNA. FEMA does not provide Direct Assistance, Home Repair Assistance, Replacement Assistance, or Continued Rental Assistance to residents of non-traditional housing. Figure 11: Assistance for Residents of Now-Traditional Housing Eligible Party Type of Assistance Limitations • Transportation • Ineligible for all forms of HA Applicants who resided • Medical • Ineligible for forms of ONA that in non-traditional • Dental housing who are unable • Funeral require successful verification of to verify occupancy • Child Care occupancy(Personal Property and Moving and Storage) • CNA Applicants who resided • Ineligible for Continued Rental in non-traditional • Initial Rental Assistance Assistance or Direct Assistance housing(i.e.,tents,etc.) • All types of ONA • Ineligible for Home Repair or who are able to verify occupancy Replacement Assistance 10. Flood Zones and Protected Areas Restrictions and conditions apply to the IHP Assistance FEMA provides in Special Flood Hazard Areas (SFHAs), sanctioned communities, Coastal Barrier Resources System(CBRS)units, and otherwise protected areas (OPAs). National Flood Insurance Reform Act (NFIRA): NFIRA and FEMA regulations require applicants who receive Federal financial assistance to purchase flood insurance for future flood damage to any insurable property for acquisition or construction purposes. This requirement applies only to real and personal property that is, or will be, in a designated SFHA and can be insured under the National Flood Insurance Program(NFIP). For purposes of IHP, Federal financial assistance means assistance in the form of Home Repair, Replacement, PHC, or Personal Property. Therefore, applicants who live in a designated SFHA and receive IHP Assistance for Home Repair, Replacement, PHC, or Personal Property must obtain and maintain flood insurance coverage for at least the amount of disaster assistance they receive from FEMA for NFIP-insurable items real or personal property. Applicants may satisfy the insurance requirement by purchasing private insurance or a policy through the NFIP. Applicants who do not obtain and maintain flood insurance will be ineligible for IHP Assistance for flood-damaged real or personal property in future disasters with flood-related damage. The NFIP was created to reduce the impact of flooding on private and public structures by providing affordable insurance to property owners and by encouraging communities to adopt and enforce floodplain management regulations. Coastal Barrier Resources Act (CBRA): CBRA protects coastal areas from development by limiting Federal financial assistance for development-related activities in designated CBRS areas. CBRS areas are coastal areas that protect valuable habitat for fish and wildlife and are 62 Chapter 3: Individuals and Households Program 1 6 1 1 B 1 subject to wave, wind, and tidal forces; these areas are mapped by the U.S. Fish and Wildlife Service. The CBRS contains two types of coastal barrier areas: CBRS Units and OPAs. An eligible applicant whose pre-disaster primary residence is located within a CBRS Unit may not be considered for Home Repair, Replacement, PHC, or SBA-dependent types of ONA. An eligible applicant may be considered for Rental Assistance and non-SBA Dependent ONA, except that financial assistance may not be considered for Assistance for Miscellaneous Items. However, assistance may be awarded for expenses to purchase or rent items required to power life-sustaining medical equipment(e.g., generators; see Chapter 3, V I.B.4). FEMA may not provide Direct Temporary Housing Assistance in the forms of MLR or TTHUs within a CBRS Unit. However, an applicant may be eligible to receive these forms of assistance provided in locations outside of the CBRS Unit. An eligible applicant whose pre-disaster primary residence is located within an OPA may be considered for all forms of IHP Assistance; however, the residence is also subject to NFIRA requirements for sanctioned communities and SFHAs, if applicable (see Chapter 3, I I.B.10). Federal flood insurance through the NFIP is not available in CBRS units or OPAs. Sanctioned Communities: Sanctioned community means a community in which FEMA has identified SFHAs on a Flood Insurance Rate Map (FIRM) and the community has failed to join the NFIP within one year of the FIRM being published. Although a community's participation in the NFIP is voluntary,participation is required for purchase of Federal flood insurance within the community and requires the community to adopt and enforce a flood damage prevention ordinance. A suspended community is a community in which FEMA has identified SFHAs on a FIRM; however, FEMA has suspended the community from the NFIP for failure to enforce a flood damage prevention ordinance in compliance with the NFIP. Applicants who have disaster-caused flood damage to their primary residence in a sanctioned community are not eligible to receive assistance for NFIP-insurable real and personal property items damaged by flooding.53 However, the individual or household may be eligible,54 if the community in which the damaged property is located qualifies for and enters the NFIP during the 6-month period following the declaration. Applicants who fail to obtain and maintain flood insurance, or live in sanctioned communities may be eligible for all of the following, if general IHP conditions of eligibility are met: • Medical, Dental, Funeral,Assistance for Miscellaneous Items, Child Care, Moving and Storage costs over$1,000 (NFIP covers the first$1,000 of moving expenses), Transportation Assistance, and CNA; • Rental Assistance or Direct Temporary Housing Assistance in the form of Multi-Family Lease and Repair, TTHUs, or Direct Lease; • Real and Personal Property items not damaged by flooding; and • Uninsurable damaged items, such as wells and septic systems. 63 1611131 Chapter 3: Individuals and Households Program Figure 12: Flood Insurance Requirements for Homeowners and Renters Flood insurance coverage must be maintained at the address for as long as the address exists and for at least the assistance amount awarded for flood-damaged, Owners NFIP-insurable losses.* If the home is sold or otherwise becomes owned by someone else,the requirement to purchase and maintain flood insurance carries over to any subsequent owner. Flood insurance coverage must be maintained on the contents for at least the IHP Assistance amount awarded for flood-damaged,NFIP-insurable personal property losses,as long as the applicant lives at the flood-damaged rental property address. The requirement is lifted once the applicant permanently moves from the rental unit. Renters Subsequent renters will not be required to maintain flood insurance for their personal property unless they previously received IHP Assistance for flood- damaged,NFIP-insurable personal property while residing at the same address. Note: If a pre-disaster renter becomes an owner by purchasing the rental property at which they received IHP Assistance for their flood-damaged,NFIP-insurable personal property losses,but fails to maintain the flood insurance on their personal property,they may receive IHP Assistance for flood-damaged real property losses; however,they will not be eligible for Personal Property Assistance. *44 C.F.R. §206.110(k)(3)(i)(A) Applicants may also receive Mass Care and Emergency Assistance(MC/EA), including congregate sheltering(Chapter 2, II.)and Transitional Sheltering Assistance (TSA) (Chapter 2, IX.), Crisis Counseling(Chapter 5), Disaster Unemployment Assistance (DUA) (Chapter 7), Disaster Legal Services (Chapter 6), and Disaster Case Management (Chapter 4). Flood Insurance Requirement for Recreational Vehicles: Recreational Vehicles (RVs)may include motorized vehicles (i.e., Class A, B, or C vehicles, or motorhomes) and travel trailers (e.g., fifth wheel,pop-up camper, etc.). Generally, motorized vehicles are not insurable as property by the NFIP. Applicants whose primary residence is a motorized vehicle are exempt from the requirement to obtain and maintain flood insurance and may be eligible for IHP Assistance, even if they received IHP Assistance for flood-damaged personal property in a previous disaster. RVs without wheels, built on a chassis, and affixed to a permanent foundation(referred to as "travel trailers"),55 are insurable under the NFIP. Applicants located in an SFHA, who previously accepted IHP Assistance for a flooding incident and whose primary residence is a travel trailer,56 are required to obtain and maintain flood insurance for as long as the address exists for at least the amount of flood-damaged IHP Assistance received for real and/or personal property. Applicants with a NFIRA requirement,who fail to affix a travel trailer to a permanent foundation and/or to properly elevate the travel trailer in compliance with the community's floodplain 64 161181 Chapter 3: Individuals and Households Program management requirements, rendering the unit uninsurable under NFIP, will be ineligible to receive any Federal assistance for flood-damaged real or personal property57 in a future disaster.58 30-Day Period for Applicants to Decline Financial Assistance: An applicant has 30 days to decline financial assistance that would trigger the flood insurance obtain and maintain requirement. Applicants who do not wish to obtain and maintain flood insurance must return all disaster assistance they receive for NFIP-insurable real and personal property to FEMA no later than 30 days from the date of the award determination letter from FEMA. C. Appeal Process 1. Timeline for Appeal Applicants must appeal initial eligibility determinations within 60 days of the date on their eligibility notification letter.59 2. Determinations that May be Appealed Applicants may submit a written appeal if they disagree with any FEMA determination. An applicant may appeal: • Initial eligibility determinations for Housing Assistance and ONA, including: o The amount or type of Housing Assistance and ONA an applicant received; o The decision to withdraw an application for FEMA disaster assistance; o The recovery of funds improperly awarded to an applicant(see ('hvter 3. VI I); or o The denial of a late application request for assistance. • A denial for Continued Rental Assistance. • Direct Housing Assistance determinations, including: o The termination of eligibility to remain in a temporary housing unit; o FEMA's intent to collect rent or the amount of rent collected from occupants of a FEMA-provided temporary housing unit; o A denial of a request to purchase a FEMA-provided MHU; o The sales price of a FEMA-provided MHU the applicant may want to purchase; or • Any Individual Assistance eligibility or participation-related determination, action or inaction. When ONA is administered under the Joint or State Option described in ONA Cost Share and Administration(see Chapter 3, VI.A.2),the applicant must submit their appeal to the state, territorial, or tribal government. FEMA does not accept multiple appeals for the same reason, but may have to request additional information and conduct additional reviews as new information is received. 65 161161 Chapter 3: Individuals and Households Program 3. Requests for Copies of IHP Assistance File Applicants may submit a written request for a copy of FEMA's records related to their application for IHP Assistance. The request must be in writing and specifically state what information the applicant would like to receive (e.g. entire file copy, copy of all correspondence from FEMA, etc.), and who is to receive the requested information(e.g. self, attorney, friend, etc.). If the file copy is to be provided to a third party, the full name and address of the third party must be included in the request. The request must include the following for identity verification purposes: • Applicant's full name • Applicant's FEMA Application Number and Disaster Number • Damaged property address or current mailing address • Applicant's date of birth • Applicant's signature with one of the following: o Notary stamp or seal; or o The statement"I hereby declare under penalty of perjury that the foregoing is true and correct." Written requests can be mailed or faxed using the information below. • Mailing Address: Individuals and Households Program, National Processing Service Center; P.O. Box 10055; Hyattsville, MD 20782-8055 • Fax Number: 1-800-827-8112 If a Disaster Assistance Center account has been created, applicants can also upload documents through the Upload Center in their online account. 4. Appeal Submission The applicant's appeal letter must explain the reason(s) for appeal and must be signed by the applicant or person who the applicant authorizes to act on his/her behalf. The appeal submission should also include the following information: • Applicant's full name • Applicant's FEMA Application Number and Disaster Number • Address of the applicant's pre-disaster primary residence • Applicant's current phone number and address 66 161181 Chapter 3: Individuals and Households Program Figure 13: Sample Appeal Letter Applicant Name Application Number Disaster number Street Address City. State.Zip Phone number Dear FEMA, On February 17,2016, I received a letter from you stating that I am ineligible for assistance because I have insurance. I would like to appeal your decision,as my insurance company will not cover the damage. Enclosed please find nn insurance denial letter showing that I do not have insurance coverage fun the damage to n;y home and personal novelty located at 123 Main Sorel, Evervtown, Virginia. Please review the enclosed information and reconsider your decision. Thank you, Applicant [Signature] If someone other than the applicant files the appeal, the applicant must also submit a signed statement giving that person authority to represent the applicant.60 See Written Consent(Chapter 3, ILC.I) for more information. The appeal letter should be accompanied by documentation to support the appeal request, such as repair estimates, contractor estimates, or other supporting documentation. S. Appeal Determination After FEMA receives the appeal, a caseworker with no prior involvement in the case reviews the appeal and file to determine if there is sufficient documentation to change FEMA's determination. If more information is needed in order to make a determination, FEMA takes one or more of the following actions: • Calls the applicant and sends a letter requesting additional information with a deadline of 30 days to submit the additional information • Contacts a third party, such as a contractor, insurance company, or mechanic in order to verify submitted information • Schedules an appeal inspection FEMA notifies applicants in writing about the appeal decision within 90 days of the receipt of the appeal letter.61 FEMA's appeal decision represents the final agency determination and cannot be appealed again.62 67 161181 Chapter 3: Individuals and Households Program III. Delivering Individuals and Households Program Assistance This section discusses the disaster assistance registration process, FEMA's process for verifying disaster-caused losses, and communication with applicants, as well as considerations for successfully providing equal access and delivering IHP Assistance to all disaster survivors without discrimination. An applicant for IHP Assistance will not be denied benefits or Federal financial assistance on the grounds of race, color,religion,nationality, sex, age, disability, English proficiency, or economic status,pursuant to Section 308 of the Stafford Act63 and 44 C.F.R. Part 7. A. Applying for FEMA IHP Assistance After the President declares a major disaster or emergency, FEMA coordinates with the respective state,territorial, or tribal government to determine the area designated for IA, establish a registration period, and provide multiple channels for disaster survivors to apply for IHP Assistance. T Y�tKK aI Y/v At4M+$v..u� 1. Application Methods kw op °,re '0, FEMA FEMA offers disaster survivors multiple options to apply for IHP Assistance and to receive updates on their application. Information on • resources for non-English speakers can be found in Chapter 1. ufk cu F4 MA m. • Internet or Smartphone Application: -. Disaster survivors may apply 1Y for IHP -Y Assistance or check their application rcyn�n+s status at www.disasterassistance.gov. Disaster survivors may also access FEMA via smartphone by downloading the application from www.fema.gov or through their mobile provider's application store. Access FEMA via smartphone through the • Toll-free Helpline: Disaster survivors may application at www.fema.gov. call FEMA toll-free at 800-621-3362 to register for assistance or check their application status. Disaster survivors who are deaf, hard of hearing, or have a speech disability and use a Text Telephone (TTY) may call 800-462-7585. Disaster survivors who use 711 or VRS (Video Relay Service)may call 800-621-3362. • Disaster Recovery Centers (DRCs): Disaster survivors may apply for assistance in person at DRCs in or near their communities. DRCs are usually opened quickly after a disaster for a limited period of time. They are accessible and equipped to accommodate disaster survivors who need disability-related communication aids. FEMA staff can assist 68 1611B1 Chapter 3: Individuals and Households Program with completing registrations or checking their application status. FEMA coordinates with the SLTT government to establish DRC locations. • Disaster Survivor Assistance(DSA)Teams: FEMA may send staff into the affected communities to help disaster survivors apply for IHP Assistance. FEMA may also coordinate with the SLTT government to send staff into emergency shelters to assist survivors. FEMA staff are equipped with computers or similar devices to assist survivors with registering for IHP Assistance or provide them referrals to other resources. 2. Registration Period Disaster survivors may apply for assistance after the start of the registration period. The application process begins with disaster survivors completing a registration with FEMA through any of the channels described above. Figure 14: Registration Period -----1 60 Days ---- 60 Days Extension of Date of Registration Presidential Initial Period if Late Declaration --♦' Registration Requested and Application Period Approved Period • Initial Period: The standard FEMA registration period is 60 days following the date the President declares a disaster for the designated area. The 60-day registration period starts on the date IA was designated for the declaration.64 • Extensions of the Registration Period: FEMA may extend the registration period Subsequently Declared when the state,territorial, or tribal government Counties or Parishes requests more time to collect registrations For individuals in counties or parishes from the affected population. Examples of subsequently declared for IA after the t situations when an extension may be date of declaration,the registration warranted include,but are not limited to, deadline is still 60 days after the date when: of declaration,not 60 days from the day the county or parish was o Necessary to establish the same designated for IA,unless extended. registration deadline for subsequently declared contiguous counties,parishes, or states; o There is a continued high volume of registrations; and/or o There are significant barriers to registration(i.e., long loss of power). 69 161181 Chapter 3: Individuals and Households Program Extensions may be approved as follows: o The RA, or their designee, may extend the initial registration period up to 60 days. o Any subsequent extensions may be approved by the IA Division Director(IADD). • Late Application: After the end of the registration period, FEMA will accept late registrations for an additional 60 days. FEMA will not allow applicants to complete a registration after that 60-day grace period. However, in order for FEMA to process late registrations, disaster survivors must write a letter to FEMA with the details of the extenuating circumstances that prevented them from applying for assistance in a timely manner with accompanying documentation, if applicable.65 3. Information Needed to Complete Application FEMA requires all individuals registering for disaster assistance to self-certify and declare, under penalty of perjury, that they are a U.S. citizen,non-citizen national, a qualified alien, or the parent or guardian of a minor who is a U.S. citizen,non-citizen national, or qualified alien, and acknowledge the terms of the Privacy Act and Declaration of Eligibility Statement(see Figure 15 for an excerpt of the statement). 70 1611B1 Chapter 3: Individuals and Households Program Figure 15: Privacy Act Statement and Declaration of Eligibility In addition, applicants must also provide all of the following information to complete their application: • Name and SSN of the primary applicant • Name and SSN of secondary/co- applicant(encouraged but not required) • Current and pre-disaster address 1IN • Names of all occupants of the pre- 'MIS disaster household — • Current contact information • i w • Types of insurance held by the household • Household pre-disaster annual gross income A FEMA inspector speaks with resident of a home damaged by Hurricane Sandy during an • Losses caused by the disaster on-site inspection in New Jersey. • Banking information for direct deposit of financial assistance, if requested Application Progress Privacy Act Statement and Declaration of Eligibility OMB No.1660-0002,Exp.11-30-2017 FEMA is required by law to provide you with a copy of the Privacy Act Statement CITIZENSHIP:In order to be eligible to receive FEMA Disaster Assistancea member of the household must be a citizen,non-citizen national or qualified alien of the United States.Please feel tree to consult with an attorney or other immigration expert if you have any questions.By checking the box below,you hereby declare under penalty of penury,that you are a citizen or non-citizen national of the United Statesor a qualified alien of the United States,or a parent or legal custodian of a child who is a minor who resides with you and who is a citizennaturalized citizen or qualified alien of the United States. AUTHORITY:The Robert T Stafford Disaster Relief and Emergency Assistance Act as amended.42 U.S.C.§5121-5207 and Reorganization Plan No 3 of 1978.4 U S C §§2904 and 2906:4 C.F R.§206 2(aX27) the Personal Responsibility and Work Opportunity Reconciliation Act of 1996(Pub L 104-193) and Executive Order 13411 DHS asks for your SSN pursuant to the Debt Collection Improvement Act of 1996 31 U s C.§3325(d)and§7701(0(1). PRINCIPAL PURPOSEIS).This information is being collected for the primary purpose of determining eligibility and administrating financial assistance under a Presidentially-declared disaster Additionally.information may be reviewed within FEMA for quality assurance purposes and used to assess FEMA's customer service to disaster assistance applicants. ROUTINE USE(S):The information on this form may be snared outside of FEMA as generally permitted under 5 U.S.C.§552a(b)of the Privacy Act of 1974. as amended.This nciudes sharing this information with State,tribelocal,and voluntary organizations to enable you to receive additional disaster assistance and as necessary and authorized by other routine uses published in DHS/FEMA-008 Disaster Recovery Assistance Files System of Reccrds 7h Fed Reg 25 282(April 30.2013) and upon written requestby agreement,or as required by law DISCLOSURE The disclosure of information on this form is voluntary however,failure to provide the information requested may delay or prevent the individual from receiving disaster assistance" I hereby declare,under penalty of perjury that one of the following is true: •I am a citizen or non-citizen national of the United States •I am a qualified alien of the United States. •I am the parent or guardian of a minor child who resides with me and who is a citizen,non-citizen national or qualified alien of the United States. B. Verifying Losses 71 161181 Chapter 3: Individuals and Households Program Once disaster survivors register for assistance, FEMA is required to verify losses to determine their eligibility for IHP Assistance. FEMA uses multiple loss verification methods, including: • Onsite inspection • Geospatial inspection • Documentation FEMA's standard loss verification method for initial eligibility determination is an on-site inspection by a FEMA inspector. FEMA may, at its discretion, determine other methods of verification(i.e., geospatial inspection)that will be used to help verify loss and deliver assistance. FEMA may also review and verify documentation such as medical bills or auto repair receipts for disaster-caused losses that cannot be verified through on-site or geospatial inspections. 1. Onsite Inspection FEMA inspectors typically schedule an on-site inspection with the applicant within two weeks after the applicant has registered for disaster assistance. FEMA inspectors are typically hired contractors,must pass a background check prior to working with FEMA, and are issued a badge identifying them as a FEMA contractor. The FEMA inspector does not determine the applicant's eligibility for disaster assistance. During the inspection,the FEMA inspector assesses damage to the disaster-damaged primary residence and personal property such as furniture, appliances, vehicles, and essential equipment for daily household needs. IHP Assistance may be awarded if, during inspection,the inspector determines the damage was caused by the disaster and affects the functionality of the home. The FEMA inspector may also photograph damage to help document disaster-caused losses that render the applicant's residence uninhabitable,unsafe, or inaccessible; however, FEMA inspectors will not physically inspect areas it is unsafe for them to access. Specifically,the FEMA inspector will: • Verify the applicant's name, address, contact information, and insurance; • Verify the applicant's proof of ownership and occupancy status, if not able to verify through automated public records search; • Collect the applicant's signature on the Declaration and Release form (FEMA Form 009- 0-3) certifying the applicant's citizenship or eligible immigration status, if required for a specific disaster; • Confirm individuals living in the disaster-damaged residence; bedrooms occupied; clothing,medical, dental, transportation, or miscellaneous losses; and items purchased as a result of the disaster(e.g., chainsaw, dehumidifier, etc.); 72 1611B1 Chapter 3: Individuals and Households Program • Assess the pre-disaster residence's • ""_ structure, furniture, and appliances for damage caused by the disaster, as well 4111, as undamaged items; • Document the pre-disaster residence's square footage, foundation, and structural type(e.g., one or multiple stories). Record the cause of damage, applicable water levels, impacted g' utilities, and accessibility features; and �1 • Confirm with the applicant all damage A FEMA inspector arrives for an on-site inspection and has been viewed, describe next steps in shakes hands with a tornado survivor in Oklahoma. the FEMA process after the inspection, and advise the applicant to contact FEMA's Helpline(800-621-3362)to request information such as status updates, types and amount of assistance awarded,required documentation, and/or general questions about IHP Assistance. Applicants who cannot meet the inspector on-site may write to FEMA authorizing a third party over the age of 18 (e.g.,neighbor, landlord)to attend the inspection on their behalf. Applicants whose pre-disaster residence is inaccessible may meet the FEMA inspector at an alternate location. Applicants with disabilities will be provided qualified sign language interpreters and other accommodations for inspections. Applicants may request accommodations by contacting FEMA's toll-free Helpline,visiting a DRC, or speaking with a DSA Team. Once the inspection is complete,the inspector will submit the inspection record to FEMA,which will consider the information when determining eligibility for IHP Assistance. In some cases, FEMA may conduct another inspection to validate losses if, for example, areas of the residence are initially inaccessible, or in cases where the applicant appeals FEMA eligibility determinations. Inspectors do not perform inspections on residences they have previously evaluated; appeal inspections are conducted by a different inspector to ensure a fair and impartial assessment. 2. Geospatial Inspection FEMA may use geospatial inspections to verify losses. Geospatial inspections can be instrumental in FEMA's ability to quickly determine eligibility for a large number of communities and expedite delivery of initial assistance to eligible applicants. FEMA uses a variety of techniques and technologies to conduct geospatial inspections. This includes using aerial and satellite photography and remote sensing technologies. FEMA's evaluation of pre-disaster data includes information on the area's demographics and population density,property parcels,building and infrastructure types, and pre-disaster images. 3. Documentation of Losses 73 1b1181 Chapter 3: Individuals and Households Program In some cases, FEMA needs documentation from applicants such as receipts,bills, or estimates to verify losses. Examples include, but are not limited to: • Medical and Dental services,prescriptions, durable medical equipment(DME), assistive technology devices • Child Care services • Moving and Storage services • Transportation On-site inspection by private , y _ ',* contractors/technicians providing services or estimates fora appeal items (i.e.,well, septic, �! ' pp furnace, boiler, etc.). For additional information on assistance for these - ,.. • losses and documentation requirements, see FEMA inspectors use an airplane to inspect Chapter 3. VI. homes damaged by flooding in remote Alaskan villages. C. Applicant Communication FEMA communicates with each applicant throughout the IHP process to gather information, inform them of their eligibility for assistance,refer them to other sources of assistance, and guide them on the proper use of IHP funds. 1. Written Consent FEMA generally communicates directly with each applicant to protect their private information. The Privacy Act requires FEMA to obtain written consent from the applicant in order to share their disaster assistance records with a third party. The written consent must: • Be in writing(handwritten or typed) • Include the applicant's identity verification information(full name, current address, date of birth) • Be dated and signed by the applicant • Be notarized or include a statement verifying the information is true under penalty of perjury • Include an individual identifier. Examples are: the FEMA Application Number, current mailing address, current phone number, etc. • Specify what information can be released to the third party(e.g.,the entire case file, the current contact information, the amount of disaster assistance received, etc.) 74 161181 Chapter 3: Individuals and Households Program • Include a third-party designation. The individual must designate the individuals, entities, or organizations to which the disclosure is being consented 2. Letters FEMA also communicates with applicants through electronic notification via email, online through haps://www.disasterassistance.gov, or letters sent through the U.S. Postal Service. If the applicant needs letters in an alternative format, or needs assistance understanding the letters,they may contact FEMA's Helpline or visit a DRC. Letters sent by FEMA to an applicant may include: • Eligibility Notifications: This letter informs the applicant of the types of assistance FEMA has determined they are eligible or ineligible to receive,the amounts of assistance FEMA is providing for each eligible need, the reasons an applicant is ineligible for the applicable types of assistance, an explanation of the appeals process, and other key information regarding disaster assistance, including proper use of disaster assistance funds. o Use of Funds: Applicants are advised on appropriate use of disaster assistance funds in their notification letter from FEMA. Applicants should document how they used disaster funds and retain these records (e.g., receipts, invoices) for at least three years to ensure they are prepared if FEMA identifies their case for an audit. o Appeals Process: Applicants who disagree with a FEMA eligibility decision may appeal the decision. FEMA reviews the applicant's written appeal and documentation received from the applicant supporting the appeal. Upon review, FEMA either provides a written decision to the applicant or requests more information from the applicant. If FEMA upholds a decision on an appeal, FEMA's decision is considered final and will generally not be reconsidered. • Request for Information: If FEMA requires more information to process an applicant's request, an applicant may receive a letter requesting additional information. 3. Insular and Remote Areas FEMA has unique considerations for delivering Federal assistance in insular areas (i.e., Guam, the Commonwealth of the Northern Mariana Islands, American Samoa, and the U.S. Virgin Islands) or otherwise remote areas such as the interior of Alaska. In some cases, the lack of building materials and skilled local labor, high transportation costs, and/or subsistence lifestyles require tailoring FEMA program delivery. 75 Chapter 3: Individuals and Households Program 1 6 I 1 B 1 FEMA works to immediately identify any potential obstacles to effectively deliver IHP Assistance and determine what guidelines or procedures may need to be modified based on the needs of the impacted area. "" k • 111 X £h� f A FEMA inspector survivor surveying severe flooding ant; Tribal village members gather • • .:"r/ remote areas of the at a local school to register ' Alaska. with FEMA. One of many shipping containers that were scattered across Apra Harbor, Guam after Supertyphoon Pongsona. Depending on the situation, FEMA may: • Develop alternate means of identifying properties (e.g.,using Global Positioning System coordinates if the area does not have or use a street naming or numbering system). • Deploy registration and inspection teams to enable FEMA to gather information and verify losses in areas with unique logistical requirements. • Consider additional personal property items necessary for climate-appropriate survival in insular areas, in coordination with the state, territorial, or tribal government. These items may include detached communal cooking facilities, food caches, smoke houses, or steam bath houses. • Manually review applicant cases to determine eligibility instead of using an automated process. A manual determination process can better accommodate unique situations falling outside of standard IHP guidelines (e.g., verifying property ownership based on local official statements in areas where properties are handed down to families and few written records exist). • Provide FEMA disaster assistance for increased shipping costs of materials to insular areas in order to make repair or replacement feasible. 4. Tribal Governments FEMA recognizes the sovereign rights, authority, and unique status of tribal governments and is committed to working in partnership with tribal governments on a nation-to-nation basis. Federally-recognized tribal governments may choose to request a disaster declaration from the President directly or be considered as part of a state's declaration request. Tribal governments 76 Chapter 3: Individuals and Households Program 1 6 I 1 B 1 cannot receive the assistance(FEMA IA, PA, and Hazard Mitigation Grant Program) through both tribal and state declarations for the same incident. Cost share and other regulations apply for tribal governments as they do for state governments. FEMA works closely with the tribal government's assigned representatives to immediately identify issues and potential obstacles, and determine what standard guidelines or procedures may need to be modified based on the needs of the impacted area. Depending on the needs of the tribal government, FEMA may use alternative processes, services, and tools—such as those described above for insular and remote areas—to better serve and ensure expedited access to FEMA programs and assistance. Overall, FEMA assists and coordinates with the tribal governments in accordance with the following principles: • Consult with the tribal governments before taking a proposed FEMA action that would have a substantial direct effect on one or more tribes, the relationship between the Federal government and tribes, or the distribution of power and responsibilities between the Federal government and tribes. • Evaluate the impact of policies,programs,and activities on tribal trust resources and consider the rights and concerns of tribal governments in its decision-making, including impacts on individuals with disabilities and others with access and functional needs. • Assist tribal governments, should they seek assistance, in setting priorities for the interests of their community members as related to FEMA programs. e ilk . . ,..4.. ,,. ..„..„, 0:„..- . .:_....... . ea , , . - .. ,,,,,,, , ,--** . ., , ..,: ,, , .... .,... _.,.... .. ,,, „ .., ..,..,ya ,. .,... .. ........... L ii, • Members of the Shingle Springs Band of Miwok Indians hosted the California Tribal Historic Preservation Officers State Historic Preservation Summit. 77 161161 Chapter 3: Individuals and Households Program IV. Housing Assistance (Financial) The Housing Assistance provision of the IHP, ripk; authorized by Section 408(c)of the Stafford Act, provides financial and direct assistance for disaster- caused housing needs not covered by insurance or provided by any other source. Financial Housing Assistance refers to funds provided to eligible applicants for temporary lodging expenses, rental of temporary housing, or repair or replacement of a , damaged primary residence. FEMA Assistance may be provided when the disaster A road is severely damaged by flooding in Manitou Spring, Colorado, 2013. has caused damage that affects the habitability of the home. FEMA defines "habitable" as safe, sanitary, and functional. "Safe"refers to being secure from disaster-caused hazards or threats to occupants; "sanitary"refers to being free of disaster- caused health hazards; and"functional"refers to an item or home capable of being used for its intended purpose. In addition, the applicant must agree to return funds to FEMA when the assistance provided by FEMA duplicates assistance from another source,was provided in error,was spent on expenses inappropriately, or was obtained through fraudulent means. A. Lodging Expense Reimbursement FEMA may provide LER for applicants who incur1115 Lodging Expenses out-of-pocket temporary lodging expenses66 due to Lodging expense means damage that affects the habitability of their primary expenses for reasonable short-term residence as a result of a Presidentially-declared accommodations that individuals or disaster.67 Eligible lodging expenses may include households incur in the immediate the cost of the room and taxes charged by a hotel or aftermath of a disaster. other lodging provider. LER Assistance counts towards the IHP financial assistance maximum award an applicant may receive (see Chapter 3, I). 1. Conditions of Eligibility LER may be awarded from the start date of the incident,up to and not to exceed seven days from the approved date of any initial Rental Assistance (Chapter 3, IV.B.) award,unless FEMA authorizes an extension. In addition to general conditions of eligibility(see Chapter 3, 11.), applicants must meet the following conditions in order to receive LER: • FEMA verifies, as a result of the disaster,the pre-disaster residence is: o Uninhabitable,meaning the dwelling is not safe, sanitary, or fit to occupy,68 and requires repairs to make the residence habitable; or 78 161181 Chapter 3: Individuals and Households Program o Inaccessible,meaning the applicant's disaster-damaged primary residence cannot be entered due to access impediments (e.g., fallen trees, downed power lines) or restrictions placed by Federal, SLTT government officials. • The applicant incurred temporary lodging expenses on or after the incident period start date. • The applicant is not covered by insurance(e.g.,ALE, LOU coverage) or has insufficient insurance coverage to meet their temporary lodging needs. • The applicant has not received lodging assistance from any other source (e.g., voluntary organization, etc.) for the same dates the applicant is requesting LER. 2. Required Documentation To be considered for LER, applicants must submit verifiable lodging receipts or itemized statements, including: • The applicant or co-applicant's name • The name, address, and phone number of the accommodation • Dates of occupancy • The amount of expenses incurred Acceptable Lodging Receipts 3. Limitations and Exclusions • LER does not include costs FEMA may accept lodging receipts in associated with: the name of an individual not listed as a household member if the applicant submits o Phone proof they have reimbursed the third party for o Laundry the charges. o Internet Appropriate documentation may include a copy of the canceled check or receipt for the o Movies reimbursement of the charges made. o Food o Pet charges • Lodging expenses incurred while residing at the home of family or friends will not be reimbursed. • FEMA will not reimburse lodging expenses for dates an applicant was receiving (see Chapter 2, IX.). • Expenses incurred during mandatory evacuation will not be reimbursed unless an inspection reports the applicant's home as uninhabitable, inaccessible, or affected by an extended disaster-caused utility outage. For applicants affected by inaccessibility or utility outage, LER is limited to the dates their residence was inaccessible or had an extended utility outage. 79 161161 Chapter 3: Individuals and Households Program B. Rental Assistance FEMA may provide financial assistance to pre-disaster homeowners or renters to rent temporary housing when an applicant is displaced from their primary residence as a result of a Presidentially-declared disaster.69 FEMA awards eligible applicants an initial Rental Assistance payment based on the Fair Market Rent(FMR)70 established by HUD for the county, parish,tribal land,municipality, village, or district where the pre-disaster residence is located and the number of bedrooms the household requires.71 Rental Assistance is intended to cover the monthly rent amount and cost of essential utilities (i.e., gas, electric,water, oil,trash, and sewer), excluding telephone, cable, TV, or interne service for the housing unit.72 Rental Assistance may also be used to pay a security deposit in an amount that does not exceed the cost of one month of FMR.73 Rental Assistance counts towards the IHP financial assistance maximum award(see Chapter 3). 1. Conditions of Eligibility In addition to meeting general conditions of eligibility(see Chapter 3, II), applicants must meet the following conditions in order to receive Rental Assistance: • FEMA verifies, as a result of the disaster, the pre-disaster residence is: o Uninhabitable and requires repairs to make the residence habitable; or o Inaccessible and cannot be entered due to access impediments (e.g., fallen trees, downed power lines) or restrictions placed by Federal, SLTT government officials; or o Affected by utility outages that disrupt functionality of the residence; or o Unavailable due to forced relocation, such as the property owner restricting access to the property due to disaster damage or the owner taking possession of the property for their own disaster housing. • Applicant is not insured or has insufficient coverage to meet temporary housing needs (e.g.,Additional Living Expenses [ALE], Loss of Use [LOU] coverage). 11111 Reasonable Commuting Distance t • Applicant is willing to relocate while Reasonable commuting distance repairs are being made to their pre- means a distance that does not place undue disaster residence. FEMA will not hardship on an applicant.It also takes into provide Rental Assistance to applicants consideration travel time involved due to who need to relocate but refuse to do so. road conditions(e.g.,mountainous regions or bridges out) and the normal commuting • Applicant does not have access to patterns of the area. adequate rent-free housing, or own a secondary or vacation home74 within a reasonable commuting distance, or own an available rental property that meets their temporary housing needs.75 80 1611B 1 Chapter 3: Individuals and Households Program FEMA generally provides only one Rental Assistance award per household to assist all members of the pre-disaster household. FEMA will provide assistance to rent one housing unit per application,unless the size or nature of the applicant's household requires assistance to rent more than one housing unit(see Chapter 3, Il).76 C. Continued Rental Assistance FEMA may provide Continued Rental 11111 Permanent Housing Plan Assistance to eligible applicants based on Permanent housing plan means a realistic need, and generally only when adequate, plan that within a reasonable time frame,puts the alternate housing is not available, or when disaster survivor back into permanent housing the applicant's permanent housing plan has that is similar to the pre-disaster housing not been fulfilled through no fault of the situation. A reasonable time frame includes applicant.77 The continued temporary sufficient time for securing funds,locating a housing need must be documented and the permanent dwelling,and moving into the applicant must continue to work toward dwelling. € obtaining permanent housing to remain eligible for Continued Rental Assistance. FEMA generally expects that pre-disaster renters will use their initial Rental Assistance to obtain permanent housing,78 and that all recipients of financial assistance will obtain and occupy permanent housing at the earliest possible time. Figure 16: FEMA Rental Assistance Overview Applicants who need FEMA may provide up to Continued Rental FEMA may provide Continued Rental 2 months of Initial Rental Assistance Assistance up to the 1HP maximum, submit paperwork that ---•-• until the end of the period of assistance, -- Assistance for applicant, ' demonstrates a disaster- or for 18 months plus a security deposit, at FMR related and financial need. whichever comes first. FFt11 Form 010-0-12 Continued Rental Assistance is based on the HUD FMR for the county or parish in which the post-disaster housing unit is located. Award amounts are based on actual rent costs plus a utility allowance determined by HUD, not to exceed the HUD FMR unless a Rental Assistance rate increase has been authorized.79 FEMA may provide Continued Rental Assistance up to the IHP financial assistance maximum award or until the end of the period of assistance, whichever comes first. 1. Conditions of Eligibility Applicants must meet the following conditions to receive Continued Rental Assistance: 81 161181 Chapter 3: Individuals and Households Program • Applicant was awarded initial Rental Assistance. Maximum Rental Assistance • Applicant exhausted previously awarded Rental Assistance for its intended use. The maximum amount of Continued Rental Assistance available • Applicant is unable to return to their pre- under IHP is 18 months of assistance disaster residence because it is uninhabitable, plus the security deposit. inaccessible, or not available due to the disaster. • Applicant does not have the financial ability to obtain housing without assistance.80 • Applicant is not receiving assistance from any other source for temporary housing. 2. Required Documentation Applicants in need of Continued Rental Assistance may request additional assistance. MOO Applicants requesting Continued Rental ...e• Assistance must complete FEMA Form 010-0-12, ` (see Figure 17 for an excerpt of the form) and return it to FEMA along with supporting documentation.81 'l' • Homeowners: if the applicant's FEMA - - .4411111,'verified Real Property Loss exceeds the amount of initial Rental Assistance awarded, the Application for Continued A FEMA Lead Applicant Service Program Specialist provides service to a flood survivor in Temporary Housing Assistance will Melbourne, FL. automatically be mailed after the initial Rental Assistance award. o If the recorded FEMA-verified Real Property Loss does not exceed the amount of initial Rental Assistance awarded, the applicant must call FEMA's Helpline to request an Application for Continued Temporary Housing Assistance. o Renters: the applicant must call FEMA's Helpline to request an Application for Continued Temporary Housing Assistance. FEMA uses the information collected on Form 010-0-12 to verify an applicant continues to have a disaster-caused need for Continued Rental Assistance and determine how much Rental Assistance the applicant may be eligible to receive. 82 161181 Chapter 3: Individuals and Households Program Figure 17: Excerpt of Form 010-0-12 Application for Continued Temporary Housing Assistance DEPARTMENT OF HOMELAND SECURITY OMB No. 1660-0061 Federal Emergency Management Agency Expires July 31.2017 INDIVIDUALS AND HOUSEHOLDS PROGRAM APPLICATION FOR CONTINUED TEMPORARY HOUSING ASSISTANCE Instructions for Completing Your Application for Continued Temporary Housing Assistance Please read these instructions prior to filling out your'Application for Continued Temporary Housing Assistance' STEP ONE Fill out the form NOTE After your initial'Application for Continued Temporary Housing Assistance"is approved the"Pre-Disaster or Prior Reported'column on the form K Ii be filled-in for you using the information provided by you in your previously approved request Items I "6 items I through 6 will be filled-in for you.using the information provided by you at registration If the information supplied on the form,1, correct you may move on to Item 7 "Housing Costs"However if the information is incorrect please check the box that is incorrect and provide the updated information Current Meiling Address is the address you want FEMA to send you disaster assistance information such as letters regarding your eligibility for continued temporary housing assistance Current Phone is the phone number that FEMA can use to contact you about your application for continued temporary housing assistance and other disaster assistance Rem 7 You will need to supply the dollar amount of both pre-disaster and current expenses that are applicable to your household Next to the appropriate"Expense'enter the dollar amount or your bill or payment You must submit a copy of each document to prove the dollar amount included as a"Housing Cost."This would include documents such as your mortgage statement lent receipts and utility bills Shade in the circle next to the"Expense"indicating that you have attached the document to your application You must submit documentation that can be verified otherwise the amount not be accepted Under"Payment Cycle' shade in the circle indicating how you are billed for the housing expense 7 Housing Costs(See Instructions for Definitions of Expenses) Pre Qsaater Payment Cycle(Ficin rou Are Billed/ Expense or Current if Document is Prior Re Monthly D uanery BI-Annual Annual Dorted ARaCheo 111 Idl 161 1121 Omer Mortgage stags 00 s149500 • l? _. Definitions for certain expenses have been provided below. Home insurance means typical homeowners renters flood or earthquake insurance policy or any other type of insurance policy or rider for the dwelling. Housing Cost means the rent andior mortgage payments(including principal interest and real estate taxes).real property insurance and utility costs not to include cable television Internet and telephone service) Housnlg Unit means a house apartment a manufactured home recreational vehicle or other readily fabricated dwelling A room or group of rooms in an occupied dwelling may qualify as a housing unit if the room(s)in which the applicant and household live are separate from any other persons in the dweilingibuilding and are generally available to be rented by the public MOM 6 In addition to providing a copy of your written and signed lease,you will have to provide the name and phone number of the landlord The lease must be signed by the applicant or co-applicant and the landlord QUESTIONS OR NEED ASSISTANCE? you have any questions about completing this document you should call the F EMA Disaster Helpline at 1-800.621-FEMA(3362) rheanngispeech impaired only 1-1WQ-462-7585)as soon as possible FEMA Foran 010•0.=12 Page 1 of 4 83 16I1d1 Chapter 3: Individuals and Households Program Figure 18 below lists supporting documentation that must be submitted to FEMA, as outlined in the Application for Continued Temporary Housing Assistance.82 Figure 18: Continued Rental Assistance Documentation Type of Documentation Description of Documentation Copy of current lease or • The lease or rental agreement should include location of the unit, rental agreement signed by the landlord and tenant amount of rent,duration of lease, and number of occupants. • Rent receipts showing date,location of rental unit, and time period for which the payment applies. • If separate from the rent,receipts showing payment of essential utilities. Essential utilities are gas, electric,water, oil,trash,and Proof of prior Rental sewer. Assistance provided by • If applicable,receipt showing payment of security deposit for up to FEMA has been used for one month's rent. temporary housing • In instances where rent receipts are not available,the lease or rental agreement may serve as proof of use of prior Rental Assistance. • Hotel/motel receipts showing date, address of hotel/motel,and time period for which payment applies. Only the cost of the room and taxes charged by the hotel will be considered toward acceptable exhaustion of Rental Assistance. Proof of pre-disaster • Mortgage statement or lease/rental agreement for the disaster- housing costs,as identified damaged primary residence. • Real estate tax statement and homeowners or renters' insurance on the Application for statement, if paid separately from the mortgage. Continued Temporary • Essential utility bill(s)for the disaster-damaged primary residence: Housing Assistance gas,electric,oil,trash,water,and sewer. Proof of pre-disaster and Examples include,but are not limited to: current post-disaster • Recent pay stubs. income for all members of • W-2 forms or tax returns from most recent tax year. the household 18 years and • Documentation of self-employment,if applicable. older • Documentation of government assistance, including Social Security. Upon subsequent requests for Continued Rental Assistance, applicants will only be required to submit supporting documentation if the household's income or rent has changed. 3. Limitations and Exclusions • Applicants must request Continued Rental Assistance within the period of assistance. • When an applicant first requests Continued Rental Assistance and submits documentation that does not demonstrate full exhaustion of the initial Rental Assistance award, the first Continued Rental Assistance payment will be reduced by the remaining amount of initial Rental Assistance. 84 161181 Chapter 3: Individuals and Households Program • Applicants residing in non-traditional housing are not eligible for Continued Pre-Disaster HUD Applications Rental Assistance. Prior to reviewing a pre-disaster HUD applicant's file for Continued Rental D. Rental Assistance Rate Increase Assistance,FEMA will coordinate with HUD to determine if the pre-disaster housing unit is FEMA may increase Rental Assistance above available to the applicant.Once the pre-disaster the published HUD FMR rate when elevated housing unit is available,or HUD is able to housing market rates adversely impact provide housing,FEMA will stop providing eligible applicants' ability to obtain rental Continued Rental Assistance. resources. If Rental Assistance increases take effect during Continued Rental Assistance payments, FEMA does not retroactively award increased initial Rental Assistance. FEMA evaluates the need for a Rental Assistance rate increase by comparing U.S. Census Bureau American Community Survey statistics on housing inventory and vacancy rates to the best available data on disaster-caused housing impacts in declared disaster areas as well as "host areas. A "host area" is a county, parish,tribal land, municipality, village, or district in a non- declared area that hosts households evacuated from the declared disaster area. The state,territorial, or tribal government may request a Rental Assistance rate increase by submitting other reliable sources of these data elements for FEMA to use. The FEMA FMR Calculator allows FEMA to rapidly evaluate the need for a Rental Assistance increase using the information represented in Figure 19. FEMA will only authorize increased Rental Assistance when the FEMA FMR Calculator demonstrates that the published HUD FMR for the declared disaster area or host area is significantly less than prevailing market rates. The Federal Coordinating Officer(FCO) may approve Rental Assistance rate increases for individual counties or parishes where the FEMA Rental Assistance Rate Calculator"Percent of Published FMR"result is greater than 100%. The increase may not exceed the amount indicated by the Calculator, or 125% of the HUD FMR, whichever is lower. The RA must provide a written notification of the Rental Assistance rate increase to the IADD, including a copy of the Calculator. The AA for Recovery may authorize Rental Assistance rate increases above the 125% of the HUD FMR for individual counties or parishes when the FEMA FMR Calculator's "Percent of Published FMR"result is 125%or greater. Only the AA for Recovery may authorize statewide Rental Assistance rate increases. 85 1611B1 Chapter 3: Individuals and Households Program Figure 19:FMR Calculator FoR OFFICIAL USE ONLY FEMA RECOVERY POLICY (FMR CALCULATOR) Census Data Source Pre-Disaster Housing Stock for County 27.173 http-+quickfacts census qov/qfd/index.html Homeownership Rate for County ' 40.60% http.uquickfacts.census.govigfdindex.html Total Occupied Housing Units for County* 96,703,htte,:mactfinder.census goy Total Vacant Housin. Units for Count * 1,409 http:/lfactfinder census qov FEMA Data Housing Units Lost 9.888IFEMA POA or other reliable source Displaced Households in Need of Housing 7.729 a households in calculation area needng housing Post-Disaster Vacanc Rate -73.84% Percent of Published FM- . . . 125% SOURCES FOR FMR CALCULATOR: Census Data Link Section Pre-Disaster Housing Stock Cens',,Cuickfacts !Housing.Housing units Homeownership Rate Census Ouickfacts IHOusing Owner-occupied housing unit rate Total Occupied Housing Units Census Factfinder Subject Tables/Housing Occupancy" Total Vacant Housing Units Census Factfinder Subject Tables;Housing Occupancy" `County data is preferable when available If not. use state data E. Home Repair Assistance FEMA may provide financial assistance to repair an owner-occupied primary residence, utilities, and residential infrastructure, including private access routes damaged as a result of a Presidentially-declared disaster up to the IHP financial assistance maximum award.83 Home Repair Assistance is intended to make the damaged home safe, sanitary, or functional. It is not intended to return the home to its pre-disaster condition. Home Repair Assistance counts towards the IHP financial assistance maximum award an applicant may receive (see Chapter 3, I). FEMA may provide financial assistance for the repair of real property components, including, but not limited to: • Structural components of a home(foundation, exterior walls,roof) • Windows, doors, floors,walls, ceilings, and cabinetry 86 161181 Chapter 3: Individuals and Households Program • Heating, ventilation, and air conditioning system (HVAC) Wells,Furnaces,and Septic Systems • Access and egress, including For wells, furnaces,and septic systems,FEMA may provide assistance or privately-owned roads,privately- reimbursement for the cost of a licensed owned bridges, and privately-owned technician's professional assessment associated docks with the repair or replacement of those • Blocking, leveling, and anchoring of a components. mobile home, and reconnecting or Additionally,when verifiable receipts or resetting its sewer, water, electrical, estimates are submitted on appeal,FEMA may oil, and fuel lines and tanks pay up to the actual cost of the receipt or estimate for wells,furnaces, and septic systems. • Line items to restore a houseboat to a habitable state, not necessarily to return the houseboat to seaworthiness • Utility systems, including electrical, gas,water, oil, and septic/sewage systems • Items or services determined to be eligible hazard mitigation measures that reduce the likelihood of future damage to the residence,utilities, or infrastructure 1. Conditions of Eligibility In addition to meeting general conditions of eligibility(see Chapter 3, II), the following conditions must be met to receive Home Repair Assistance: • A FEMA inspection determines the repair of the component is necessary to ensure the safety or health of the occupant or to make the component or residence functional. • The real property components were functional immediately before the declaredIPA Components disaster. Components or residences that • The component was damaged, and the were fully or partially functional damage was caused by the disaster. immediately before the declared disaster, despite their need for maintenance,may • The damage to the component is not be eligible for Home Repair Assistance if covered by insurance. they ceased to function as a result of the disaster. 2. Limitations and Exclusions • Home Repair Assistance is not available for non-traditional forms of housing(e.g., tents, lean-to structures, etc.). • Home Repair Assistance is not available to landlords who do not permanently reside in the damaged dwelling. In addition, any available assistance is limited to the owner- occupied unit and not common areas. 87 1b11B1 Chapter 3: Individuals and Households Program • Applicants whose pre-disaster residence was a houseboat will not be required to obtain and maintain flood insurance for NFIP-insurable items, as these structures are uninsurable under NFIP. • An applicant with insurance for a covered peril will be ineligible for Home Repair Assistance for insured real property components when the applicant fails to file a claim with their insurance company. • Home Repair Assistance for flood-damaged real property in basements is limited to damaged items that result in living conditions affecting the safety, sanitation, and functionality of the home. These include: o Damage to the structural Basement Common Area components (e.g., foundation) of the Recreational and other common home areas of a basement are not considered o Damage to critical utilities that rooms required for the occupation of the support the overall function of the dwelling. home(e.g., furnace, water heater) ------ --- o Damage to the structure's interior(e.g., doors, floor covering); limited to rooms required for the occupancy of the dwelling(e.g., occupied bedrooms, a bathroom required for the occupied bedroom, a sole kitchen or living room); and no other room in another part of the dwelling meets that need o Damage presenting a hazard(e.g., wet or moldy drywall, carpet, or cabinets) in non-essential living areas (for removal only) • Home Repair Assistance award amounts are based on repair or replacement of components that are of average quality, size, or capacity. • Home Repair Assistance will not be provided to make improvements to a component's pre-disaster condition unless required by current SLTT government building codes or ordinances, similar products are no longer feasible or available in the marketplace, or for reasonable hazard mitigation measures. F. Privately-Owned Access Routes FEMA may provide financial assistance to repair privately-owned access routes (i.e., driveways, roads, or bridges)damaged as a result of a Presidentially-declared disaster.84 Assistance for privately-owned access routes is intended to restore access to the owner's primary residence. In instances where multiple households share a privately-owned access route, assistance is shared between applicants, requiring additional coordination and documentation between FEMA and the applicants. 88 161181 Chapter 3: Individuals and Households Program 1. Conditions of Eligibility In addition to meeting general conditions of eligibility(see Chapter 3, 11.), the following conditions must be met to receive Home Repair Assistance for privately-owned access routes: • A FEMA inspection determines repairs are necessary to provide drivable access to the primary residence. • The applicant is responsible (or shares Privately Owned Access Route responsibility with other homeowners) for maintaining the privately-owned If multiple households use a privately-owned access route,FEMA will access route to their primary residence. make several attempts to encourage all • The privately-owned access route is the households to apply for assistance in order to meet the needs of all affected households. only access to the applicant's primary Additionally, access of emergency vehicles residence or repair or replacement of a should only be considered if access was secondary route is necessary for practical available prior to the disaster. use (e.g., it is impossible to access the residence without a bridge or road) or the safety of the occupants or the residence would be adversely affected because SLTT government emergency equipment could not reach the residence. • Docks only: o A FEMA inspection will be required to determine whether the dock was functional prior to the Presidentially-declared disaster and whether repair is necessary. o The dock must be the applicant's sole means to access the primary residence. o Dock maintenance and repairs must be the applicant's responsibility. • If multiple households share the access route, FEMA also requires: o Written consent from all applicants as pertains to the shared privately-owned access route. o A declarative statement affirming any assistance FEMA provides will be used to make repairs to the access route and the applicant understands they are responsible for securing permits and complying with local codes and ordinances. o The applicants do not have an established Homeowner's Association or Covenant responsible for repair of the access route, or the established Homeowner's Association or Covenant is unable to receive assistance from the SBA or private insurance to repair the access route. 89 161161 Chapter 3: Individuals and Households Program 2. Limitations and Exclusions • FEMA will provide other types of IHP Assistance before considering providing Repair Assistance for an applicant's private access route. o For eligible applicants who have sole responsibility to repair the access route to their home, FEMA will provide Rental Assistance, then consider eligibility for Repair Assistance for an applicant's private access route. o For eligible applicants who share responsibility with other eligible applicants to repair the access route, FEMA will provide Rental Assistance, Home Repair Assistance for items that do not affect the access route, ONA,then consider eligibility for Repair Assistance for an applicant's private access route. • The Repair Assistance award amount is based on repair items (e.g., decking, guardrails, and handrails)that are of average quality, size, and capacity. o Repair awards will not include improvements to the access route's pre-disaster condition unless improvements are required by current SLTT government building codes or ordinances. o An applicant with access and functional needs that requires access for a particular vehicle may be approved for additional funds to improve the access if required for safe passage. • FEMA will verify whether the SLTT government has taken or EHP Compliance Review plans to take any emergency actions -- to repair the route to provide access The EHP review process considers the for emergency service providers or effects of Federal funding on resources such as to remove immediate threats to endangered species,floodplains and wetlands, public health and safety. Eligible and historic bridges or culverts. FEMA is required to ensure that Federal funding complies activities for the repair of privately- with applicable Federal EHP laws,regulations, owned access routes are subject to and executive orders(EOs)prior to providing Federal Environmental Planning and assistance. Historic Preservation(EHP) _ .... compliance review requirements. o Eligible applicants are responsible for complying with any conditions developed as a result of the EHP compliance review process and for obtaining any applicable Federal, SLTT government permits. • If multiple families share an access route, individuals who do not apply or do not meet all eligibility requirements will not receive assistance and will not be considered when determining the amount an eligible applicant will receive. 90 1611B1 Chapter 3: Individuals and Households Program G. Replacement Assistance FEMA may provide financial assistance to owners whose primary residences were destroyed as a result of a Presidentially-declared disaster. Replacement Assistance may be applied toward purchasing a new permanent residence even if the new residence's cost is greater than the IHP financial assistance maximum award. FEMA calculates the replacement award amount according to the consumer price index data for the types of housing in the area where the damage occurred. FEMA establishes award amounts based on whether the pre-disaster home was a manufactured home, travel trailer,houseboat, or residential construction(e.g., single-family home). However,the award amount cannot exceed the IHP financial assistance maximum award(see Chapter 3, I.). 1. Conditions of Eligibility In order to qualify for Replacement Assistance, applicants must meet general conditions of eligibility(see Chapter 3, 11.) and the following: • The residence was functional immediately ` � Functional before the disaster. Functional means a • A FEMA inspection confirms the residence "component"or residence capable of was destroyed, and the damage was caused being used for its intended purpose, or an by the disaster. A destroyed residence is a item or home capable of being used for its total loss or damaged to such an extent that intended purpose. the real property components of the dwelling are structurally compromised(i.e., foundation, floor,walls, and roof) as a direct result of a peril identified in the Federal Register Notice of a Presidentially-declared major disaster or emergency. • The damage to the residence is not covered by insurance. • Repair is not feasible,will not ensure the safety or health of the occupant, or will not make the residence functional. • Replacement is necessary to ensure the safety or health of the occupant. 2. Limitations and Exclusions • Applicants who have reached the IHP financial assistance maximum award may use their Replacement Assistance to acquire temporary housing(i.e., a rental resource or hotel). • Replacement Assistance is not available for non-traditional forms of housing(e.g., tents, lean-to structures, etc.). • Replacement Assistance is not available to landlords who do not permanently reside in the damaged dwelling. In addition, any available assistance is limited to the owner- occupied unit and not common areas. 91 Chapter 3: Individuals and Households Program 1 6 I 1 B 1 3. Appeal Considerations If FEMA determines the residence was not destroyed by the disaster,the applicant may appeal by submitting supporting documentation from governing authorities giving notice of condemnation, substantial damage, or demolition. • FEMA will not automatically determine an applicant eligible for Replacement Assistance based on submitted documentation,because local authority determinations could be based on non-disaster-caused circumstances. • After receiving appeal documentation from the applicant, FEMA will review the request to determine if another inspection is necessary in order to verify if the residence was destroyed due to disaster-caused damage. 92 1611131 Chapter 3: Individuals and Households Program V. Housing Assistance (Direct) The Housing Assistance provision of the IHP, authorized by Section 408(c)of the Stafford Act, provides assistance for disaster-caused housing needs not covered by insurance or provided by any other source. FEMA may provide Direct Housing Assistance in two forms: Direct Temporary Housing Assistance and PHC. These types of assistance do not count against the IHP financial assistance maximum award. FEMA may only provide Direct Temporary Housing Assistance when eligible applicants are THU and TTHU unable to use Rental Assistance to secure 0 Temporary Housing Unit temporary housing. Direct Temporary Housing (THU): A house,apartment,cooperative, Assistance includes providing Temporary Housing condominium,manufactured home, or Units (THUs)through MLR or Direct Lease, or other dwelling acquired by FEMA and placing TTHUs on private, commercial, or group made available to eligible applicants for a sites.85 limited period of time.The term"THU" includes TTHUs where used in this FEMA may only provide PHC in insular areas and guidance,except where specifically stated other locations when other housing options are not otherwise. available and Temporary Housing Assistance (i.e., Transportable Temporary Housing Unit Rental Assistance or Direct Temporary Housing (TTHU): A readily-fabricated dwelling Assistance) is not feasible, available, or cost- (i.e., a Recreational Vehicle [RV] or effective. PHC may come in the form of repairs Manufactured Housing Unit[MHU]) and new construction.86 purchased or leased by FEMA and provided to eligible applicants for use as A. Direct Housing Assistance Request and temporary housing for a limited period of Approval time. When there appears to be a lack of available housing resources within the HUD FMR or the approved Rental Assistance rate for the disaster to support the potential need for housing due to the disaster, FEMA will mobilize a Direct Housing Assessment Team(DHAT)to partner with the affected state,territorial, or tribal government to perform a comprehensive analysis of the disaster-caused housing needs and available resources. When the analysis demonstrates a need for Direct Temporary Housing Assistance, the affected state, territorial, or tribal government may request this assistance from FEMA in writing. The AA for Recovery will consider the request and must approve it before Direct Temporary Housing Assistance is implemented. 1. Direct Housing Assistance Assessment FEMA expects the state, territorial, or tribal government to establish and lead a Disaster Housing Task Force (DHTF)to determine the scope of disaster-caused housing needs, explore available rental resources and feasible alternatives, and develop housing solutions. The DHTF brings together Federal, SLTT government,non-governmental, and private sector expertise to identify, 93 161181 Chapter 3: Individuals and Households Program evaluate, and deliver available programs, resources, and capabilities to disaster survivors in a coordinated effort. As part of the assessment,the DHAT and other FEMA staff will coordinate with the DHTF to: PtI� • Identify available rental resources within — Ft��l reasonable commuting distance; • Analyze current and projected housing needs ,moi and available resources by community, ':14 _* "` usually at the local level; • Identify alternatives to Direct Temporary Rental Resources Housing Assistance; - it ' • Identify multi-family housing rental `i "„ ,, u�psonR"" "warn AT properties feasible for repair or improvement for the evaluation of MLR, as described in Multi-Family Lease and Repair(see Chapter 3, V.D.); • Identify potential shortfalls in the capacity of the local building supply and construction 410 sector to meet demand for needed post- Alternative Housing Pilot in Bayou Le Batre, disaster repairs to housing stock, including Alabama recommendations for addressing these challenges; and • Identify all applicable compliance requirements for providing Direct Temporary Housing Assistance, if needed, ^� r including Federal, SLTT government ordinances, the currently-adopted building • 'f Ink' I 741 `" to code, zoning,permitting process and .w -at ; requirements, and any impediments and Multi-Family Housing requirements that may impact the delivery of Direct Temporary Housing Assistance. o Other related requirements may include the following: • SFHA identification • EHP concerns • A comprehensive procurement approach, including market research and independent government cost estimates 94 161181 Chapter 3: Individuals and Households Program 2. Direct Housing Assistance Approval FEMA will only authorize Direct Housing Assistance in response to a written request from the State or Territorial Coordinating Officer(SCO/TCO) or Governor's Authorized Representative (GAR)or tribal government. FEMA's AA for Recovery has the authority to approve Direct Housing Assistance and to specify relevant conditions for implementation. The AA for Recovery will evaluate the Direct Housing Assistance request from the state, territorial, or tribal government using information obtained from the Direct Housing Initial Assessment and provide approval if all of the following have been verified: • Eligible applicants are unable to make use of Rental Assistance due to a lack of available housing resources.87 • Increasing the Rental Assistance rate to 125% of the HUD FMR will not be sufficient to meet the disaster-caused housing needs. • Assistance from other providers, including other Federal agencies, state, territorial, or tribal governments, and voluntary organizations is insufficient to meet the disaster-caused temporary housing needs of eligible applicants. The initial Direct Temporary Housing Assistance approval will authorize the use of Direct Temporary Housing Assistance in the form of TTHUs and MLR. The RA will review the Direct Housing Analytical Assessment to determine which forms of Direct Temporary Housing Assistance to implement based on locations and numbers of eligible applicants and the availability, feasibility, and cost-effectiveness of each option. The RA may delegate this authority to the FCO. In addition,the RA may approve the implementation of Group Site(s) if the approved Direct Temporary Housing Assistance options are not feasible. The RA must notify the AA for Recovery in writing prior to approving and implementing any TTHU Group Site(s). A separate written request from the FCO to the AA for Recovery is required for the approval of Direct Lease. The request should demonstrate that other forms of housing assistance have been evaluated and delivered in sequential order and are not sufficient to meet the disaster-caused housing need; housing needs exceed the capacity to provide MLR units or TTHUs in a timely manner; and when one or more properties have been identified that meet the criteria identified in the Direct Lease (see Chapter 3, V.G) section of this chapter. After Direct Temporary Housing Assistance has been approved and the forms of assistance being provided have been determined,the FCO will coordinate with the state,territorial, or tribal government to execute an addendum to the agreement between FEMA and the state,territorial, or tribal government that describes the responsibilities of each party. FEMA will use the most cost-effective forms of available Direct Temporary Housing Assistance to meet the disaster- caused housing needs. In general, FEMA will prioritize the types of Direct Temporary Housing Assistance as depicted in Figure 20. However, PHC may be considered when no alternative housing resources are available and all forms of Direct Temporary Housing Assistance are unavailable, infeasible, or not cost-effective. 95 161181 Chapter 3: Individuals and Households Program Figure 20: General Sequence of FEMA Direct Housing Assistance Options 1 2 3 4 5 6 7 Multi- TTHUs- TTHUs- Direct TTHUs- PHC Repair, PHC New Family » Private& 1 Expanded ► Lease » Group • Construction Lease and Commercial Commercial Sites Repair Sites Sites f B. Direct Temporary Housing Assistance Conditions of Eligibility This section describes the additional conditions FEMA uses to determine an applicant's eligibility for Direct Temporary Housing Assistance and to select the appropriate size and type of THU to meet the household's needs. 1. Conditions of Eligibility Applicants who may be eligible for Direct Temporary Housing Assistance must: • Meet all of the conditions of eligibility found in IHP Eligibility(see Chapter 3, II.). • Be verified by FEMA through the on-site inspection conducted following an applicant's registration as: o An owner of a disaster-damaged primary residence with real property verified loss amount of at least$17,00088 or o A renter with a disaster-damaged primary residence that was destroyed or received major damage as a result of the disaster. FEMA then contacts applicants to obtain information about their household's unmet Recording Property Loss temporary housing needs. During the contact, FEMA inspectors do not record typically by phone, FEMA refers eligible real property losses for renters,as renters applicants to other adequate, accessible, are not responsible for repairs to their pre- alternate housing units, if available,prior to disaster residence.This is why the discussing Direct Temporary Housing threshold for renters is based on a general Assistance. FEMA expects applicants to accept level of damage rather than a specific dollar the first offer of available alternate housing that amount of real property damage. meets their household's needs; applicants who - refuse available housing that meets their household's needs may become ineligible for Temporary Housing Assistance. FEMA determines no housing resources are available or available alternate housing resources are not adequate for the applicant's household because of one of the following: • Housing resources are not within reasonable commuting distance. • Housing resources exceed the applicant's financial ability, defined as no more than 30% of the household's income. 96 161181 Chapter 3: Individuals and Households Program • The applicant's household includes children attending school (not including post- secondary education) and transportation to school is not available from any of the available alternate housing resources. • Housingresources are not accessible to Direct Temporary Housing Assistance one or more members of the applicant's household who have a disability. Applicants who are ineligible for Home Repair Assistance or Replacement • Housing resources are not in reasonable Assistance because they failed to maintain distance to accessible public flood insurance required as a condition of transportation and the household accepting financial assistance in a previous includes one or more persons with a disaster may still be eligible for Direct disability who requires accessible Temporary Housing Assistance. public transportation. • The applicant's primary residence is a working agricultural interest generating at least 50% of the household's pre-disaster income. • A member of the applicant's household needs in-home health care services, or provides such services to a friend,neighbor, or relative, and would be unable to receive or provide these services if relocated to an alternate housing resource. • The applicant is able to provide verifiable documentation that demonstrates: o The landlord or leasing agent will not agree to a lease of less than one year; or o The applicant is unable to use Rental Assistance due to adverse credit history or criminal background. However, FEMA will coordinate with voluntary agencies and other organizations to assist in housing applicants in this situation prior to considering Direct Temporary Housing Assistance. 2. Temporary Housing Unit(THU)Selection Considerations FEMA determines the size of the THU to provide an applicant based on the required number of bedrooms recorded during the FEMA inspection. FEMA generally provides one bedroom for every two persons in the applicant's household.89 • FEMA may provide an additional bedroom based on the age, sex, and relationship of household members or as a reasonable accommodation for a household member with a disability or other access or functional need. • FEMA may provide an additional unit when the size of the applicant's household exceeds the capacity of a single available unit; however, FEMA will not provide more than one unit when the household has only one member over the age of 18. 97 161181 Chapter 3: Individuals and Households Program C. Direct Temporary Housing Assistance Terms and Conditions FEMA provides Direct Temporary Housing Assistance for up to 18 months from the date of the declaration when adequate, alternate housing is unavailable and the occupants cannot fulfill their permanent housing plan(PHP)through no fault of their own. FEMA re-evaluates the occupant's eligibility on a periodic basis through recertification visits, usually monthly, and the Direct Temporary Housing Assistance eligibility for the entire period of assistance is subject to the occupant continuing to meet recertification requirements. All occupants must agree to comply with FEMA's rules,terms, and conditions for occupying the THUs before they move in by signing a Temporary Housing Agreement or Revocable License. The Revocable License documents the applicant's acceptance of government property for temporary housing based on FEMA's terms and conditions included in the license. Occupants must demonstrate a continued housing assistance need, actively participate in the FEMA recertification process, and show progress towards achieving their PHP to remain eligible to stay in the THU. When applicants fail to comply with FEMA's rules,terms, and conditions, FEMA may terminate their eligibility to remain in the THU.90 Applicants who have been deemed ineligible by FEMA and refuse to vacate the THU will be subject to a monthly penalty fee. If an applicant refuses to surrender possession of the THU, legal or and other appropriate actions may be taken.91 1. Occupant Responsibilities Primary Occupant All THU primary occupants must sign and abide by the terms and conditions of the Temporary Primary Occupant means the Housing Agreement or Revocable License, applicant,co-applicant,or other household member over the age of 18 who signs the which specifies the household's obligations to: Temporary Housing Agreement or • Comply with THU Rules of Use, such as Revocable License. The primary occupant maintaining the unit its furnishings, and is responsible for any monthly rent or the surrounding area in a clean and additional charges related to the Temporary orderly condition; paying applicable Housing Unit. utility charges; and not damaging or making unauthorized modifications to the THU and its contents; • For THUs not owned by FEMA(i.e., MLR property)or located on sites not owned by FEMA or the occupant(e.g., commercial parks), the occupant will be required to comply with the terms of the owner's lease or terms of use; • Take action to secure adequate, alternate housing at the earliest possible time within the period of assistance; • Comply with all rules for a group site or commercial park and comply with all relevant local ordinances; 98 161181 Chapter 3: Individuals and Households Program • Refrain from conduct which adversely affects FEMA's property interest in the THU or the rights of other THU occupants to enjoy safe, secure, and functional temporary housing; and • Meet the recertification requirements identified in Continued Direct Temporary Housing Assistance. FEMA will notify insured THU occupants that DOB may occur if an insured member of their household receives ALE or LOU benefits to rent alternate housing. When this occurs, the primary occupant must: • Pay an amount equal to the ALE or LOU benefit to FEMA starting from the date the occupant signed the Temporary Housing Agreement. The amount of the monthly DOB payment to FEMA will not exceed FMR; and • Continue to make the ALE or LOU payment to FEMA until the total amount of the insurance benefit for ALE or LOU has been exhausted or the occupant vacates the THU, whichever is first. 2. Continued Direct Temporary Housing Assistance FEMA requires all THU occupants to actively participate in the recertification process. Occupants are responsible for achieving their PHP at the earliest possible time within the period of assistance and providing verifiable information of their progress towards their PHP to FEMA in order to receive continued Direct Temporary Housing Assistance. FEMA requires the THU primary occupant to establish a realistic PHP for their household no later than the first recertification. An acceptable PHP may demonstrate one of the following: • A pre-disaster owner is able to repair or rebuild the pre-disaster residence. • A pre-disaster owner is able to purchase a new residence. • A pre-disaster owner or renter is able to find and lease an available rental unit. o FEMA expects owners who cannot demonstrate the ability to repair or rebuild their pre-disaster residence or purchase a new residence within the period of assistance to move into an available rental resource. FEMA will regularly review the primary occupant's PHP to ensure the plan is realistic and achievable within the period of assistance. A PHP is realistic and achievable when: • The primary occupant demonstrates sufficient financial resources or other viable means for achieving the PHP within the period of assistance. Sufficient resources include funds or a verifiable commitment of non-financial assistance, such as voluntary agency labor; and • The primary occupant shows documented progress towards the PHP (e.g., acquired permits, contracts for repairs). 99 161181 Chapter 3: Individuals and Households Program Primary occupants who have not made progress toward their PHP must demonstrate it is due to no fault of their own(e.g., a contractor failure to obtain the required building permits, or a delay in the rental unit move-in date) and update their PHP to ensure they are realistic within the period of assistance. Disaster Case Management Program(DCM) SLTT governments may request the FEMA DCM Program if the Presidential Disaster Declaration includes IA.DCM provides disaster survivors with a single point of contact to facilitate access to a broad range of resources. The case manager verifies the survivor's disaster-caused unmet needs,and works with the survivor to develop a goal-oriented plan that outlines the steps necessary to achieve recovery. The case manager also organizes and coordinates information on available resources that match the survivor's disaster-caused need,monitors progress toward reaching recovery plan goals,and advocates for the survivor as needed.DCM is another resource that may help THU occupants with disaster-caused needs.More information on DCM is available in Chapter 4. 3. Health and Safety Concerns of THU Occupants When an occupant reports a health and safety concern about the living environment in the THU, FEMA will investigate to identify or verify the cause and obtain professional, expert recommendations for addressing the concern. If this investigation determines that testing and/or remediation is necessary, FEMA may require the occupant to vacate the unit. FEMA may offer alternate accommodations and moving and storage of personal property for occupants displaced due to any THU testing and/or remediation requirements. 4. Extension of Direct Temporary Housing Assistance FEMA may extend Direct Temporary Housing Assistance beyond the 18-month period of assistance when the affected state,territorial, or tribal government requests an extension in writing.92 The AA for Recovery will consider the request for approval. When the period of assistance is extended,FEMA will begin monthly rent collection from eligible occupants of FEMA TTHUs.93 • FEMA may authorize extensions to the initial 18-month period of assistance due to extraordinary circumstances when doing so is in the public interest. • FEMA will typically not consider extending the period of assistance without a written request from the SCO/TCO or GAR. However, FEMA may extend the period of assistance at its sole discretion; extensions to the period of assistance will only be considered in situations where the remaining disaster-caused temporary housing need exceeds the capabilities of the state,territorial, or tribal government, or the affected communities to support and there remains a lack of available resources. The request should include supporting documents demonstrating this housing need. • The AA for Recovery may consider extending the period of assistance when: 100 161181 Chapter 3: Individuals and Households Program o Adequate, alternate housing is not available in the affected area; and o Accessible housing units for occupants with disabilities are not available or are not within a reasonable commuting distance of essential services (e.g., accessible public transportation, grocery,medical facilities,banking, child care, schools, or place of employment). • If an extension is approved,the affected state,territorial, or tribal government must execute an amendment to the FEMA-State/Territory/Tribal Government Agreement. 5. Rent Collection for FEMA Temporary Housing Unit After the period of assistance has been extended, FEMA charges the primary occupant a monthly rent for each month any occupant remains in or maintains possession of a THU.94 The monthly THU rent is based on the locally applicable FMR. Establishing Rent Amount: FEMA calculates each occupant's monthly rent by applying the FMR based on the number of bedrooms in the THU and the THU location for the fiscal year in which Direct Housing Assistance is extended. Monthly rent begins accruing on the first day of the first full month after the extended assistance period begins.95 The primary occupant will be required to pay monthly rent due on the first day of each month after the date rent begins to accrue.96 Prior to the end of the period of assistance, Extra Bedroom FEMA provides a 30-day written notice of If FEMA provided the occupant with the requirement to pay monthly rent to an extra bedroom as a reasonable occupants who remain in a FEMA THU accommodation,the extra bedroom will not be after the initial 18-month period of included in the monthly rent calculation. assistance. Reasonable accommodations are part of the cost of doing business,and no surcharges will be FEMA does not prorate rent or reimburse passed on to the occupants to pay for them. See the primary occupant when any occupant Title II of the Americans with Disabilities Act for remains in or maintains possession of the further information. THU on or after the first day of the month. If any occupant remains in the THU on or after the first day of the month, the primary occupant is required to pay full rent for that month. Appeal of Rent: If the primary occupant is unable to pay the amount of rent established by FEMA, they may appeal FEMA's rent determination within 60 days of receiving FEMA's notice of the requirement to pay monthly rent. Appeals must include documentation demonstrating the applicant does not have the financial ability to pay the established rent. Specifically,FEMA requires both of the following information: • Pre-disaster versus post-disaster monthly gross income of all household occupants age 18 or older; and • Pre-disaster versus post-disaster monthly housing costs, such as mortgage payments on the pre-disaster residence while it is being repaired. 101 Chapter 3: Individuals and Households Program 1611B1 FEMA may adjust the amount of rent using the following criteria: • If the total monthly adjusted gross income amount of all occupants 18 years of age and older remained the same subsequent to the disaster, FEMA will consider the primary occupant capable of paying the same monthly amount for housing costs paid before the disaster or 30% of their household income, whichever is greater,but not to exceed the FMR. • If the total monthly gross adjusted income amount of all occupants 18 years of age and older increased or decreased as a result of the disaster, FEMA will consider the primary occupant capable of paying a monthly amount for housing costs equal to 30% of their household income or the FMR,whichever is greater,but not to exceed the FMR. • FEMA will subtract post-disaster monthly housing costs from the amount FEMA considers the primary occupant is capable of paying for housing costs to determine the FEMA adjusted rent amount to be charged,up to the applicable FMR. Housing costs may include rent and/or mortgage payments (including principal, interest, and real estate taxes) on the pre-disaster primary residence, real property insurance, and utility costs (not to include cable television, interne, and telephone service). • FEMA will not charge any primary occupant more than the FMR for monthly rent. • FEMA will not charge any primary occupant less than the FEMA minimum monthly rent amount of$50. Rent for a THU will continue to accrue each month while FEMA is considering the appeal, Minimum Rent Amount which may take up to 90 days. FEMA uses 30%of the total monthly • If the appeal is denied, the primary adjusted gross income of all household occupant must pay the originally members' income based on the formula used established rent in total within 30 days by HUD to determine the Total Tenant Payment(TTP). HUD allows a minimum rent of the date of the appeal decision, amount to be set in the TTP formula of up to including any rent not paid while $50. FEMA established$50 as the minimum FEMA was considering the appeal; or rent amount. • If the appeal is granted, the primary occupant must pay the adjusted rent in total within 30 days of the date of the appeal decision: o If the primary occupant paid the originally established rent amount while FEMA considered the appeal, FEMA will reimburse any overpayment based upon the amount of the adjusted rent. 6. Reasons for Terminating Direct Temporary Housing Assistance The occupant's eligibility to live in a FEMA THU automatically expires at the end of the period of assistance,unless the period of assistance has been extended. FEMA may terminate an 102 161161 Chapter 3: Individuals and Households Program occupant's Direct Temporary Housing Assistance prior to the end of the period of assistance for the following reasons:97 Program Eligibility Violations • Occupants are not actively participating in the recertification process (e.g.,not being available to meet with FEMA recertification staff on a regular basis). • Occupants are not taking all actions necessary to achieve their PHP in a reasonable time frame. Conduct Violations In some cases, an occupant who committed a violation may be removed from the THU and other occupants may remain in the unit. • Major Violations: Occupants engaging in conduct violations involving criminal activity in violation of federal, state,territorial, or tribal law, or other actions which present an imminent threat to the health and safety of the occupant, other THU occupants, or persons in the surrounding area. Major violations must be supported by an arrest or police report and occur in the vicinity of the TTHU or be an immediate threat to one or more occupants of the TTHU or other persons in the surrounding area; however, FEMA does not have to wait for a conviction before terminating assistance. Examples of major violations include,but are not limited to: o Assault,battery, rape, domestic violence, child abuse, or sexual assault o The use, sale,possession, or manufacture of illegal drugs o Destruction or theft of property owned or leased by FEMA (including the THU), other THU occupants (including their guests), and contractors performing work for FEMA. General Violations Occupants engaging in conduct violations involving the breaking of rules established by the commercial park or other temporary housing site management rules included within the Temporary Housing Agreement or Revocable License. Examples of general violations include, but are not limited to: • Excessive noise or disturbance of peace • Unleashed or unattended pets outside of the THU • Damage to the THU beyond normal wear and tear • Failure to maintain reasonably clean and sanitary conditions both inside and outside the THU 103 1611B1 Chapter 3: Individuals and Households Program • Failure to pay rent, after receiving a warning, and when rent has been assessed following the end of the period of assistance Figure 21:FEMA Notification of Occupant Violations 15-Day Notice of Notice of Warning Revocation Surrender Notice • Outlines actions occupant Explains reason(s) for FEMA issues the primary must take to resolve the terminating DTHA, occupant a Notice to violation and remain instructions for submitting Surrender Possession prior eligible for DTIIA. an appeal, and states that to referring the case to the assistance is terminated as U.S. Department of Justice of the date specified in the if occupant fails to vacate Notice of Revocation. or prevents FEMA from reclaiming the THU. 7. Process for Terminating Direct Temporary Housing Assistance FEMA will follow the process outlined below to afford each occupant due process and ensure sufficient justification exists for termination. • Warning Notice: After becoming aware of a program eligibility or general conduct violation, FEMA will notify the primary occupant through a 15-day warning notice, delivered in-person or through certified mail. This notice will outline the actions the occupant must take to resolve the violation and remain eligible for FEMA Direct Temporary Housing Assistance. FEMA will not issue a warning notice for Major Violations or the end of the period of assistance. • Notice of Revocation: If the occupant fails to remedy the violation as outlined in the 15- day notice or commits a Major Violation, FEMA will issue the primary occupant a Notice of Revocation(NOR) explaining the reason(s) for terminating Direct Temporary Housing Assistance, instructions for submitting an appeal, and that assistance is terminated as of the date of the letter. • Notice to Surrender Possession: If an occupant fails to vacate or prevents FEMA from reclaiming the THU, FEMA will issue the primary occupant a Notice to Surrender Possession prior to referring the case to U.S. Department of Justice. • Appeal Rights: Occupants can appeal the termination decision within 60 days after receiving the NOR. However, filing an appeal does not relieve the occupant of the responsibility to vacate the THU by the deadline established in the NOR. Also,the occupant cannot appeal an NOR received due to the end of the period of assistance. 104 161181 Chapter 3: Individuals and Households Program 105 161181 Chapter 3: Individuals and Households Program 8. Penalty Fees Example of Penalty After the period of assistance has ended or an occupant is determined ineligible for continued If a homeowner fails to complete assistance,primary occupants who fail to surrender repairs or construction on their primary the THU by the established deadline are subject to residence within the additional 90 days a monthly penalty fee for as long as any occupant provided,FEMA will require the remains in or maintains possession of the THU. homeowner to pay the full,unreduced penalty fee for the length of time the FEMA may also charge the primary occupant a homeowner or any occupant remains in or penalty fee when they fail to pay monthly rent maintains possession of the THU. when charged by FEMA or fail to relocate or --•------ - - a -�M «s assume financial responsibility for a TTHU purchased from FEMA as agreed to in the Acknowledgement of Conditions of Sale (see Chapter 3, V.F.). Paying the penalty fee does not entitle an occupant to remain in a THU nor does it prevent FEMA from taking legal action to remove the occupant from the unit. A penalty fee is equivalent to the FMR plus a flat rate fee of$550 or FMR plus FEMA's actual monthly costs for the THU, whichever is higher. The flat rate of$550 is based on the average actual monthly cost per unit for occupied TTHUs from years 2011 to 2015. Figure 22: Example of a Penalty Fee Examples FMR Monthly Cost for Flat Rate Fee Penalty Fee THU Example 1 $1000* $475 $550* $1,550 Example 2 $1000* $1350* $550 $2,350 Asterisks indicate which columns are used to calculate each example penalty fee. FEMA may consider reducing the penalty fee to the FMR if occupants meet all of the following conditions: • Primary occupants who are pre-disaster homeowners: o Have a PHP to repair or rebuild their primary residence; o Have not achieved their PHP through no fault of their own; o Need up to an additional 90 days beyond the end of the initial or extended period of assistance to complete the repairs or construction; o Have previously declined to purchase their TTHU after the Sales Program was implemented; and o Paid monthly rent to FEMA during an extended period of assistance, if applicable (see Chapter 3, V.C.5.); applicants who were charged rent by FEMA during an extended period of assistance but did not pay will not be considered for a reduced penalty fee. 106 161181 Chapter 3: Individuals and Households Program • Primary occupants who are pre-disaster homeowners and renters: o Have a TTHU sale or donation pending beyond the initial or extended period of assistance through no fault of their own; and o Pay monthly rent to FEMA during an extended period of assistance, if applicable; applicants who were charged rent by FEMA during an extended period of assistance but did not pay will not be considered for a reduced penalty fee. Primary occupants may appeal FEMA's decision to terminate assistance; however,the penalty fee 1,.. • may not be appealed. If FEMA accepts the -0.1104 appeal, overturns the termination, and reinstates Direct Temporary Housing Assistance, the t ` occupant will not be required to pay a penalty • "' e fee. FEMA will refund the applicant any penalty `% ` 9 fees the applicant paid during the appeal period. _ ((( Primary occupants who have not paid their penalty fee in full within 120 days of the date of J receiving the bill will be referred to the U.S. A FEMA staff member helps a disaster survivor Department of the Treasury for debt collection. apply for FEMA assistance. D. Multi-Family Lease and Repair FEMA may provide Direct Temporary Housing Assistance in the form of repairs or improvements to existing,vacant multi-family housing units (e.g., apartments).98 FEMA may utilize units repaired or improved under MLR as temporary housing for eligible applicants who are unable to use Rental Assistance due to a lack of available resources. MLR is not intended to repair or improve individual units to re-house existing tenants. 1. Property Eligibility Requirements In addition to the criteria described in Direct Housing Assistance Request and Approval (see Chapter 3, V.A), FEMA must verify that one or more properties meet the following conditions of eligibility to authorize MLR. These additional conditions of eligibility Multi-Family Rental Housing include: Multi-family rental housing is defined • The property must have previously as a rental property that contains three or more been used as multi-family rental dwelling units, each such unit providing housing; complete and independent living facilities for one or more persons,including permanent • The property must be located in an provisions for living, sleeping,cooking, and area designated for IA included in a sanitation. major disaster declaration; 107 1611B1 Chapter 3: Individuals and Households Program • The property must be located within reasonable access to community and wrap-around services such as accessible public transportation, schools, fire and emergency services, grocery stores, etc.; • The property must be available to be leased to FEMA allowing FEMA's exclusive use as temporary housing for eligible applicants for a term of no less than 18 months from the date of declaration; • The property owner must agree to allow FEMA to make reasonable accommodation and/or modification repairs or improvements during the term of the lease agreement without requiring FEMA to remove the improvements at the end of the lease agreement; and • The property owner must provide all property management services, including building maintenance, except where the property is leased or contracted from another government entity, in which case FEMA may directly provide such services. FEMA may add counties/jurisdictions to the major disaster declaration designated for IA specifically for the purpose of implementing MLR,providing: • There are insufficient properties within already-designated counties/jurisdictions to meet the housing need under MLR; • FEMA has identified suitable properties within counties/jurisdictions proposed to be designated for MLR; • The properties are necessary to provide temporary housing to eligible applicants within a reasonable commuting distance; and • The Governor or GAR submits a written request to add the counties/jurisdictions to the major disaster declaration and the Associate Administrator for Response and Recovery approves the request. I . . �1 iAs1: - - 144 Rental units in Louisiana being repaired under Multi-Family Lease and Repair to house eligible applicants. 108 161181 Chapter 3: Individuals and Households Program 2. Approving Properties Under the terms of any lease agreement for potential MLR property, the value of the improvements or repairs shall be deducted from the value of the lease agreement. Any repairs or improvements will not take more than four months to complete. To determine cost-effectiveness of a potential Lease Agreement MLR property,FEMA will deduct the estimated cost of repairs and improvements Lease Agreement is defined as a lease from the value of the lease agreement as or contract between FEMA and a property follows: FEMA will determine the estimated owner for use, and to allow for repairs or cost of repairs or improvements by performing improvements to a multi-family rental property. It includes the terms and conditions an independent government cost estimate for associated with the use and repairs or the necessary repairs and improvements, or improvements being made, and the authorized receive an estimated cost for repairs and expenditures to be paid by FEMA to the improvements from a building contractor. property ownerF�. ._R�..�.,_ • FEMA will identify the estimated cost of repairs or improvements to make one unit per lease agreement accessible to applicants with disabilities, including costs to provide marked and signed accessible parking, access to the unit, and accessible common areas. • FEMA will determine the value of the lease agreement by multiplying the approved monthly Rental Assistance rate by the number of units, and then multiplying the number of months remaining between the date the repairs are completed and the end of the 18- month period of assistance. • FEMA will deduct the estimated cost of repairs and improvements from the value of the lease agreement by using a three-step test to determine if the potential MLR property is cost-effective and viable for consideration. FEMA will also determine if the potential MLR property is cost-effective and viable for consideration with the Fair Market Rent(FMR) included cost associated with making one unit accessible. FMR is defined as housing market- wide estimates of rents that provide The RA or FCO, if the RA has delegated the opportunities to rent standard quality housing authority to the FCO, may approve properties throughout the geographic area in which up to the financial rental assistance rate, rental housing units are in competition. including any increase approved for the The fair market rent rates applied are those disaster(see Chapter 3, IV.D.). identified by HUD as being adequate for The RA or FCO, if the RA has delegated the existing rental housing in a particular area. FEMA uses the applicable rate based upon the authority to the FCO, must submit a written location of the housing unit,the number of notification with justification to the AA for bedrooms in the housing unit,and the fiscal Recovery when the estimated cost of the year in which the major disaster declaration repairs or improvements exceeds the standard was issued. 109 161161 Chapter 3: Individuals and Households Program FMR, including accessibility-related costs. Specific properties may be approved up to the financial rental assistance rate approved for the disaster if: • Lower cost units are unavailable or already used; or • A housing market analysis supports the increase. 3. Prioritizing Properties When multiple approved MLR properties exist, FEMA will evaluate properties according to the following factors: • Cost to the Federal government; • Time to complete repairs; • Landlord's demonstrated ability to manage and/or provide maintenance services; • Proximity to wrap-around services; and • Accessibility. When selecting available properties for use, FEMA will prioritize properties that: • Make at least one unit accessible. • Are in proximity to accessible Payment Scenarios for public transportation. MLR Property Owner FEMA will consider the specific needs of FEMA may, in some scenarios,make payments to a MLR property owner in addition to the costs for the applicants with disabilities and others repairs. FEMA may: with access and functional needs. FEMA will prioritize accessible units for • Provide monthly rent to the property owner applicants whose household includes one when the total estimated cost of repairs is less or more persons with a disability and than the FMR value of the lease. The total others with access and functional needs. amount of monthly rent payments may not FEMA may only consider placing other exceed the difference between the total estimated cost of repairs and the FMR value of eligible applicants in accessible units the lease. FEMA will not pay monthly rent when when all households with accessibility total projected cost of all necessary repairs and needs have been adequately housed. improvements equals or exceeds the FMR value of the lease. 4. Property Repair or Improvement Service Contracting • Provide a per-unit monthly maintenance fee for servicing repairs while FEMA utilizes the unit Once approved, FEMA has two options for temporary housing. for repairing or improving an eligible MLR property. At its discretion, FEMA • Provide a per-unit security deposit payment to may either: the landlord not to exceed one month of FMR based on the location and number of bedrooms. 110 161161 Chapter 3: Individuals and Households Program • Enter into a contract with the property owner for the property owner to perform necessary repairs and improvements to housing units to be provided for FEMA's exclusive use as temporary housing during the term of the lease agreement; or • Enter into a contract with a third party to perform the repairs or improvements to the housing units and enter into a lease agreement with the property owner. FEMA will only authorize repairs and improvements that: • Make a property safe, habitable, accessible, and functional for temporary housing; • Use only builder-grade materials and finishes; • Promote living environments that are usable by the broadest spectrum of people, regardless of ability,without the need for adaptation or specialized design; and • Are performed in compliance with local building codes, standards,permitting, inspection requirements, and all applicable EHP laws and regulations. When repairs or improvements are made to provide accessibility features, contractors will be guided by the Americans with Disabilities Act Accessibility Guidelines (ADAAG)99 and HUD's Design Details for Accessible Disaster Relief Housing. FEMA will include the following accessibility features when repairs or improvements are required to these elements: • Bathrooms: o Reinforcements to allow later installation of grab bars around toilet,tub, shower stall and shower seat,to the extent it would not require extensive demolition solely for this purpose, where such facilities are provided o Americans with Disabilities Act(ADA)-compliant toilets • Faucets: Single-lever faucet controls • Door knobs/handles: Lever-type handles • Door locks: Single-push locks • Drawers and Cabinets: D-loop or other easy-to-use handle pulls • Flooring: Low-pile carpet or smooth anti-slip flooring If FEMA identifies an MLR-eligible applicant with a disability whose housing needs cannot be met by an available unit, FEMA will make the necessary modifications as a reasonable accommodation and/or modification so the applicant receives a habitable, safe, accessible, and functional housing unit. FEMA will prioritize units that can be modified in the most time- and cost-efficient manner and best meet the requirements of the applicant. FEMA will incur all costs related to making the necessary repairs or improvements. If construction costs begin to exceed the repair estimate at any time during the repairs, the project may need to be re-evaluated to ensure it still complies with the Stafford Act requirements. This will be a case-by-case determination based on the facts specific to the 111 161181 Chapter 3: Individuals and Households Program situation,based on the reason for the cost overruns, the extent to which they are directly in FEMA's control, and whether the increased costs cause the repairs to exceed the value of the lease agreement. S. Leasing Properties The property owner must agree to incorporate a lease addendum containing MLR program conditions of eligibility and termination of tenancy between the property owner and the occupant. The property owner acknowledges responsibility for evicting applicants whose assistance is terminated. Property owners may receive reimbursement for reasonable costs associated with the eviction process. FEMA may provide a per-unit security deposit payment to the landlord not to exceed one month of the FMR,based on location and number of bedrooms. Unused portions of each security deposit must be returned to FEMA upon release of the unit. If the security deposit amount does not cover the amount of damage to the unit,the occupant will be responsible to the property owner for the additional funds. FEMA will not pay for background checks, credit checks, application fees, or pet deposits.'°°FEMA will provide payment for utilities as part of the monthly rent only when utilities are included in the rent established by the property owner. The lease agreement between FEMA and the property owner must include the option to extend the lease if an extension beyond the standard 18-month period of assistance is approved. FEMA may release the unit to the owner and cease all monthly payments for the unit if the unit becomes vacant during the term of the contract and FEMA has not identified another eligible applicant to occupy the unit. 6. Limitations and Exclusions Hotels, hospitals,nursing homes, etc. are not considered residential properties and are not authorized for MLR. FEMA will not approve additional increases beyond the FMR approved by the AA for Recovery for the disaster. E. Transportable Temporary Housing Units and Site Types FEMA may provide Direct Temporary Housing Assistance in the form of TTHUs on sites with utility access that meet the needs of the household, and comply with applicable SLTT government ordinances. Approved sites must also meet Federal floodplain management and EHP requirements. FEMA selects locations based on the cost-effectiveness,timeliness, and suitability of each potential site. Sites may include private, commercial, and group sites. 112 t 6 1 1 B 1 Chapter 3: Individuals and Households Program 1. Unit Types RV and MHU TTHUs may be provided in the form of RVs or 11111 MHUs. FEMA determines whether an RV, Recreational Vehicle(RV): An MHU, or other form of temporary housing will RV is a vehicle designed as temporary be provided based on the applicant's household living quarters for recreational,camping, composition,the amount of time the applicant travel,or seasonal use purchased or leased expects to require temporary housing, as well as by FEMA and provided to eligible applicants for use as temporary housing for the feasibility and cost of the available temporary a limited period of time. housing options. FEMA prioritizes RVs for eligible applicants who are projected to have a Manufactured Housing Unit(MHU): A temporary housing need of six months or less. manufactured home purchased or leased by For those with a projected need of longer than six FEMA and provided to eligible applicants months, FEMA will generally utilize another for use as temporary housing for a limited form of Direct Temporary Housing Assistance. period of time. - � Recreational Vehicles FEMA provides RVs that are certified to comply with the Recreation Vehicle Industry Association standards and meet California Air Resources Board(CARB) standards or are certified compliant with the Toxic Substances Control Act Title VI requirements for formaldehyde emissions from composite wood products found in RVs. RVs may not be a suitable temporary housing solution for applicants with disabilities and others with access and functional needs. FEMA notifies applicants with a disability and others with access and functional needs who request an RV that a reasonable modification may be available upon request. If a reasonable modification is not available, FEMA works with applicants on a case-by-case basis to see if an acceptable alternative will effectively address the applicant's accessibility-related needs. For eligible applicants who are unable to occupy an RV, FEMA will provide an MHU that complies with Uniform Federal Accessibility Standards (UFAS)or an available THU. Manufactured Housing Units (MHUs) FEMA provides MHUs constructed in accordance with HUD regulations.101 FEMA MHUs are equipped with residential fire sprinklers,which can help save lives and prevent injuries. Residential fire sprinklers require a tank and pump system(TPS) to operate. FEMA provides MHUs built to UFAS, including UFAS-compliant platform steps or ramps, and path of travel from the parking lot throughout the facility,to eligible applicants with a disability. 113 1611B1 Chapter 3: Individuals and Households Program 2. Site Types Private Sites: Private sites are sites provided by an applicant at no cost to FEMA,typically on their property near their pre-disaster residence. FEMA inspects each potential private site to determine if the site is feasible for placing the size and type of unit that will meet the household's needs. FEMA may provide TTHUs on private sites under the following conditions: • The owner of the private site must certify !„ :,�, that they are the landowner and that FEMA ' `' . has permission to access the site to deliver, install, maintain, repair, and remove the ,�� .,, TTHU. 6" • The site has sufficient access to allow FEMA to safely deliver, install, and remove the TTHU and meets local zoning requirements for a TTHU. MHU sits next to a residence in Zachary, • The site is sufficiently clear of debris and Louisiana after flooding other obstacles for placement of a TTHU and accessories (including steps or UFAS-compliant steps or ramps) in accordance with local setback or lot boundary requirements and the household's needs. • Sanitation, including public sewer or a private septic system, is available and functional at the site. FEMA will not perform any repairs to components of the site eligible for FEMA Repair Assistance (such as wells and septic tanks) in order to make the site feasible for a TTHU. • Electrical service is available and functional and a temporary power pole and meter panel for providing electrical service to the TTHU can safely be installed by the local power company. FEMA will not connect electrical service for the TTHU to the applicant's pre- disaster residence. • Potable water service is available and functional at the site. Commercial Sites: FEMA may provide TTHUs on commercial sites when the II! Fair Housing Act rules of the commercial site do not violate Title VIII of the Civil Rights Act of 1968 the Fair Housing Act. Commercial sites (Fair Housing Act)protects people from are existing manufactured home parks discrimination when they are renting,buying,or with available pads that FEMA may lease securing financing for any housing. The for the purpose of providing Direct prohibitions specifically cover discrimination Temporary Housing Assistance. because of race,color,national origin,religion,sex, disability,and the presence of children. 114 1 6 1 1 B 1 Chapter 3: Individuals and Households Program • FEMA will prioritize locations within reasonable commuting distance of and access to community and wrap-around services (see Chapter 3, V.E.3.). • FEMA,to the extent possible, leases commercial sites at a fair market price in the affected area based upon the pre-disaster pad lease rates. • FEMA only authorizes reasonable and cost-effective repairs or improvements necessary to make the site functional (such as an electrical service upgrade), including those necessary to meet reasonable accommodation requests for people with disabilities. • FEMA will not pay additional costs for utilities, grounds maintenance,trash removal, snow removal, or any other +• costs unless such costs were typically included in leases and lease amount prior - to the disaster and the utilities in " ! question are not metered separately by the utility provider. • FEMA will prioritize commercial sites with existing usable pads before considering sites which require Manufactured housing units to be used as improvement or expansion. FEMA will temporary housing for eligible applicants in a only consider expanding or improving FEMA Staging Area in South Dakota. existing commercial sites as a cost-effective alternative to building a group site. FEMA will deduct the total cost of expansion or improvements to commercial sites from the value of the lease agreement between FEMA and the park owner. Group Sites: Group sites are not automatically included as part of the Direct Housing Assistance approval. FEMA only considers group sites when the temporary housing need cannot be met by other direct temporary housing options. Group sites provided by the state or local government may include publicly-owned park land with adequate available utilities. The Regional Administrator(RA)will only approve group sites when the below conditions have been met: • The FCO must certify the need for each group site in writing and provide a copy of the certification to the RA before initiating the final design. The FCO's certification of need for a group site must include: o A request from the SLTT government for the specific group site and an assurance that the SLTT government has exhausted all other housing options in the area; o An analysis demonstrating insufficient rental resources exist within a reasonable commuting distance of the proposed group site location to meet the needs of eligible applicants; o An assessment demonstrating an increase in the Rental Assistance rate (see Chapter 3, IV.D.)within the county or parish where the group site will be located will not be sufficient to meet the needs of eligible applicants; 115 161181 Chapter 3: Individuals and Households Program o Identification of any restrictions for placing TTHUs on private sites within the county or parish where the group site will be located, accompanied by: • Documentation of the FEMA JFO's efforts to negotiate waivers or otherwise seek relief from these restrictions to provide temporary housing for eligible applicants; • An analysis demonstrating that the group site would still be required if applicants whose private sites are infeasible solely because of the local restrictions were removed from consideration; o Identification of the efforts taken to identify commercial sites for placement of TTHUs; and o Identification of the efforts taken to identify MLR and Direct Lease properties within the county or parish where the group site will be located. This should include data to support the need versus the number of MLR and Direct Lease properties and units available. The RA will provide justification for the approval of a group site, in writing,to the AA for Recovery. Group sites will be implemented according to the following considerations: • FEMA will partner with the affected SLTT government to identify and select group site locations. FEMA will prioritize sites provided by the SLTT government at no cost before leasing a site from a private party. • FEMA only develops group site locations within reasonable access to community and wrap-around services (e.g., schools, fire and emergency services, grocery stores, etc.). FEMA, as a lead coordinator, engages external stakeholders who may be able to assist in implementing wrap-around services in and around group site areas. FEMA ensures all common-use areas of the group sites, including accessible paths of travel from the parking lot and throughout the site, are designed and built in accordance with UFAS. At least 15% of the pads in a group site and at least 5%of the TTHUs installed will comply with UFAS. • FEMA will incorporate separate green spaces into group sites to accommodate households with children or pets. • FEMA will make every attempt to design and build group sites in such a manner that playgrounds or other recreational equipment may be installed within or adjacent to the group site. • The FEMA must re-evaluate the need for group sites as the housing mission progresses (e.g.,post-design and during all phases of construction). If at any time during the process applicants are able to be placed into other available direct housing options,the FEMA JFO will prioritize their placement into these other options instead of continuing to develop the group site. 116 tbi181 Chapter 3: Individuals and Households Program 3. Wrap-around Services FEMA does not provide wrap-around Wrap-around Services services; however, FEMA will not provide Direct Temporary Housing Assistance in Wrap-around services address the support eligible applicants need while living in locations where disaster survivors will not the TTHU. Wrap-around services may include have access to wrap-around services. basic social services,access to transportation, police/fire protection,emergency/health care 4. Floodplain Management and EHP services, communications,utilities,grocery Considerations stores, child care,and educational institutions. FEMA complies with EHP laws,policies, and executive orders when installing TTHUs. FEMA will not install TTHUs within areas which can result in loss of 1111 Historic Property human life or will have adverse impacts on The term"historic property"is defined in historic properties or endangered or the National Historic Preservation Act as"any threatened species or their habitats. FEMA prehistoric or historic district, site,building, reviews each potential TTHU site for structure,or object included on,or eligible for inclusion on,the National Register,including floodplain management concerns 102 and will not place TTHUs within a one percent artifacts,records,and material remains relating to annual chance floodplain unless no practical the district, site,building, structure,or object" (54 U.S.C. § 300.308).An archaeological site can alternative exists. legally be considered a historic property under When placing TTHUs on private and the law. commercial sites, FEMA shall apply the abbreviated eight-step decision-making process for any proposed action that may occur in or may impact a floodplain or wetland.'°3 • FEMA will identify if the potential TTHU site is located in an SFHA as identified on the available flood hazard information or a potential flooding area as identified on the Advisory Flood Hazard Information. • FEMA will not place TTHUs within a floodway or coastal high hazard area(V zone), even under the eight-step process. FEMA will not place RVs in high flood risk areas with rapid rates of rise or flash flooding. • When deciding whether a potential TTHU site in the floodplain is the only practicable alternative, FEMA considers the following factors: speedy provision of temporary housing; potential flood risk to the temporary housing occupants; cost-effectiveness; social and neighborhood patterns; timely availability of other housing resources; and potential harm to the floodplain or wetland. • When FEMA determines that placing TTHUs within an SFHA is necessary for providing temporary housing for eligible applicants,FEMA will prioritize MHUs over RVs for sites within the floodplain. FEMA considers the availability of each type of unit,based on the number of MHUs available from FEMA's inventory, off the lot purchases, and additional 117 161181 Chapter 3: Individuals and Households Program production from manufacturers to determine when providing RVs within an SFHA may be necessary for providing expedient temporary housing in an SFHA. • Placement of TTHUs will be made in accordance with NFIP criteria or any more restrictive Federal, SLTT government floodplain management standard. Such standards may require anchoring and elevation to the base flood elevation in absence of a variance. FEMA will take into account seasonal variations in flood risk and flood depth when evaluating potential sites for TTHU placement. • Units will be elevated to the highest level practicable and will be anchored to prevent movement. Actual elevation levels will be based on the manufacturers' specifications and agency guidance. RVs may be installed on their chassis but must also be adequately anchored. FEMA will coordinate with local floodplain administrators to permit the installation of TTHUs. • FEMA will provide applicants with information and advisories on the flood risk, including information relating to health and safety, evacuation, right of entry, and personal property, and contact information for the local emergency manager. FEMA will obtain acknowledgement from TTHU occupants that they have been provided this information. FEMA conducts appropriate EHP analyses on potential group site locations and when Expedited EHP Review expanding or improving commercial sites. Understanding the critical need for the FEMA will conduct additional EHP review placement of TTHUs following a disaster, FEMA has streamlining measures in place to for private sites only when the sites are ensure EHP review is completed in a timely known to have a high probability of manner.FEMA will complete the appropriate containing archaeological sites, Federally- level of analysis depending upon the action.This designated endangered or threatened could involve the simple application of a species, or known hazardous substance Categorical Exclusion(an action that has been contamination. documented to have little potential impact on the environment)or completion of an expedited F. Disposing of TTHUs through Sales to Environmental Assessment. Occupants and Donations FEMA is authorized to dispose104 of occupied TTHUs through sales to occupants or donations to qualified government agencies or voluntary organizations within the period of assistance.'°5 Sales and donations are means to dispose of TTHUs,not forms of housing assistance. An occupant's participation in TTHUs sales or donations is voluntary. An occupant's decision not to participate does not affect their eligibility for Direct Temporary Housing Assistance during the period of assistance. 118 161181 Chapter 3: Individuals and Households Program 1. Authorizing Disposal through Sales and Donations FEMA may dispose of occupied TTHUs by sale or donation in response to a written request from the state,territorial, or tribal government. The RA or FCO, if the RA has delegated the authority to the FCO, may implement TTHU sales and donations when: • Rental resources are not expected to support those currently residing in FEMA-provided TTHUs within the period of assistance for the disaster declaration; • Applicants' completion of repair or replacement of their disaster-damaged residences will not be possible within the period of assistance; • Disposing of TTHUs is not expected to adversely affect local rental housing and manufactured housing markets; • Disposing of TTHUs is expected to be in the best interest of the Federal government; and • Disposing of TTHUs will not cause a significant impact on FEMA's ability to maintain necessary TTHU inventory. Once approved, FEMA may sell occupied TTHUs to pre-disaster homeowners immediately following the implementation of Direct Temporary Housing Assistance. After determining that adequate, alternate housing has not returned to the housing market, and is not expected to return, the earliest FEMA will implement sales of occupied units to pre-disaster renters is six months following the date of declaration. FEMA will not initiate or approve TTHU donations independent of TTHU sales to occupants. FEMA will only consider donation after all TTHU sales to occupants have been completed. Each TTHU Donation Agreement must be approved by the RA or FCO. For additional information, see Chapter 3, V.F.3. 2. TTHU Sales to Occupants FEMA may dispose of occupied TTHUs by selling them directly to the occupant if that individual or household lacks permanent housing through no fault of their own.106 FEMA will sell a unit at a price that is fair and equitable. When an applicant purchases a unit from FEMA, they must agree to assume responsibility for it. Upon selling the unit to the occupant, FEMA will notify the residence tax office. Purchaser's Conditions of Eligibility: Only the primary occupant may request and complete the purchase of the TTHU. The primary occupant must meet the following criteria to purchase the TTHU: 119 Chapter 3: Individuals and Households Program 1 6 11 B 1 • Be in compliance with all conditions ».r' and rules under Direct Temporary Housing Assistance(see Chapter 3, s, V.B.) and the Revocable License or a 4�y Temporary Housing Agreement; P t • Lack permanent housing and be unable to fulfill a PHP within the period of assistance through no fault SOL of the occupant; _ a' ~ • Respond to the FEMA Sales Notice expressing interest in purchasing the One of several MHUs provided by FEMA in unit; Crestwood, New Jersey following Hurricane • Demonstrate the household's Sandy. financial ability(e.g.,proof of income, insurance payout,personal savings, or external assistance from non-FEMA sources) to complete the purchase within the time frame required, typically 30 days after FEMA tenders the final sales offer; and • Demonstrate they have obtained any or all permits or inspections required by the SLTT government for the sale and location of a TTHU. A household that qualified for and received a TTHU through the citizenship or qualified alien status of a minor child member of the household may be eligible for a TTHU sale for the benefit of the child. FEMA staff will consult the Office of Chief Counsel to ensure the necessary legal requirements to complete the sale are met. Determining the Price of the Unit: MHU: FEMA will offer to sell the MHU to the primary occupant at the Adjusted Fair Market Value(AFMV), which is the fair market value minus a standard deduction of FEMA's average deactivation cost. RV: FEMA will determine the Fair Market Value (FMV) of the RV using the National Automobile Dealers Association(NADA)pricing guide and subtract FEMA's average deactivation cost to determine the AFMV. FEMA may lower the sales price based upon the occupant's financial ability but will not reduce the sales price to less than 25% of the AFMV.107 If the occupant feels they cannot afford to purchase the unit at the AFMV,the occupant may appeal FEMA's determination and petition for a reduced sales price. 120 1 6 1 1 B 1 Chapter 3: Individuals and Households Program • At the time FEMA calculates the reduced sales price,FEMA will consider the income and assets for all occupants over the age of 18 listed on the Temporary Housing Agreement. • In order to purchase the TTHU at the reduced sales price, the primary occupant will be required to: o Apply toward the cost of purchasing the unit all Home Repair Assistance or Replacement Assistance for which the primary occupant cannot produce a receipt or other documentation showing it was used for its intended purpose; o Contribute 30%of the gross monthly income of all occupants 18 years of age or older toward the cost of purchasing the TTHU; and o Contribute 40% of the cumulative assets of all occupants 18 years of age or older toward the cost of purchasing the TTHU. • FEMA's decision on an occupant's reduced sales price based on their appeal is a final Agency determination and not subject to further appeal. • Individuals and households who are non-compliant with the NFIRA requirement to purchase and maintain flood insurance are not eligible for a reduced sales price.'o8 Conditions of Sale: FEMA does not permit substitutions or exchanges of TTHUs. The primary occupant must agree to purchase the TTHU they currently occupy"as is" and"where is."This includes all modifications and accessories in place at the time of sale, including those provided as accommodations for occupants with disabilities. All of the following exceptions apply to "as is"and"where is:" • Where necessary, FEMA may perform minimum repairs needed to protect health and safety. • When the TTHU being sold is located in a FEMA group site or a FEMA-leased commercial site,the primary occupant must: o Secure an alternate location that itit, Occupant Option at complies with all applicable Federal, Commercial Sites SLTT government laws, codes, and ordinances; For commercial sites,the primary occupant may choose to assume the pad o Be able to move the unit within 30 lease. days of sale; or o Assume the commercial site pad lease after the sale, if applicable. • FEMA will not sell units for use in a floodplain or wetland unless the sale fully complies with the 8-step process.'°9 o MHUs in a floodplain must be elevated prior to sale. MHUs that are not elevated to the required height cannot be sold. o FEMA will not sell RVs located within an SFHA. 121 161181 Chapter 3: Individuals and Households Program The primary occupant acknowledges all terms of the sale on the Acknowledgment of Conditions of Sale document, including: • Agreeing to maintain hazard and flood insurance on the unit,regardless of whether the TTHU is or will be located in an SFHA • Responsibility for all maintenance and utilities associated with the TTHU after completing the sale • RVs are not designated for use as a permanent dwelling but as temporary living quarters for recreational, camping,travel, or seasonal use. FEMA will provide the primary occupant with an SF-97 Form, U.S. Government Certificate to Obtain Title to a Vehicle, signed by FEMA as the Transferor, upon collection of full payment and completion of the Acknowledgement of Condition of Sale. Payment must be made using a certified check or money order. After the sale is completed, the primary occupant and members of the occupant's household will no longer be eligible to receive FEMA Direct Temporary Housing Assistance for that disaster declaration. 3. TTHU Donations to Qualified Public Agencies and Private Organizations FEMA may donate occupied TTHUs"as is"and"where is"to a SLTT government agency or a voluntary organization for the purpose of continuing to provide temporary housing to eligible occupants who cannot afford to purchase the TTHU at the lowest price FEMA will offer."° FEMA cannot donate directly to a TTHU occupant. Eligible Recipient Entities or Organizations: FEMA must identify eligible recipient entities Voluntary Organization or organizations interested in receiving donated A voluntary organization is any. TTHUs. FEMA will give priority to SLTT chartered or otherwise duly recognized government agencies for receiving TTHU 501(c)(3)tax-exempt which has provided or donations before considering donating TTHUs may provide needed services, in cooperation to voluntary organizations. If government and partnership with SLTT or other agencies are unavailable, FEMA will give government agencies,to individuals and priority to voluntary organizations that have families coping with an emergency or a major disaster. been in existence for at least one year and have ., a history and demonstrated capability of assisting disaster survivors. After identifying an eligible recipient entity or organization, FEMA must identify occupants who are eligible to participate. Conditions of Eligibility for Occupants: Occupants may be considered for inclusion in TTHU donations when the following criteria are all met: • The primary occupant satisfies all conditions of eligibility under TTHU Sales to Occupants (see Chapter 3, V.F.2.)but does not have the financial ability to purchase a TTHU at the reduced sales price. 122 1611B1 Chapter 3: Individuals and Households Program • The primary occupant lacks permanent housing and has not fulfilled a PHP through no fault of their own. • The primary occupant continues to have a disaster-caused temporary housing need. • The primary occupant indicates interest in participating in TTHU donations by replying to the Notice of Interest Letter with the required information. o If selected to participate in TTHU donations, the primary occupant must return the Acknowledgment Letter sent by FEMA, agreeing to be housed by the entity/organization approved to receive and manage the TTHU. Conditions of Donation: FEMA will not donate any TTHU without a TTHU Donation Agreement signed by FEMA and the recipient entity/organization. The TTHU Donation Agreement will require the recipient entity/organization to: • Use the occupied TTHU for the sole purpose of providing temporary housing to a FEMA-eligible occupant until the end of the period of assistance or for a minimum of one year, whichever is longer,unless: o The eligible occupant secures permanent housing earlier; and o FEMA is unable to identify another eligible applicant to occupy the unit for the remainder of this time period. • Ensure the site where each TTHU is to be occupied complies with local codes, ordinances,44 C.F.R. Part 9, and other EHP compliance procedures detailed in FEMA Instruction 108-1-1. • Obtain and maintain hazard and flood insurance on the unit,1 1 1 regardless whether the unit is or will be located within an SFHA. • Not impose a rent or usage fee on an eligible occupant until after FEMA's initial period of assistance has ended. • Acknowledge in writing, acceptance of any potential expenses (e.g.,permit costs, insurance)related to the donation. • Comply with the nondiscrimination provisions of the Stafford Act.1 r2 • Notify occupants that RVs are not designated for use as a permanent dwelling but as temporary living quarters for recreational, camping,travel, or seasonal use. Approval of Recipient Entities or Organizations: The RA or FCO must approve and sign all Donation of Temporary Housing Units Agreements when all the above criteria and documentation requirements have been met. Transfer of ownership is complete once the SF-97 Form, U.S. Government Certificate to Obtain Title to a Vehicle, is sent to the entity/organization. Upon approval, FEMA sends a Final Notification letter to participating occupants, stating that FEMA has approved the donation and giving the date of transfer of responsibility for providing temporary housing to the occupant. 123 1611131 Chapter 3: Individuals and Households Program 4. Effect of TTHU Donations on FEMA Disaster Assistance • During the period of assistance, an occupant's decision not to participate in a TTHU sale or donation does not affect his/her eligibility for continued Direct Temporary Housing Assistance. • If an eligible occupant decides to participate in TTHU donation,upon the completion of the donation,the occupant will no longer be eligible to receive Direct Housing Assistance for that disaster declaration unless: o The recipient entity/organization fails to comply with the TTHU Donation Agreement; o The entity/organization's non-compliance creates an unmet disaster-caused temporary housing need for the eligible occupant during the period of assistance; and o The period of assistance remains open. G. Direct Lease Direct Lease is a form of Direct Temporary Housing Assistance where FEMA may lease existing residential properties for eligible applicants to use as temporary housing.113 FEMA will only authorize Direct Lease when the verified disaster-caused housing need cannot be met with other Direct Temporary Housing Assistance options. 1. Authorizing Direct Lease In addition to the criteria described in Chapter 3, V.A., FEMA will consider Direct Lease when Direct Temporary Housing Assistance has already been approved and: • Other forms of Temporary Housing Assistance (i.e., Rental Assistance,Multi-Family Lease and Repair, and TTHUs)have been evaluated and delivered in sequential order based on program criteria. • Housing needs exceed FEMA's capacity to provide MLR units or TTHUs in a timely manner. • FEMA has identified one or more properties that meet the criteria identified in Property Eligibility Criteria(see Chapter 3, V.E.2.). FEMA will not authorize Direct Lease: • To circumvent the IHP financial assistance maximum award; • For the sole purpose of providing temporary housing to applicants who are unable to pass a background and/or credit check; or • On the sole basis that Direct Lease is more cost-effective than providing TTHUs. The FCO must submit a written request to the AA for Recovery demonstrating Direct Lease is needed as a result of a Presidentially-declared Major Disaster based on the criteria provided 124 Chapter 3: Individuals and Households Program ', 6 ' 1 B I above. The AA for Recovery will review the request and make a final determination regarding approval of Direct Lease. Once Direct Lease has been approved, FEMA will contract with a property management company to locate, acquire, and manage properties for FEMA. 2. Approving Properties FEMA must identify one or more properties,provided by the contracted property management company, that meet the following conditions of eligibility: • The property must be an existing residential property, not typically available to the general public (i.e., corporate apartments, vacation rentals, and second homes), for use as temporary housing; o Units that may be obtained by applicants using Rental Assistance will not be acquired for Direct Lease; o Hotels,motels, and other transient accommodations will not be acquired for Direct Lease; • The property must be currently available to rent for housing up to 200%of the HUD FMR,unless a greater amount has been approved by the AA for Recovery; • The property must comply with Housing Quality Standards (HQS) established by HUD, and all utilities, appliances, and other furnishings must be functional; • Each individual unit must provide complete living facilities, including provisions for cooking, eating, and sanitation within the unit; • The property must be located in an area designated for IA included in a major disaster declaration; and • The property must be located within reasonable access to community and wrap-around services, such as accessible public transportation, schools, fire and emergency services, grocery stores, etc. The property owner must agree to include provisions within the lease agreement granting FEMA the following: • Exclusive use of the housing units and sole discretion to identify and select occupants during the term of the lease agreement; • The option to extend the lease if FEMA extends the period of assistance beyond 18 months; • The option of releasing the unit to the owner and ceasing all monthly payments for the unit at any time by providing thirty days' notice; • The ability to make permanent modifications or improvements to the property(at FEMA's expense)to provide a reasonable accommodation for an eligible applicant with a disability and others with access and functional needs; and 125 1611B1 Chapter 3: Individuals and Households Program • The property owner's agreement to modify any lease between the property owner and the occupant to incorporate FEMA's program conditions of eligibility and termination of tenancy. The property owner acknowledges responsibility for evicting applicants whose assistance is terminated. Property owners may receive reimbursement for reasonable costs associated with the eviction process. 3. Prioritizing and Leasing Properties Before leasing a property,FEMA will inspect the property to ensure compliance with HUD HQS, and verify the property owner's capacity to provide all property management services. This includes building maintenance, except where the property is leased or contracted from another government entity, in which case FEMA may directly obtain such services. When more eligible Direct Lease properties have been identified than are required for temporary housing, FEMA will use the following factors to prioritize: • Cost to the Federal government: o The RA or FCO, if the RA has delegated this authority to the FCO, is authorized to approve properties up to 200%of the FMR, if: • Lower cost units are unavailable or already used; and • A housing market analysis supports the approved increase. o The AA for Recovery must approve Direct Lease costs above 200% of FMR. • Landlord's demonstrated ability to manage and provide maintenance services; • Proximity to wrap-around services; and • Accessibility: when selecting available properties, FEMA will prioritize properties that are already accessible, include accessibility features, or can be easily made accessible; and/or are in proximity to accessible public transportation. FEMA will prioritize accessible units for applicants whose household includes one or more persons with a disability and others with access and functional needs. FEMA may only consider placing other eligible applicants in accessible units when all households with accessibility needs have been housed. FEMA may authorize a one-time payment of security deposits for each unit based on FMR. Unused portions of each security deposit must be returned to FEMA upon release of the unit. If the security deposit amount does not cover the amount of damage to the unit, the occupant will be responsible to the property owner for the additional funds. FEMA may authorize payment for utilities that are included in the monthly rent established by the property owner; however, FEMA will not pay for background checks, credit checks,pet deposits,114 or application fees. 126 161181 Chapter 3: Individuals and Households Program H. Permanent Housing Construction FEMA may provide financial assistance or direct assistance to individuals and households to construct permanent or semi-permanent housing in insular areas outside the continental U.S. FEMA may also consider providing such assistance in other locations where no alternative housing resources are available, and other types of Temporary Housing Assistance are unavailable, infeasible or not cost-effective.115 PHC may be provided in the form of direct assistance such as repairs or new home construction. Repairs and new construction provided under PHC are limited to real property components eligible under FEMA Housing Assistance such as HVAC, walls, floors, ceilings, etc. Under PHC, FEMA will not repair or replace items eligible under Personal Property Assistance, such as furnishings and appliances. 1. PHC Request and Approval FEMA will only authorize PHC in response to a written request from the State, Territorial, or Tribal Coordinating Officer or Governor's Authorized Representative (GAR)or tribal government representative. Before authorizing PHC, FEMA will conduct a Direct Housing Assessment, as described in Direct }lousing Assistance Request and Approval. • The assessment must demonstrate that other forms of Temporary Housing Assistance are unavailable, infeasible, or not cost-effective, including MLR, MHUs, RVs, Direct Lease, and other forms of temporary housing. • It must also identify all Federal, SLTT government compliance requirements, including: o The status and requirements of the currently-adopted building code, zoning, permitting process and requirements, and any impediments and requirements that may impact the delivery of PHC; o Cultural and climate considerations; and o Standard types of housing used in the area. • Identify useful studies,projects, and reports, including Mitigation Assessment Reports, if available, that address the performance of buildings and essential facilities in the declared state,territory, or tribe, with specific recommendations for improving performance. • The PHC request must include the following: o PHC Repairs: • Analysis of the estimated associated costs, based on real property line items; • Availability of sources of repair labor other than FEMA, such as contractors or voluntary agencies; and • A disaster-specific financial cost cap recommendation for each type of PHC approved. The cost cap amount will be set through data collected by 127 Chapter 3: Individuals and Households Program 161181 the Direct Housing Assessment Team based on the square footage and pre-disaster market value of an average home in the declared area. o PHC New Construction • Identification of potential new construction options appropriate for the culture, climate, and environmental requirements within the affected areas; • A comparative analysis of the timeliness, cost, feasibility, and suitability of each new construction option; and • A review of hazard mitigation measures (e.g., incorporation of seismic resistance in design and construction) and construction methods to be applied to ensure new construction provided by FEMA is resilient towards future hazards. • Within PHC, FEMA will prioritize the use of PHC to repair existing homes before constructing new homes. • FEMA may also include the shipment of construction materials in the PHC authorization. • The AA for Recovery will evaluate the PHC request using information obtained through the Direct Housing Assessment in order to approve PHC. If the request clearly demonstrates a need for PHC,the AA for Recovery will specify relevant conditions for implementation, such as establishing a disaster-specific financial cap for PHC Repairs. 11111 Unavailable,Infeasible,and Not Cost-Effective Unavailable: Temporary housing options do not exist for any reasonable cost or in any reasonable time. Rental housing is not available and other forms of temporary housing cannot be constructed and deployed in sufficient numbers. Infeasible: Rental Assistance cannot be used because there are no available rental resources, or other forms of Direct Temporary Housing Assistance cannot be utilized because of terrain,distance, physical barriers,or time delays,that with reasonable means,FEMA cannot overcome. Not Cost-Effective: The cost of providing another form of direct temporary housing option(MLR, TTHUs, and Direct Lease)is higher than providing PHC. Upon receipt of the authorization to implement PHC, FEMA will require the affected state, territorial, or tribal government to execute an amendment to the FEMA-State/Territory/Tribal Government Agreement. 128 161181 Chapter 3: Individuals and Households Program Figure 23: Conditions for PHC Repair or New Construction Applicants ma,\ he considered for PHC repair ; Applicants may he considered for PHC:new to their pre-disaster residence when: . home construction when: • • ■ 3 • The real property FEMA-verified loss ■ ' • amount is oyer$17.000 but not above the • FEMA determines the pre-disaster disaster specilic cap,and not destroyed:or • residence has been destroyed as a • .I.he applicant demonstrates on appeal they : result of the disaster,or are not able to use I tome Repair • • The real property verified loss amount \ssistance to make their home sale. • is over$17,000 and the pre-disaster sanitary,and functional:and • residence is repairable,but FEMA has • Repairs to the pre-disaster residence arc • determined that new construction is more cost-effective than new construction; amore cost-effective than repair;and and •▪ • Structural elements of the pre-disaster • • Hie repairs are estimated to he completed primary residence,(e.g. foundation, ithin 90 days or less from the start of the • frame),or other components of the repair work:and • home require architectural or • The cost of repairs will not exceed 50%of • engineering services in order to he the pre-disaster primary residence's pre- • habitable. disaster market value. • ■ • • 2. Conditions of Eligibility FEMA may authorize PHC for pre-disaster homeowners. Similar to other forms of Direct Housing Assistance, FEMA prioritizes applicants with a real property verified loss of at least $17,000. Applicants who have less than $17,000 in FEMA-verified losses may submit an appeal (see Chapter 3, II.C)with documentation that demonstrates they are not able to use FEMA financial assistance to secure temporary housing or afford repairs to make their home safe, sanitary, and functional. In addition to meeting general conditions of eligibility(see Chapter 3, II.), applicants must meet the following conditions in order to receive PHC: • Applicants are unable to use Temporary Housing Assistance. • Applicants are not receiving Continued Rental Assistance or Direct Temporary Housing Assistance. o Applicants will become ineligible for PHC if they receive Continued Rental Assistance or Direct Temporary Housing Assistance. • Applicants do not have insurance for repair or replacement. • Applicants must disclose to FEMA all grants and assistance received, and return any funds determined to be a DOB to FEMA prior to construction including previously awarded Repair or Replacement Assistance. 129 161181 Chapter 3: Individuals and Households Program • Applicants have not accepted a disaster home loan from the SBA. Applicants who have accepted an SBA disaster home loan are not eligible for PHC, and may not return those funds or cancel the loan in order to be considered for PHC. 3. PHC Repair FEMA will only perform repairs necessary to restore the pre-disaster residence to a habitable condition. The components that may be deemed eligible for Repair Assistance, and the type of repairs authorized,will vary depending upon the nature of the disaster. In order for the household to be eligible for PHC Repair, FEMA must determine that the repairs necessary to make the home safe, sanitary, and functional can be completed within 90 days and under the disaster-specific approved cost maximum. The following components may be repaired or replaced:116 • The structure's interior, including walls, ceilings, doors, and cabinetry; • Interior floors,when buckling or deterioration creates a safety hazard; • Interior walls, limited to what is necessary to maintain the structural integrity of the home; • Exterior walls, doors, and windows, limited to what is necessary to maintain the structural integrity of the home and meet local codes; • Roof,when the damage affects the essential living area or are necessary to prevent additional damage; • Plumbing system, including fixtures providing service to the kitchen and bathroom(s), and flushing and/or purifying the water well; • Electrical system and essential fixtures necessary to ensure the home can safely receive electrical service; • Sewerage system; • HVAC, and integral fuel and electrical systems; and • Pre-existing accessibility features and accessible routes. All repairs shall be made using materials of average quality, size, and capacity("builder grade"), in accordance with Federal EHP laws,regulations, EOs, and local codes and ordinances, or minimum construction industry standards where no codes and ordinances apply. Repairs to accessibility features and accessible routes will be guided by the ADAAG and the HUD's Design Details for Accessible Disaster Relief Housing. 4. PHC New Construction FEMA will only complete PHC New Construction when an applicant's pre-disaster primary residence is determined to be destroyed, or determined to be infeasible for PHC Repair because the home requires repairs which exceed the scope of PHC Repair Assistance. 130 161181 Chapter 3: Individuals and Households Program New construction shall be provided in accordance with EHP laws and regulations and local codes and ordinances, or minimum construction industry standards where no codes and ordinances apply,using materials of average quality for the lowest price ("builder grade"),taking into consideration the accessibility needs of the occupant. • FEMA partners with the affected SLTT government to select the type of construction and architectural design that meet SLTT government construction restrictions and EHP regulations based off of cultural and climate considerations, and standard type of housing used in the area. • New construction for households requiring accessibility features and accessible routes • will be provided in accordance with UFAS. • New construction shall be provided using mitigation practices to reduce the risk of damage from future disasters. • The land/property where the new single-family dwelling will be constructed must be owned by the eligible applicant. In limited circumstances, FEMA will evaluate providing PHC on land provided by the SLTT government at no cost to FEMA(e.g. insular areas, islands, or tribal lands where land ownership may vary; for instance, communal land or land held in trust by the state,territorial, or tribal government). Labor and materials costs for PHC New Construction will be capped at a pre-determined amount for each declared disaster. The FEMA JFO may submit a request to increase the authorized labor and materials costs for PHC New Construction, supported by a business case demonstrating the requested increase is necessary to construct adequate housing and the additional expenses are fair and reasonable. S. PHC Terms and Conditions Prior to FEMA providing PHC, applicants must: • Acknowledge they understand and accept FEMA's terms and conditions for PHC assistance. • Agree to obtain and maintain flood insurance coverage on the PHC home for at least the value of the PHC residence if the home is located in an SFHA. FEMA will not contribute to the cost of flood insurance premiums for PHC residences. If the applicant fails to maintain flood insurance, they may be deemed ineligible for flood-insurable losses in future disasters. • Choose between receiving FEMA financial Housing Assistance(LER, Rental Assistance, Home Repair Assistance, and Replacement Assistance)or PHC. • Return any previously-provided financial Home Repair and Replacement Assistance that has not been used for eligible repair or replacement line items to FEMA. 131 161181 Chapter 3: Individuals and Households Program • Grant right of access and entry upon their property to FEMA and other participating U.S. Government agencies, including their agents, employees, contractors, and subcontractors for all activities necessary for providing PHC. • Accept all responsibility and liability for the PHC dwelling upon completion including but not limited to recording fees and other costs associated with obtaining the title. • Indemnify and hold harmless FEMA and other participating U.S. Government agencies, including their agents, employees, contractors, and subcontractors, from any complaints, losses, and damage of sorts, directly or indirectly related to any program-related activity on the real property site. 132 161181 Chapter 3: Individuals and Households Program VI. Other Needs Assistance The ONA provision of the IHP, authorized by Section 408(e) of the Stafford Act,117 provides financial assistance for disaster-related necessary expenses and serious needs that are not covered by insurance or provided by any other source. Unlike Housing Assistance, ONA is subject to a cost share between FEMA and the state, territorial, or tribal government.118 FEMA, in coordination with the state, territorial,or tribal government pre-determines ONA-eligible items and amounts to be awarded. A. ONA Options and Cost III Necessary Expense and Serious Needs Shares A"necessary expense"means the cost associated with acquiring an item,obtaining a service,or FEMA collaborates with the SBA paying for any other activity that meets a serious need. in determining applicant eligibility for some types of ONA. The Small A"serious need"means the requirement for an item or Business Act authorizes the SBA to service that is essential to an applicant's ability to prevent, mitigate, or overcome a disaster-caused hardship,injury, provide low-interest disaster loans or adverse condition. to applicants who have sustained damage in a disaster. An applicant �. must meet a minimum income test, which the SBA establishes,to be considered for a loan. FEMA refers the applicant's information to SBA if the applicant's income meets SBA minimum guidelines. FEMA and SBA coordinate to ensure that ONA and SBA disaster loans do not cause a duplication of benefits for the same type of assistance.119 Figure 24: SBA Disaster Loan Application Process 0 FEMA may process 410 Vtl 0, applicants for eligible SBA-dependent ONA assistance Disaster Refer to SBA' 0 survivor ^♦•Relerral based NO registers on household Disaster survivor - s th FPAIA Mnn 1pprotal applicc fix SBA 1'Fti •—► (or SB.A disaster loan .,m Partial approval and loan itasistane; ,uuount is insufficient Application must b: returned by filing deadline I" YES If SBA approves applicant's loan application and the applicant does not accept the loan,they are not referred for()NA assistance. Each type of ONA has specific conditions of eligibility applicants must satisfy prior to being considered for assistance. These conditions are described in the appropriate sections of this chapter. 133 161181 Chapter 3: Individuals and Households Program Figure 25: Other Needs Assistance,Non-SBA-Dependent and SBA-Dependent Category of ONA Type of ONA Assistance • Funeral Non-SBA Dependent ONA • Medical FEMA provides assistance • Dental for these items without regard • Child Care to whether an applicant may • Critical Needs Assistance obtain an SBA loan. • Clean and Removal Assistance • Assistance for Miscellaneous Items SBA-Dependent ONA • Personal Property The applicant must first apply • Moving and Storage to the SBA for a loan for • Transportation Assistance these expenses or serious • Group Flood Insurance Policy needs. 1. Amount of Assistance Assistance for an eligible applicant will not exceed the IHP financial assistance maximum award pursuant to Section 408(h) of the Stafford Act.120 However, for some specific categories of ONA, the affected state,territorial, or tribal government will establish the maximum amount of assistance that may be awarded as part of their yearly submission of FEMA Form 010-0-11, ONA Administrative Option Selection.121 Figure 26: Excerpt of FEMA Form 010-0-11,ONA Administrative Option Selection STATE/INDIAN TRIBAL GOVERNMENT SELECTION AND LINE ITEM MAXIMUM The State/Indian Tribal Government of selects the following administrative option for the administration of the Other Needs Assistance provision of the Individuals and Households Program: f FEMA Option: FEMA Administers&Processes. JOINT Option: State/Indian Tribal Government Administers&FEMA Participates: FEMA Processing System Auto-determination ON FEMA Processing System Auto-determination OFF STATE/INDIAN TRIBAL GOVERNMENT Option: State/Indian Tribal Government Administers&Processes The State/Indian Tribal Govemment approves the following line item amounts to be awarded for ONA• Transportation Repair S Transportation Replace(Total loss) S Funeral Maximum(Unmet Needi S Child Care Assistance(Maximum) $ I The State/Indian Tribal Government approves the additional ONA Personal Property and/or Miscellaneous items. Attached is the list of additional items,the justification,and situations for use. 134 161181 Chapter 3: Individuals and Households Program 2. ONA Cost Share and Administration As outlined in Section 408(g)(2) of the Federal Share Stafford Act, FEMA is responsible for 75% Section 408(g)(2)of the Stafford Act of ONA, and the state,territorial, or tribal explicitly provides that the Federal share shall be government is responsible for the remaining 75%,giving FEMA no authority to adjust the 25% of ONA. Federal cost share for ONA. However,48 U.S.C. § 1469(a)allows FEMA to waive or The state, territorial, or tribal government adjust the cost share for disaster grants in insular may select from the following three options areas such as the Virgin Islands,Guam, for the administration of the ONA: American Samoa,and the Northern Mariana Islands. • FEMA Option: FEMA is _. .....m......�._..__ ___.-.-_ _._�_ .....,. ._............._.... responsible for all tasks associated with the administration of ONA: registration intake, inspection services, the processing system, disbursing awards, staffing,recovery of funds, case processing,mail processing, accessible forms of communication, appeals, and preparing closeout material. FEMA utilizes the National Emergency Management Information System(NEMIS) for processing all IHP Assistance, including ONA. FEMA provides assistance to applicants, and the state,territorial, or tribal government is responsible for reimbursing FEMA for their portion of the cost share.122 • Joint Option: The state,territorial, or tribal government administers ONA jointly with FEMA. FEMA is responsible for registration intake, inspection services, the processing system,mail processing, and accessible forms of communication. The state,territorial, or tribal government is responsible for manually processing awards, staffing, recovery of funds, case processing, appeals, and preparing closeout material. The respective state, territorial, or tribal government uses NEMIS for ONA processing,but may utilize their own system of record for other program administration functions, such as disbursing payments.123 The state,territorial, or tribal government provides assistance to applicants, and FEMA is responsible for reimbursing the state,territorial, or tribal government, for its portion of the cost share. The state,territorial, or tribal government may utilize 5%of the grant toward administrative costs. • State,Territorial,or Tribal Government Option: FEMA provides ONA as a grant to the state,territorial, or tribal government; therefore,the state,territorial, or tribal government administers ONA. The state, territorial, or tribal government is responsible for all tasks associated with the administration of ONA. The respective state,territorial, or tribal government receives a grant to process the ONA program outside of NEMIS. The state,territorial, or tribal government provides assistance to applicants, and FEMA is responsible for reimbursing the state, territorial, or tribal government for its portion of the cost share. The state,territorial, or tribal government may utilize 5%of the grant toward administrative costs.124 135 1611B1 Chapter 3: Individuals and Households Program Figure 27: ONA Administrative Option Responsibility Process FEMA Option Joint Option State,Tribal, Territorial Option Registration Intake FEMA FEMA State* Inspection Services FEMA FEMA State Processing System FEMA FEMA State Disbursing Awards FEMA State State Staffing and Helpline FEMA State State Recovery of Funds FEMA State State Case Processing FEMA State State Mail Processing FEMA FEMA State Appeal Processing FEMA State State Preparing Closeout FEMA State State *Note: The references to "State"include applicable tribal governments and territories. 3. ONA Administrative Option Selection Form ONA Administrative Option Regardless of the administrative option selected, The ONA Administrative Option all state,territorial, or tribal governments must Selection Form must be completed and indicate their option selection every year using submitted to the FEMA RA by November the ONA Administrative Option Selection form, 30th each year.FEMA must have a current, which must be completed and provided to approved SAP on file before any assistance FEMA by November 30th of each year.125 can be provided. The state, territorial, or tribal government also ... uses the ONA Administrative Option Selection form to identify limits for specific ONA items and establish maximum award amounts for Transportation Assistance, Funeral Assistance, and Child Care Assistance. Additional line items, other than those on FEMA's Standard Personal Property Line Items list, may be requested when submitting or updating the ONA Administrative Option Selection form. The Standard Personal Property Line Items list identifies all ONA-eligible personal property and miscellaneous items, as well as the maximum number of items each individual or household may receive. The state, territorial, or tribal government submits the applicable forms to the RA, who reviews and approves the documentation.126 FEMA Headquarters also reviews the documentation to ensure consistency across disasters and for implementation. 136 161181 Chapter 3: Individuals and Households Program State,territorial, or tribal governments,which select the Joint or the State, Territorial, or State Administrative Plan Tribal Government Option, must also submit t References to"State Administration a State Administrative Plan(SAP) every Plan"in this document also include"Tribal three years.127 The SAP describes the Administration Plan"and"Territorial procedures the state, territorial, or tribal Administration Plan,"as appropriate. The government will use to administer ONA.128 requirements found in 44 C.F.R. § 206.120(c)for The RA must review and approve the SAP State Administrative Plans also apply to tribal prior to submitting the documentation to governments and territories. 1 FEMA Headquarters for coordination of implementation.129 The ONA Administrative Option Selection form and the SAP may be changed during any non- disaster time period or within three days of a major disaster declaration.13o However, in order for a state, territorial, or tribal government to change to the Joint Option or State,Territorial, or Tribal Government Option, they must submit a SAP. B. Non-Small Business Administration-Dependent The following types of assistance are non-SBA-dependent, and FEMA does not require the applicant to apply for an SBA loan before being considered for these types of ONA. FEMA may award applicants Funeral Assistance and Child Care Assistance up to the limits established by the state,territorial, or tribal government in the ONA Administrative Option Selection Form, rather than paying fixed amounts based on FEMA inspection verification. 1. Funeral Assistance FEMA provides financial assistance under the ONA provision of the IHP to individuals and households with disaster-caused funeral expenses.131 Unlike most other forms of IHP Assistance, an applicant seeking Funeral Assistance does not need to live in the Presidentially-declared disaster area to be considered for the assistance. An individual who incurs or will incur expenses related to a death or disinterment attributed directly or indirectly to a declared emergency or major disaster may apply for and, if eligible,receive Funeral Assistance. Multiple registrations for the same deceased are not allowed. The affected state,territorial, or tribal government establishes the maximum amount of Funeral Assistance that may be awarded per death or per household as part of the ONA Administrative Option Selection form. 137 1611131 Chapter 3: Individuals and Households Program 1111 Funeral Assistance Key Terms Interment: The placement of cremated remains or deceased human bodies in the ground,a cremation urn,or other burial facility such as a columbarium.A columbarium is a place where urns holding a deceased's cremated remains are stored and memorialized. Disinterment:The unearthing of cremated remains or deceased human bodies from the ground, a cremation urn,or other burial facility such as a columbarium. Reinterment: The replacement of cremated remains or deceased human bodies in the ground, a cremation urn,or other burial facility such as a columbarium. Funeral Services: Services to care for and prepare deceased human bodies and services to arrange,supervise,or conduct the funeral ceremony. Services may include preparation of the deceased(e.g.,embalming, cremation);use of facilities; staff for viewing; funeral ceremony or memorial service;use of equipment; staff for graveside service or committal service;use of hearse/funeral coach;etc. Conditions of Eligibility In addition to meeting general conditions of eligibility(see Chapter 3, 11.), applicants must meet the following conditions in order to receive Funeral Assistance: • A SLTT government licensed medical official, such as the Medical Examiner or Coroner, has attributed the death to the emergency or disaster, either directly or indirectly. o Medical officials may reference the guidance set forth by the Centers for Disease Control (CDC) regarding death certifications in the event of natural,human- induced, or chemical/radiological disasters.132 • The applicant incurred or will incur eligible funeral expenses not covered by other sources. Other sources may include burial insurance or financial assistance from voluntary agencies, applicable government programs/agencies, or other entities. o The following items are eligible expenses for interment or reinterment: • Transfer of remains; • Casket or urn; • Burial plot or cremation niche; • Marker or headstone; and/or • Additional expenses mandated by any applicable SLTT government laws or ordinances. o The following items are eligible expenses only for interment: • Transportation for up to two individuals to identify the deceased, if such identification is required by SLTT government authorities; 138 161181 Chapter 3: Individuals and Households Program • Interment; • Funeral services; • Clergy or officiant services; and/or • Costs associated with producing and certifying up to five death certificates. o The following items are eligible expenses only for reinterment: • Reinterment(including costs for preparing and transporting the remains); • Funeral services (limited to the preparation and use of facilities to prepare the remains for reinterment); and/or • Cost of identifying disinterred human remains. Required Documentation An applicant must submit: • An official death certificate that clearly indicates the death was attributed to the emergency or disaster, or a signed statement from a SLTT government licensed medical official, such as the Medical Examiner or Coroner, attributing the death to the emergency or disaster, either directly or indirectly. o A death is directly attributed to a disaster if caused by the forces of the disaster or the direct consequences of the forces, including but not limited to structural collapse, flying debris, or radiation exposure. o A death is indirectly attributed to a disaster if it occurs as a result of unsafe or unhealthy conditions present during any phase of the disaster(i.e.,pre-disaster preparations, during the actual disaster, or post-disaster during cleanup after a disaster), including disaster-caused exacerbation of pre-existing conditions. o FEMA staff may coordinate with the SLTT government to obtain the required signed statement. o FEMA staff will not share the applicant's personally identifiable information(PII) when obtaining documentation on the deceased. o When FEMA receives a signed statement from a licensed medical official, such as the Medical Examiner or Coroner, which does not clearly state the disinterment, death, or underlying injury causing the death was attributed either directly or indirectly to the emergency or disaster, FEMA will work with the licensed medical official to obtain clearer certification. • Receipts or verifiable estimates indicating the applicant incurred or will incur eligible interment, reinterment, or funeral expenses. • Documentation of burial insurance and/or any forms of funeral assistance received from voluntary agencies, government agencies, or other entities. 139 1b1181 Chapter 3: Individuals and Households Program • For reinterment only, documentation proving that the disinterment occurred in a privately-owned, licensed cemetery or burial facility(such as an association or community cemetery or burial facility) and the cemetery or burial facility is not responsible for reinterring displaced remains. o In the event of disinterment, FEMA will consider requests that include a funeral home representative or cemetery representative statement indicating that the cause of disinterment was a direct result of the disaster. o FEMA may coordinate with the SLTT government to obtain the required documentation. Limitations and Exclusions • FEMA may provide assistance to the applicant only up to the Funeral Assistance amount established by the state,territorial, or tribal government. • For multiple family member deaths, FEMA may provide assistance up to the Funeral Assistance amount established by the state, territorial, or tribal government on the ONA Administrative Option Selection form. The state, territorial, or tribal government may set the assistance amount per death or per household. FEMA may provide assistance to the applicant only up to the IHP financial assistance maximum award for the fiscal year in which the disaster was declared. • FEMA will not provide assistance for any of the following: o Obituaries o Flowers o Printed materials such as banners,programs, or register books o Catering services, including food o Transporting applicant or others to site(s) of funeral services, interment, or reinterment o Gratuities 2. Medical and Dental Assistance FEMA provides financial assistance under the ONA provision of the IHP to individuals and households with medical or dental expenses caused by a disaster.133 Unlike most other forms of IHP Assistance, an applicant seeking Medical or Dental Assistance does not need to live in the Presidentially-declared disaster area to be considered for the assistance. Any person who incurs disaster-caused medical or dental expenses may apply for and, if eligible,receive Medical or Dental Assistance. 140 161181 Chapter 3: Individuals and Households Program Conditions of Eligibility In addition to meeting general conditions of eligibility(see Chapter 3, II.), applicants must Disability meet the following conditions in order to receive The term"disability"means, Medical or Dental Assistance: with respect to an individual: (A)A physical or mental impairment that • The medical or dental injury or expense substantially limits one or more major life must be a direct result of the disaster, as activities of such individual; (B)A record verified by a written and signed of such impairment; or(C)Being regarded statement by the applicant,medical as having such an impairment. provider, or dental provider. Major life activities include,but are not o Eligible expenses include costs limited to,caring for oneself,performing associated with: manual tasks, seeing,hearing,eating, sleeping,walking,standing,lifting, • Injury or illness caused by bending,speaking,breathing, learning, the disaster. reading,concentrating, thinking, communicating, and working. • Pre-existing injury, disability,or medical (Source:ADA Section 12102) condition aggravated by the disaster. • Replacement of prescribed medication. • Loss or damage of personal medical or dental equipment. • Medical or dental insurance deductibles and co-payments for eligible expenses. • Loss or injury of a service animal. • Medical or dental expenses will not be eligible for FEMA reimbursement if they are covered by insurance or any other source. • Expenses related to the loss or injury of a service animal must be a direct result of the disaster. Eligible expenses may include costs associated with: o Veterinary expenses for disaster-caused injuries. o Replacement and/or training costs. o Lost or damaged equipment that enables the service animal to fulfill its function (e.g., specialized leash, harness, or vest). 141 161181 Chapter 3: Individuals and Households Program Required Documentation Required documentation must indicate the expense was caused by the disaster, is medically- required, and includes the amount of expense. Disaster-caused injury or illness documentation includes both of the following: • Itemized bills,receipts, or estimates from the medical or dental provider or Medical and Dental Providers pharmacy Medical or dental provider may • A written and signed statement from a include audiologists,rehabilitation specialists, medical or dental provider,including the or state-based agencies who can verify an date of disaster-caused injury and applicant's disability and need for a device or expenses necessary for recovery equipment. Replacement of prescribed medication documentation includes all of the following: • A written and signed statement by the applicant or the applicant's medical or dental provider verifying the loss was caused by the disaster • A written and signed statement from a medical or dental provider verifying the prescription is required and was previously prescribed to the applicant or a household member • Receipts or other verifiable documentation from the pharmacy showing the replacement cost of the prescribed medication Loss or damage of medical or dental equipment documentation includes all of the following: • A written and signed statement by the applicant or the medical or dental provider verifying the loss was caused by the disaster • A written and signed statement from a medical or dental provider verifying the applicant or household member required the medical or dental equipment prior to the disaster • Itemized bills,receipts, or estimates showing repair or replacement cost of the medical or dental equipment Required documentation verifying the loss or injury of a service animal includes all of the following: • A written and signed statement by the applicant, medical provider, or veterinary provider verifying the service animal's loss or injury was caused by the disaster • A written and signed statement from a medical provider verifying the applicant or household member required the service animal for a disability prior to the disaster • A statement from the applicant,medical provider, or other representative explaining the type of task or work performed by the service animal 142 161161 Chapter 3: Individuals and Households Program • Itemized bills, receipts, or estimates showing expenses related to the service animal's loss or injury Medical or dental insurance settlements must be provided if the applicant has medical or dental insurance. Limitations and Exclusions • Medically-required generators purchased or rented to power equipment necessary for an existing medical condition may be considered under Assistance for Miscellaneous Items rather than Medical and Dental Assistance. For additional information, see Chapter 3, V I.B.4. • IHP Assistance for replacing lost or damaged medical or dental equipment is limited to items of similar quality and function as the item being replaced. • IHP Assistance for medical and dental services does not include medically unnecessary procedures (e.g.,procedures designed to enhance appearance, such as teeth whitening). • A limited number of accessible items are available for applicants with disabilities under Personal Property Assistance. To be eligible, these items must have been owned prior to the disaster and sustained disaster-caused damage or loss. For additional information, see Chapter 3, VI.C.1. • IHP Assistance for service animals is limited to service dogs and miniature horses that perform a qualified task for a person with a disability, as defined by the ADA of 1990 (ADA; as amended, 2008). The ADA defines service animal as "any dog [or miniature horse] that is individually trained to do work or perform tasks for the benefit of an individual with a disability." • A service animal must be required because of a disability and perform a functional task for the applicant or a member of the household. • IHP Assistance is not available for therapy animals or emotional support animals. 3. Child Care Assistance FEMA provides financial assistance under the ONA provision of the IHP to eligible individuals and households who have a disaster-caused increased financial burden for child care.134 FEMA will award a one-time payment for Child Care Assistance for the household's increased financial burden for up to eight cumulative weeks of child care,plus any eligible expenses, Activities of Daily Living(ADL) or the maximum amount of assistance for Activities of daily living are routine activities Child Care Assistance identified by the that people tend to do every day without needing tt state,territorial, or tribal government, assistance.There are six basic ADLs: eating,bathing, whichever is less. dressing,toileting,transferring(walking), and continence. 143 161181 Chapter 3: Individuals and Households Program FEMA may provide financial assistance to address increased disaster-caused child care expenses for eligible households with: • Children aged 13 and under; and/or • Children with a disability, as defined by Federal law,135 up to age 21,who need assistance with activities of daily living. The respective state, territorial, or tribal government must establish the maximum amount of Child Care Assistance on a per-child or per-household basis as part of the annual ONA Administrative Option Selection process. Conditions of Eligibility In addition to meeting general conditions of eligibility(see Chapter 3, 11.), applicants must have a disaster-caused increase in financial burden for child care, regardless of whether child care expenses were required prior to the disaster,because: • The applicant's gross household income has decreased as a direct result of the disaster; or • The applicant's child care expenses have increased as a result of the disaster. Applicants must certify they cannot utilize child care services provided by any other source (e.g., other Federal assistance for child care,private employer child care services, etc.) in order to qualify for Child Care Assistance. For applicants with child care expenses prior to the disaster, FEMA compares the percentage of the household's gross income spent for child care expenses before the disaster to the percentage spent following the disaster to determine if the post-disaster child care costs create a financial burden. For example, if the household's pre-disaster income was $3,500 per week and pre- disaster child care costs were $750 per week, child care costs were 21.4% of the household's income pre-disaster. If the post-disaster income is $3,500 per week and post-disaster child care costs are $1,000 per week, child care costs are now 28.6%of the household's income post- disaster. Figure 28: Example-Comparison of Pre-and Post-Disaster Child Care Costs Childcare Costs: 21.4% Childcare Costs: 28.6% of household income of household income 400., : isastersaster 144 1611B1 Chapter 3: Individuals and Households Program If the percentage of household gross income spent on child care post-disaster is higher than the percentage of household gross income spent on child care pre-disaster,the household has an increased financial burden for child care and may be eligible for assistance. In the example above,the percentage of the household's gross income spent on child care is 7.2%higher than the percentage of the household's gross income spent on child care pre-disaster. Because the household has an increased burden for child care,they may be eligible for the increased percentage. The applicant's post-disaster child care provider must be licensed, regulated, or registered under applicable SLTT government law to qualify for assistance. The following items are eligible expenses for Child Care Assistance: • Standard child care service fees, including personal assistance services that support activities of daily living for children with disabilities. • Registration and health inventory fees may be eligible expenses only Registration Fee for applicants who require a new A registration fee is a one-time fee child care service provider. when registering an eligible child at an Required Documentation authorized child care provider. A health inventory fee is a medical office fee for Details regarding information that must be processing required medical paperwork as part of included on each type of documentation are the registration process. listed in Figure 28. In order for FEMA to determine a disaster-caused need for Child Care Assistance, an applicant who had child care expenses pre-disaster must submit: • Pre- and post-disaster gross household income documentation. • Pre-disaster receipts, contract,or signed letter from the child care provider for child care expenses, if receipts or contract cannot be located. • Post-disaster receipts or estimates for child care fees,registration, and/or health inventory fees. • A post-disaster child care contract or agreement. • A post-disaster child care provider's license, if the information cannot be located within a respective SLTT government's licensed provider database. • Individualized Educational Plan(IEP), 504 plan,136 or medical professional's statements, if applicable,to verify disability for children up to age 21 who need assistance with activities of daily living. • A signed,written statement from the applicant. 145 161181 Chapter 3: Individuals and Households Program An applicant who did not have child care expenses pre-disaster, and has IEPs and 504 Plans incurred or will incur child care IEP: A document developed for each public- expenses as a result of the disaster, school child who needs special education.An IEP must submit: defines the individualized objectives of a child who has been determined to have a disability, as defined by • Post-disaster receipts or Federal regulations.As long as a student qualifies for estimates for child care fees, special education,the IEP is mandated to be regularly registration, and/or health maintained and updated up to the point of high school inventory fees. graduation,or prior to the 21"birthday. • A post-disaster child care 504 Plan: This type of plan falls under Section 504 of contract or agreement. the Rehabilitation Act of 1973.A 504 plan outlines how a child's specific needs are met with • A post-disaster child care accommodations,modifications and other services. provider's license, if the These measures"remove barriers"to learning. information cannot be located within a respective SLTT government's licensed provider database. • IEP, 504 plan, or medical professional's statements, if applicable, to verify disability for children up to age 21 who need assistance with activities of daily living. • A signed, written statement from the applicant. Figure 29:Child Care Assistance Documentation Type of Documentation Documentation Requirements • The name of the child(ren)receiving care. • The provider's name,address, and telephone number. Copy of current child care • Time period covered by the contract/agreement and total child contract or agreement signed care expense/rate for the time period covered by the by the provider and applicant contract/agreement. • May also include other eligible expenses, such as a registration fee or health inventory fee. • The expected length of time the applicant believes they will have a disaster-caused need for Child Care Assistance. • The applicant is not receiving assistance from another source that meets their child care needs. This may include services that are A signed,written statement free of charge; assistance from the state, local,territorial,or tribal from the applicant government; compensation from any other government organization; assistance from their employer; etc. • Information that establishes that the need for child care,the increased cost of child care,and/or the decrease in income is disaster-caused. 146 161181 Chapter 3: Individuals and Households Program Figure 29: Child Care Assistance Documentation Type of Documentation Documentation Requirements Pre-disaster child care • The name of the child/ren receiving care. expense receipts,contract,or • Provider's name,address,and telephone number. signed letter from child care • Time period covered and total child care expenses for that time provider,if receipts or period. contract cannot be located. • Signature of child care provider and applicant. • Examples include,but are not limited to: Proof of pre-disaster and • Recent pay stubs. current post disaster income • W-2 forms or tax returns from most recent tax year. for the individual(s) • Documentation of self-employment, if applicable. responsible for child care expenses • Documentation of government assistance, including Social Security. Verification of the child care Applicant does not need to submit if the information can be located provider's license within a respective state, local,territorial,or tribal government's licensed provider database. Verifies a disability for children up to age 21 who require assistance Individual Educational with activities of daily living. If a child with a disability has not Program Plan, 504 plan,or graduated from high school,they are eligible for education services medical professional's under the Individuals with Disabilities Education Act(IDEA)until age 21. A child eligible under IDEA will have an IEP that documents the statement educational services. Children who are not eligible for an IEP,but still need some educational support,may have a 504 plan. Limitations and Exclusions • FEMA limits Child Care Assistance to up to eight cumulative weeks per child or per household or the maximum amount of assistance established by the state, territorial, or tribal government,whichever is less. • FEMA will only provide Child Care Assistance to one applicant on behalf of the child(ren). • If a child is a member of multiple households, FEMA will only award assistance to the primary custodial parent/guardian responsible for child care costs after the disaster. • FEMA will not provide assistance for any of the following: o Fees for extra-curricular activities and additional services (e.g., school photographs, field trips) o Fees not directly related to the day-to-day child care services provided to the eligible child(e.g.,prepared lunches, snacks, facility-provided linens, etc.) 147 161181 Chapter 3: Individuals and Households Program o Fuel expenses related to transporting the child to and from the child care provider (e.g., school bus service) o Education services (e.g., after-school tutoring) o Medical care or services o Recreational camps or clubs (e.g., after-school clubs, overnight camps) 4. Assistance for Miscellaneous Items FEMA provides financial assistance under the ONA provision of the IHP to individuals and households with certain disaster-caused miscellaneous expenses.137 Eligible items must be purchased or rented after the incident to assist with the applicant's disaster recovery, such as gaining access to the property or assisting with cleaning efforts. Items damaged by the disaster that were owned prior to the disaster will be considered under Personal Property Assistance. State, territorial, and tribal governments, in consultation with FEMA,have identified standard miscellaneous line items. However,the state, territorial, or tribal government may elect not to include all of these items as eligible for reimbursement: • Carbon Monoxide Detector • Chainsaw • Dehumidifier • Generator o (see Chapter 3, VI.B.4)under this section's Limitations and Exclusions) • Humidifier • Smoke Detector • Weather Radio State, territorial, and tribal governments may request additional miscellaneous line items on the ONA Administrative Option Selection form, during any non-disaster time period or within 72 hours of a major disaster declaration.138 Conditions of Eligibility In addition to meeting general conditions of eligibility(see Chapter 3, II.), applicants must meet the following conditions in order to receive Assistance for Miscellaneous Items: • The expense must be a direct result of the disaster. • The item must have been purchased or rented within 30 days from the incident start date or up to the last day of the incident period,whichever is greater. • Generator exception: The reimbursement period starts the day the Governor declares a State of Emergency and ends at the incident period closure date identified by FEMA in the Federal Register, or if warranted due to extraordinary circumstances,the date 148 161181 Chapter 3: Individuals and Households Program commercial power is restored to the applicant's primary residence as verified by the FEMA JFO or commercial power provider. • Applicants must provide an itemized receipt or equipment rental agreement for eligible expenses. • The expense must not be covered by insurance or provided by any other source. Limitations and Exclusions • If the applicant owned the eligible miscellaneous item prior to the disaster and the item was damaged by the disaster, the item will be considered under Personal Property Assistance. • Assistance for Miscellaneous Items is limited to the quantity established for the item by the state,territorial, or tribal government on the ONA Administrative Power lines in NY damaged by Hurricane Option Selection form. Irene and Tropical Storm Lee. • If the pre-disaster primary residence is located within a CBRS Unit,the applicant may not be considered for financial assistance for Miscellaneous Items except for expenses to purchase or rent items required to power life-sustaining medical equipment (e.g., generators). • Generator expenses only: o The generator must be purchased or rented to power a medically-required piece of equipment, including medically-required refrigerators. o The generator must be purchased or rented due to a disruption in electrical utility service as a result of the disaster. o The applicant must submit a statement from a medical services provider, indicating the equipment is medically necessary. o The allowable grant amount for generators is limited to the prevailing retail or rental rate for a 5.5 kw-sized generator, as identified by FEMA. o The eligible reimbursement period for generator rental costs starts on the date the Governor declares a State of Emergency and ends at the incident period closure date identified by FEMA in the Federal Register or, if warranted due to extraordinary circumstances, the date commercial power is restored to the applicant's primary residence as verified by the FEMA JFO or commercial power provider. o The IA Division Director may waive one or more conditions of eligibility during extraordinary circumstances (e.g., sustained power outage during a period of sub- freezing temperatures)when determined to be in the public's interest. 149 161181 Chapter 3: Individuals and Households Program • Chainsaw expenses only: o The chainsaw must be purchased or rented to gain access to and/or remove hazards from the home. ti o Applicants who receive financial Housing Assistance or have ` a insurance coverage for debris or tree removal costs may not receive - ,J Assistance for Miscellaneous Items for chainsaw reimbursement. A home in Arkansas is damaged by a fallen tree. 5. Critical Needs Assistance FEMA may provide financial assistance under the ONA provision of the IHP to applicants who have immediate or critical needs because they are displaced from their primary dwelling. Immediate or critical needs are life-saving and life-sustaining items including, but not limited to: water, food, first aid, prescriptions, infant formula, diapers, consumable medical supplies, DME, personal hygiene items, and fuel for transportation. Program Request and Approval An affected state, territorial, or tribal government must submit a written request to FEMA to implement CNA. FEMA's IA Division Director may authorize assistance when the majority of applicants from the declared area are or will be displaced from their primary residence for an extended period of time, generally 7 days or more. The affected state,territorial, or tribal government will have 14 days from the date of the declaration to submit the request for CNA. CNA will be approved for the initial 14-day period from the date of the Presidential declaration. When necessary based on applicant need,this period of assistance may be extended by the IA Division Director if requested by the affected state,territorial, or tribal government. Conditions of Eligibility Applicants will be considered for assistance if all of the following apply: • They pass FEMA's identity verification process; • At registration,they assert that they have critical needs and request financial assistance for those needs and expenses; • Their pre-disaster primary residence is located in an area designated for CNA; and • They are displaced from their pre-disaster primary residence as a result of the disaster. 150 16I1B1 Chapter 3: Individuals and Households Program Limitations and Exclusions Unless otherwise authorized by the IA Division Director and the respective state, territorial, or tribal government: • CNA is limited to $500 per eligible household; and • CNA will be awarded as a one-time payment. 6. Clean and Removal Assistance FEMA may provide a limited amount of financial assistance to individuals and households with disaster-caused real property damage who do not qualify for Home Repair Assistance because the damage did not render the home uninhabitable. Clean and Removal Assistance(CRA) is intended to ensure contamination from floodwaters is addressed in a timely manner to prevent additional losses and potential health and safety concerns. Individual property owners will be responsible for performing or contracting for services to remove contaminants and disinfect surface areas of their homes that have been affected by floodwater. Program Request and Approval An affected state,territorial, or tribal government must submit a written request to FEMA to implement CRA. The GAR must submit a written request for CRA to the FCO. CRA may only be requested in disasters where "flood"is listed as an incident type. CRA must be approved by the RA prior to implementation. The eligibility period for CRA will correspond to the standard FEMA registration period of 60 days,but will not include extension periods unless specifically authorized by the RA. Conditions of Eligibility In addition to meeting general conditions of eligibility(see Chapter 3, II.), applicants must meet the following conditions in order to receive CRA: • The pre-disaster primary residence is located in an area designated for Individual Assistance. • The applicant has at least one real property line item recorded during inspection as flood- damaged. • The pre-disaster primary residence is not covered by insurance, including flood or mobile home insurance, at the time of the disaster. • The applicant receives a denial indicating the disaster-damaged primary residence was safe to occupy. Limitations and Exclusions • CRA is limited to a fixed amount calculated based on the average cost of cleaning, sanitizing, and removing carpet in the geographic area. The amount will be determined per disaster by FEMA Headquarters in coordination with the Joint Field Office; 151 161181 Chapter 3: Individuals and Households Program • CRA will be awarded as a one-time payment; and • CRA will be deducted from any subsequent Home Repair awards an applicant receives as a result of a change in the home's habitability, and if the home repair payment is greater than the CRA amount. C. SBA-Dependent . . - w The following types of assistance are SBA- dependent. Applicants who were referred to the SBA but who did not qualify for an SBA � . loan, or who were approved for a partial loan but the amount of the loan was insufficient ,; f� � ' Ali '1'1''1'1' to meet the applicant's disaster expenses or R , �, , serious needs,may be referred back to - ''' , FEMA to determine their eligibility for ,, iot Personal Property Assistance, Transportation Aar • Assistance, Moving and Storage Assistance, and a Group Flood Insurance Policy(GFIP) A woman helps her neighbor clean out a flood damaged certificate. home in Cedar Rapids, Iowa. 1. Personal Property Assistance FEMA may provide financial assistance under the ONA provision of the IHP to repair or replace personal property damaged or destroyed due to a disaster.139 The ONA Administrative Option Section form includes a list of eligible items, also known as the Standard Personal Property Line Items list that may be considered for assistance. The affected state, territorial, or tribal government has the ability to request that items be added to or removed from the list within 72 hours of an IA declaration. FEMA and the affected state, territorial, or tribal government establish a maximum quantity that may be awarded for each personal property item. FEMA calculates the award amount for each item according to the consumer price index data for items of average quality, size, and capacity in the area where the damage occurred. The assistance is intended to meet the basic needs of the household,not to restore all personal property items to a pre-disaster condition. When applicants reside in the same damaged pre-disaster residence and are not classified by FEMA as roommates or boarders,the owner or head of household will be considered responsible for the personal property in the common living areas up to the quantity limit. However, a household member could be eligible if the owner, head of household, or landlord has not met the item quantity limit. The household members may be awarded the minimum amount of assistance to meet the household needs,not to exceed the quantity limit. For more information about roommates and boarders (see Chapter 3, II.). 152 161181 Chapter 3: Individuals and Households Program FEMA will record personal property as being unaffected or needing repair or replacement during inspection of the applicant's damaged primary residence. FEMA assistance to repair and replace personal property falls within the following categories: • Appliances: Includes standard household appliances, such as a Appliances refrigerator,washing machine, etc. For processing assistance purposes, • Clothing: Essential clothing needed FEMA identifies certain items as"appliances" due to overall loss, damage, or that may not be considered a typical appliance contamination. to the general public. Items that fall into this category include: • Room furnishings: Standard furnishings found in a bedroom, • Children's strollers and toys kitchen, bathroom, and living room. • Every day dining tables • Essential Tools: Tools and equipment • Twin beds required by an employer as a condition of employment and items required as a • Property for applicants with access or condition of an applicant's or functional needs, such as accessible toilet household member's education. seats,beds,etc. Conditions of Eligibility In addition to meeting general conditions of eligibility(see Chapter 3, II.), applicants must meet the following conditions in order to receive Personal Property Assistance: • The item needs to be repaired or replaced. • The occupants of the household have an unmet disaster-related need for the damaged item. FEMA may not provide assistance if the applicant can meet that need with another similar item in their possession or available to the household. • The item was owned and being used by occupants of the household. o FEMA does not provide assistance for furnishings and/or appliances provided by a landlord. o Items used by guests and relatives who were not members of the pre-disaster household are not eligible for assistance. Applicants must also meet specific eligibility requirements for each category of item for which they are requesting Personal Property Assistance. These include: • Appliances: Assistance is based on the number and type of household appliances in need of repair or replacement. Applicants may receive assistance for two appliances that serve a similar purpose or function(e.g., a range and a microwave). • Clothing: Assistance is based on the number of household members requiring clothing as determined during FEMA inspection. FEMA defines an essential need for clothing if existing clothing has been destroyed, is physically gone(e.g.,blown away), or contaminated by chemicals or sewer backup as a result of disaster. FEMA expects 153 Chapter 3: Individuals and Households Program 1 6 I 1 B 1 applicants to clean clothing soaked by wind-driven rain, seepage, or flood waters. Stored clothing is generally not eligible for assistance. • Room Furnishings: Assistance is based on the level of damage to furnishings within specific rooms of the residence as recorded during FEMA inspection. The rooms must be one of the four types required to meet the needs of a typical household: kitchen, living room, bathroom, or bedroom. • Essential Tools: Assistance is based on a need to replace essential tools, supplies, and equipment owned pre-disaster that are required by an employer as a condition for employment and items required as a condition of an applicant's or household member's education. This includes tools and equipment required for a specific ; t*' trade or profession. Eligible items that fall under essential tools are listed below: FEMA inspector records disaster damage at a o Schoolbooks/Supplies: Equipment survivor's home. and supplies required to be provided by the applicant for educational courses or schooling, including home schooling, college, and trade school courses. o Uniforms: Required for school or work when the applicant is responsible for replacement of the uniforms. o Computers: Required by a school or an employer(not self-employment)when the applicant is responsible for the replacement of the computer. o Occupational Tools: Essential tools and equipment required by an employer(not self-employment) as a condition of employment. • Applicants may be asked to provide the following documentation for essential tools: o A statement from the employer on company letterhead documenting the applicant is required to provide their own tools as a condition of employment. o A statement on school letterhead documenting a computer is required as a condition of education and the school does not provide access to computers to use outside of class, such as a school computer lab. o An itemized list of the tools required by the employer, also on company letterhead. o An itemized list of each tool required and a verifiable statement, estimate, or bill from the place of the potential purchase stating that the damage was caused by the disaster. • Accessible Items: FEMA also provides assistance for damaged personal property items required for applicants with disabilities. The list includes accessible beds,raised toilet seats, accessible refrigerators,accessible washers, and computers or adaptive technology 154 1611B1 Chapter 3: Individuals and Households Program when utilized as the sole means of communication for a household member with a disability. Motorized and non-motorized wheelchairs, shower chairs, visual/vibrating fire signals, and walkers, are also eligible items. o If an applicant has additional medically-required assistive devices not included in the list above,they may request assistance to replace those items under the Medical and Dental Assistance category of ONA(see Chapter 3, VI.B.2.). o If the cost to repair or replace an ADA Personal Property item exceeds the award amount, applicants may request assistance for the additional amount by providing the following: • A written or signed statement from a medical provider verifying the applicant or household member required the item prior to the disaster; and • An itemized bill,receipt, or estimate showing the repair or replacement cost of the item. Limitations and Exclusions • Applicants incarcerated at the time of the disaster who incur disaster-caused damage to their personal property within their unit at the correctional facility or detention center are ineligible for IHP Assistance. Prisoners are legally entrusted to the corrections institute which is responsible for safeguarding their persons and providing for their needs. • Financial assistance for flood-damaged personal property in basements is limited to both of the following: o Washers and dryers o Essential personal property in rooms required for the occupation of the dwelling (for example, occupied bedrooms, a bathroom required for the occupied bedroom, a sole kitchen or living room) 2. Transportation Assistance FEMA may provide financial assistance under the uTI;41 *:144 i4.44,41 , ONA provision of the IHP to individuals and '" { households with disaster-caused vehicle repair or Aft replacement expenses.140 Unlike most other forms of IHP Assistance, an applicant seeking Transportation Assistance does not need to live in the Presidentially-declared disaster area to be considered for the assistance. A car is surrounded by floodwaters. The affected state, territorial, or tribal government uses the ONA Administrative Option Selection form to establish the maximum amount of Transportation Assistance(i.e., Transportation Repair and Transportation Replacement) that may be awarded. The amount of Transportation Repair and Replacement Assistance awarded is based on the degree of damage and the state,territorial, or tribal government's repair and replacement maximum. 155 1611B1 Chapter 3: Individuals and Households Program Conditions of Eligibility In addition to meeting general conditions of eligibility(see Chapter 3, Il.), applicants must meet the following conditions in order to receive Transportation Assistance: • The vehicle sustained disaster-caused damage, and the damage occurred within the Presidentially-declared disaster area. • The damaged vehicle is an approved vehicle type; eligible vehicles include but may not be limited to vans, trucks, sport utility vehicles, and cars. o Other modes of transportation may be added to the ONA Administrative Option Selection form by the state, territorial, or tribal government during any non- disaster time period or within three days of a major disaster declaration. This may include boats, motorcycles, golf carts, or other non-standard modes of primary transportation. • The damaged vehicle is in compliance with its state, territorial, or tribal government's registration and insurance requirements at the time of the disaster. • The damaged vehicle is owned or leased(i.e.,not a rental vehicle)by the applicant, co- applicant, or household member. • The applicant does not own an operational and unaffected second vehicle. o An operational vehicle is defined as a vehicle that may need cosmetic repairs or incurred minimal damage but is in compliance with its state, territorial, or tribal government's registration and insurance requirements at the time of the disaster and can be legally driven. Vehicle Damage Levels 11011 A Destroyed Vehicle is defined as the vehicle has been declared a total loss due to disaster-caused damages (e.g., flood water covered the engine,vehicle was crushed by a fallen tree or was burned, etc.). A Repairable Vehicle is defined as the vehicle sustained disaster-caused damage which affects the drivability or safety of the vehicle(e.g.,broken windshield,window glass,mirror,or headlight assembly;minor mechanical repairs; etc.). A Vehicle with Cosmetic Damage is defined as damage that does not affect the drivability or safety of the vehicle in any way(e.g.,minor dents,scratches, and other similar low levels of damage). 156 161161 Chapter 3: Individuals and Households Program Required Documentation Generally, FEMA will verify vehicle damage during an on-site inspection and record it as repairable or destroyed. If the vehicle is not available at the time of inspection or if the applicant does not receive an on-site inspection, FEMA requests that applicants submit: • A copy of the vehicle registration valid at the time of the disaster for the damaged vehicle(s). • A list of all vehicle(s)owned(year, make, and model) and a brief description of damage for each vehicle. • Proof of liability insurance coverage or statement that insurance coverage does not exist. • For vehicle repair, a verifiable bill,receipt, or estimate from a mechanic that does the following: o Confirms the damage is disaster- Vehicle Repair Expenses caused Eligible repair expenses based on o Identifies repair or replacement bills,receipts, and estimates may include but costs (e.g.,parts, service, and are not limited to: labor) • Costs for labor o Includes the mechanic's contact • Service fees(e.g.,battery recharge or information wheel re-alignment) • For vehicle replacement,documentation • Repair estimates and vehicle towing from the SLTT government, towing expenses company, or other verifiable agencies to • The repair/replacement of vehicle parts confirm the vehicle was towed and when repairs for drivability and safety salvaged due to the disaster and access are required(includes paint and/or body to the vehicle is no longer available. work and carpet) • If the vehicle was towed to an accessible ° location and a salvage notification was not provided by a government entity,the applicant will be required to obtain and submit a statement, estimate, or bill from a mechanic. Limitations and Exclusions • FEMA will not award assistance for cosmetic damage to a vehicle. • Assistance is usually limited to one vehicle. However, in instances where any additional unaffected and operational vehicles owned by members of the household are not sufficient to meet the needs of the household, FEMA may award assistance to repair or replace a second damaged vehicle. Any additional vehicles would be required to meet all applicable conditions of eligibility, as referenced above. Additionally, the applicant must certify in writing that the damaged vehicle is essential for the household's daily usage, outline the relevant circumstances, and explain the serious need for a second vehicle. 157 1b11B1 Chapter 3: Individuals and Households Program 3. Moving and Storage Assistance FEMA may provide financial assistance under the ONA provision of the IHP to individuals and households to avoid additional disaster damage.141 Generally this includes storage of personal property while repairs are being made to the primary residence and returning the property to the applicant's primary residence.142 FEMA may provide assistance with eligible moving and storage expenses through the period of assistance or up to the IHP financial assistance maximum award, whichever comes first. Conditions of Eligibility In addition to meeting general conditions of eligibility(see Chapter 3, II.), applicants must meet the following conditions in order to receive Moving and Storage Assistance: • The applicant's primary residence was rendered uninhabitable due to the disaster. • The property being moved and/or stored is considered as essential personal property and/or household goods (such as appliances and furniture). • The applicant is moving and/or storing essential household goods to prevent additional damage and returning the items to the individual's or household's primary residence. Eligible Expenses: Moving and Storage Assistance may be provided for, but is not Flood Insurance Policies limited to, all of the following expenses: Many flood insurance policies provide • Costs for commercial moving labor up to$1,000 in moving expenses. As FEMA • Moving truck rental fee is unable to duplicate assistance from other sources,applicants who have flood insurance • Fuel for the rental vehicle will have to submit documentation to show • Costs for tape and boxes they have exhausted funds allocated under their policy for moving expenses prior to being • Commercial storage unit fees considered for FEMA's Moving and Storage • Associated sales taxes Assistance. Ineligible Expenses: All of the following expenses are ineligible: • Moving and storage of recreational items (e.g., fishing gear, canoes,jet skis) • Costs incurred for the moving and storage of items as a preventative measure prior to the disaster • Expenses for essential personal property that is permanently moved out of the damaged pre-disaster residence and will not be returned to the applicant's primary residence • Optional insurance and security deposits listed on applicant's receipts,bills, or estimates 158 161161 Chapter 3: Individuals and Households Program Required Documentation Applicants must submit: • Receipts, bills, or estimates with associated dates for the moving expenses. • Receipts or bills with associated dates for storage expenses. • Statements with all of the following: o The reason(s)moving and storage expenses were required o A description of the essential household goods being stored o Information indicating the essential household goods are being stored while repairs to the primary residence are being made o Information indicating the essential household goods will be returned to the primary residence Limitations and Exclusions • When the cause of damage is flooding and the applicant failed to maintain flood insurance as required as a condition of receiving previous Federal assistance, FEMA is unable to provide assistance for the first$1,000 of moving expenses. • The applicant may qualify for assistance in moving the essential personal property directly into a temporary housing unit to prevent further damage if they are returning the items back to the primary residence once repairs have been completed. 4. Group Flood Insurance Policy The Group Flood Insurance Policy refers to a flood insurance policy established under the NFIP regulations.143 FEMA may pay$600 under ONA 144 for three years of flood insurance for eligible ONA recipients of assistance for flood-damaged property(personal and real) located in an SFHA on which FEMA places a flood insurance requirement. As part of the effort to reduce future expenses from floods, FEMA directly purchases GFIP certificates on behalf of applicants who are required to purchase and maintain flood insurance but who may not otherwise be able to purchase a policy. The GFIP is a policy that is established for each disaster declaration that results from flooding and authorizes the provision of IA. Conditions of Eligibility In addition to meeting general conditions of eligibility(see Chapter 3, II.), applicants must meet the following conditions in order to be considered for a GFIP certificate: 159 161181 Chapter 3: Individuals and Households Program • FEMA verifies that damage to the applicant's property is caused by GFIP Overview flooding and the damaged items are insurable under NFIP. • GFIP certificates provide up to three years of • The applicant's damaged residence flood insurance coverage for real property and is located in an SFHA. personal property items insurable under the NFIP. • The applicant's damaged residence • The master GFIP policy term is for 36 months is not located in a sanctioned begins 60 days after the date of the community, CBRS area, or OPA. Presidential disaster declaration. However, • The applicant does not have a individual coverage becomes effective 30 days previous requirement to maintain following NFIP's receipt of the applicant's flood insurance as a condition of name and premium payment from either the receiving IHP Assistance. SLTT government or FEMA. o If a subsequent disaster • The GFIP premium counts towards the IHP occurs during the 30-day financial assistance maximum award. waiting period after • The coverage amount of the GFIP policy is purchasing a flood equal to the IHP financial assistance insurance policy from a maximum award. previous flood insurance requirement,the applicant is considered compliant and eligible for IHP Assistance. • The applicant is referred to ONA. o Applicants who accept an SBA loan during the disaster in which a flood insurance requirement is set will not be considered for a FEMA-purchased GFIP certificate. o Applicants who were referred to the SBA, did not qualify for an SBA loan, and were referred back to FEMA may be considered for a FEMA-purchased GFIP certificate. • The applicant is eligible for Home Repair, Replacement, or Personal Property Assistance, prompting the requirement to maintain flood insurance on the damaged residence and initiating the GFIP. • An eligible applicant whose pre-disaster primary residence is located within an OPA and an SFHA may only be considered for a GFIP certificate if they also meet the following conditions: o A legally valid building permit for the construction of the applicant's pre-disaster primary residence was issued prior to November 16, 1991; and o The applicant's pre-disaster primary residence was built(walled and roofed)no later than November 16, 1991; and 160 161181 Chapter 3: Individuals and Households Program o The applicant's pre-disaster primary residence was not substantially improved or substantially damaged on or after November 16, 1991. 161 Chapter 3: Individuals and Households Program 161181 Applicant Notification and Response • Pre-disaster owners included in the GFIP receive notification from FEMA stating they have been included in the policy as well as a"Certificate of Flood Insurance;" applicants do not receive a copy of the actual policy. Applicants do not have the ability to decline the GFIP. • Pre-disaster renters will only receive a GFIP certificate if they notify FEMA within six months of receiving a GFIP notification letter that they have moved back or intend to move back to their pre-disaster residence. o GFIP certificates are not transferable to a new renter of a rental unit and are not transferable to a new rental address. • FEMA gives applicants a 60-day notice of policy expiration and a final notice of termination of coverage. When the GFIP expires, the applicant is responsible for purchasing and maintaining flood insurance on their own. Failure to maintain flood insurance will affect applicant eligibility for future disaster assistance. Limitations and Exclusions • If the cost of a GFIP policy exceeds the remaining amount of IHP Assistance available to the applicant,then FEMA will not purchase a policy. The applicant will still be responsible for purchasing a policy on their own. • Applicants who own or rent travel trailers on non-permanent foundations are not eligible for GFIP.145 • Applicants whose pre-disaster primary residence is located within an OPA and SFHA must submit the following documentation in order to receive consideration for a GFIP certificate: o A legally valid building permit for the construction of the applicant's pre-disaster primary residence issued prior to November 16, 1991; or if the building permit was lost or destroyed, a written statement to this effect signed by the community official responsible for the building permits demonstrating the construction of the applicant's pre-disaster primary residence permitted prior to November 16, 1991. o A written statement by a responsible community official that: • The applicant's pre-disaster primary residence was built(walled and roofed)no later than November 16, 1991; and • The building was not substantially improved or substantially damaged on or after November 16, 1991. 162 161181 Chapter 3: Individuals and Households Program o Additional forms of documentation to demonstrate a pre-disaster residence's eligibility for NFIP coverage may include: • First mortgage financing records; • Property tax records; • Electrical permit records; • On-site septic or sewer system records; • State Coastal Zone Management Agency Records; • State Wetlands Program Permit Records. 163 161181 Chapter 3: Individuals and Households Program VII. Recovery of Program Funds Federal agencies are required to take action to identify and recover improper payments, Eligibility of Applicant with Debt whether made in error or obtained by fraud, An per the following Federal laws: applicant who has a debt from a current or previous disaster may be eligible for • Debt Collection Improvement Act of full IHP Assistance in a subsequent Presidential 1996 (DCIA) disaster declaration, except in some cases where the debt is a result of an applicant obtaining • Improper Payments and Information assistance through fraudulent means. Act of 2002 (IPIA) • Improper Payments Elimination and Recovery Act of 2010 OPERA) • Improper Payments Elimination and Recovery Improvement Act of 2012 (IPERIA) In addition, the applicant must agree to return funds to FEMA when the assistance provided by FEMA duplicates assistance from another source,146 was provided in error, was spent on expenses inappropriately, or was obtained through fraudulent means. After every disaster, FEMA is required to review disaster assistance payments to ensure taxpayer dollars were properly spent. Those reviews often show a small percentage of specific cases where disaster assistance was given to applicants who were not eligible for some or all of the money they received. FEMA collects these overpayments through a process called "recoupment." FEMA employs a deliberative process to identify and verify payments that must be recouped and established as debts. This process involves multiple levels of FEMA staff and management review and validation before a debt is established. When FEMA determines assistance was given to applicants who were li,. Fraud not eligible for some or all of the money Fraud is the intentional deception, received, FEMA IA program staff notifies concealment, or use of documents intended to the applicant in writing of their potential mislead FEMA in order to wrongfully obtain debt and their right to appeal the decision. IHP Assistance an applicant is not eligible to receive. FEMA staff are required to report After the applicant exhausts their appeal suspected fraud to the Department of Homeland rights or the period to appeal the debt Security(DHS)Office of Inspector General expires, a debt is officially established. The (OIG). The OIG investigates potential fraud FEMA Finance Center(FFC)will send a cases and,when appropriate,refers them to the letter to the applicant to provide information Department of Justice(DOJ)for appropriate on repayment options. legal action.FEMA may not establish or collect debts related to fraud unless the OIG or DOJ FEMA considers expenses associated with declines to pursue legal action and instructs the time and resources required to prepare FEMA to proceed. and follow up on a potential debt to 164 1 6 1 1 B 1 Chapter 3: Individuals and Households Program determine if the costs of recovering the potential debt will exceed the amount Significant Enforcement Principle owed. FEMA will not initiate recoupment FEMA will consider initiating collection of activity for any potential debt valued less a potential debt,regardless of debt value,when it than$250.00 unless a significant is necessary to aggressively pursue recoupment of enforcement principle is at stake. any assistance obtained through fraudulent means. Figure 30: FEMA Deliberative Process for Identifying and Validating Debt Payments Steps Process Identifying Potential FEMA staff review cases to identify potential debts and submit the case Debt for additional review and validation. Each case is assigned to another FEMA staff member who reviews to ensure the decision to request an applicant return funds to FEMA is Verifying Debt absolutely necessary.All reasonable efforts are made to identify assistance the applicant was eligible to receive and does not need to be returned. FEMA may contact applicants at this stage to give them an opportunity to provide additional documentation to resolve the issue. Multiple FEMA managers are required to review each case and concur on the type and amount of assistance that must be returned.FEMA managers also review the case to ensure all appropriate steps to resolve the issue Potential Debt were taken. When FEMA managers determine the assistance must be Notification and Appeal returned,a written notice is sent to the applicant notifying them of their potential debt,the reason the applicant is not eligible for the assistance provided, and information regarding how they may appeal and/or request an oral hearing. ..... ... ....... If an applicant does not appeal the decision or their appeal is not granted, Establishing Debt the debt becomes final and is forwarded to the FFC to continue debt collection activities. Debt Compromise, Once a debt has been established,applicants may work with the FFC to Suspension,and make payment arrangements. In limited circumstances,the FFC may Termination suspend or terminate debt collection. If the applicant has not repaid the debt or has entered into a repayment Transfer of Debt to plan within 120 days of FFC's letter,FEMA refers the debt to Treasury for Treasury collection. Significant additional costs will be incurred as a result of referral to Treasy. 165 161161 Chapter 3: Individuals and Households Program A. Reasons for Recovery of Funds FEMA requests the return of IHP Assistance for the following reasons: • DOB,147 which occurs when FEMA provides funds that were also previously received or available from another source, such as insurance or another Federal agency. A DOB may also occur when multiple applicants in a household receive an award for the same item or type of assistance. • Assistance provided in error, which occurs when FEMA determines assistance was provided to the applicant for which they are not eligible, including exceeding the IHP maximum award. • Misuse of funds, which occurs when FEMA determines the applicant spent the funds inappropriately(e.g.,using assistance to pay off credit card debt). • Fraud,which occurs when FEMA determines the applicant obtained the assistance through false means (e.g., false address, submitting false or altered documents, misrepresenting insurance coverage, etc.). B. Identifying and Verifying Potential Debts FEMA may identify a case where an applicant may need to return funds as a result of routine internal reviews, information provided by the applicant, reports from other agencies, or audits conducted by the Government Accountability Office (GAO), Fraud and Internal Investigations Division(FIID), or OIG. When FEMA identifies that funds may need to be returned, at least two FEMA employees review the applicant's case to determine if an error or improper payment has been made. Each FEMA employee compares the assistance provided to the amount the applicant was eligible for during the review process. When the case reviews indicate an error was made, FEMA will, whenever possible, attempt to obtain additional information that may demonstrate that the funds do not need to — be repaid by contacting the applicant, contractors, landlords, insurance companies, or other third parties. After the additional information has been obtained, FEMA employees • may determine that the funds were properly awarded and close the review. When the review confirms that an error or improper payment has been made, the case is provided to a senior manager within the IHP program office at FEMA A FEMA staff member explains Headquarters for a final review. disaster assistance programs to an applicant at a Disaster Recovery Center(DRC) in Washington. 166 16111 Chapter 3: Individuals and Households Program 8 C. Notice of Potential Debt and Appeal Process Once FEMA has determined that the applicant was awarded more assistance than they were eligible for, FEMA IA staff will send the applicant a written"Notice of Potential Debt" identifying all of the following: • The amount of assistance the applicant received for which FEMA has determined the applicant is ineligible • The reason(s)the applicant is not eligible for the assistance provided • The process for appealing the decision, including the process for requesting an oral hearing • The documentation required to dispute the ineligibility determination • The notice that a final determination will be provided to the applicant informing them whether a debt is owed Applicants who disagree with the potential debt amount or reason may submit a written appeal or request for an oral hearing within 60 days of the date on the FEMA potential debt notification letter(for more information about appeals, (see Chapter 3, II.). When an applicant submits an appeal, FEMA will evaluate their case, including any new information submitted, to determine whether the potential debt stands in whole or in part. 1. Oral Hearings Applicants may request an oral hearing as part of their written appeal. FEMA will only grant oral hearings in limited cases, when there is an issue of identity theft, credibility, or truthfulness, and the case cannot be decided solely on the review of documents. The Alternate Dispute Resolution Division within FEMA's Office of Chief Counsel conducts the hearing. If the Oral Hearing Officer decides not to grant an oral hearing, that decision is final and cannot be appealed. The Oral Hearing Officer reviews all of the information regarding the case before the hearing. If the case was previously investigated for potential fraud,the Oral Hearing Officer's review will include reports and information gathered during the investigation. During oral hearings, applicants are permitted to present information and witness statements to support their claim(s), and FEMA staff represent the Agency's position. If a potential fraud investigation is conducted, a representative from the Fraud Investigation and Prevention Branch will present information about the investigation and report during the oral hearing. Oral hearing decisions are considered final agency determinations that cannot be appealed, and a decision letter drafted by the Oral Hearing Officer is mailed to the applicant. 2. FEMA Appeal Determination FEMA evaluates an applicant's case and their appeal and makes a final written decision within 90 days after receiving the appeal, or 45 days after concluding the oral hearing. 167 1611B1 Chapter 3: Individuals and Households Program • Based on a review of the applicant's appeal, FEMA may grant an appeal challenging the reason for the potential debt or the amount of the potential debt. o When FEMA grants an appeal for the reason for the potential debt, FEMA will terminate the debt and return any money the applicant paid to FEMA. o When FEMA grants an appeal for any amount of the potential debt, FEMA will adjust the amount of the debt based on the appeal decision when: • An applicant already paid the debt. FEMA will return any money to the applicant that was in excess of the final debt amount based on the appeal. • The final debt amount based on the appeal was more than the amount the applicant already paid. FEMA will continue to collect any remaining portion of the reduced debt. • The applicant has not made any payments to FEMA for the debt. FEMA will continue debt collection activities. • Based on a review of the applicant's appeal, FEMA may deny an appeal challenging the reason or amount for the potential debt. If FEMA denies the appeal, FEMA's decision is considered a final agency determination and may not be appealed again. FEMA establishes the debt amount after the appeal period expires and all decisions are rendered on any appeals received, and forwards the debt to the FFC for continued debt collection activities. As part of the debt collection activities, the FFC will provide each applicant the opportunity to make payment arrangements. D. Debt Compromise, Suspension, or Termination Once a debt has been established, the FFC sends a written"Notice and Demand Letter" (NDL)to the applicant that informs them of the debt, the interest and penalties that will start to accrue on the debt if it is not paid, and their right to make payment arrangements. Through this process,the FFC also has the ability to compromise, suspend, or terminate debt collection in certain circumstances. 1. Debt Compromise The NDL states the applicant may request payment arrangements, and the FFC reviews any requests. If additional information is needed to determine payment arrangements, the FFC will request the information from the applicant. If the FFC determines that the debtor does not have the ability to Compromise pay, it may compromise the debt, in full or in part. If Compromise means an the applicant's financial situation does not warrant a agreement to accept less than the full compromise of the debt, or is otherwise not qualified amount owed to satisfy the debt. due to a substantiated finding of fraud, the FFC will notify the applicant. 168 16I1B1 Chapter 3: Individuals and Households Program 2. Debt Suspension FEMA may suspend debt collection activities at any time during the collection process for various reasons,to include: the debt is uncollectible due to the applicant's current financial inability to pay but the applicant has the future potential to reinstate payments; FEMA has been made aware that the applicant is now deceased; and/or FEMA suspects fraud at any time during the collection process. Once additional information is gathered, FEMA may resume collection of a deceased applicant's debt if one of the following applies: • There is a living co-applicant who registered with FEMA. • The deceased applicant's estate contains sufficient assets to cover some portion of the established debt. FEMA does not initiate debt collection on cases of fraud until they have been investigated by the FIID and/or OIG, and the DOJ has declined to pursue legal action. If fraud is suspected during any part of the debt collection process, the case is referred to the FIID and/or OIG and FEMA will not resume debt collection activities until the case has been investigated by the OIG and the DOJ has declined to pursue legal action. 3. Debt Termination FEMA may terminate debt collection efforts when: • FEMA is unable to collect any substantial amount through its own efforts or through the efforts of others. • FEMA is unable to locate the debtor. • The debt is legally without merit or enforcement of the debt is barred by any applicable statute of limitations. • The debt has been discharged in bankruptcy. • Costs of collection are anticipated to exceed the amount recoverable. • The applicant is deceased and no assets remain in the estate sufficient to cover some portion of the established debt. • A debt is returned by Treasury to FEMA as uncollectable. E. Transfer of Debt to Treasury The FFC refers the unpaid debt to Treasury for collection if a debt is not paid in full,the debt is not being paid on schedule when there is an established payment plan, or the debt was not compromised, suspended, or terminated. Delinquent debts may be referred to Treasury as early as 61 days after FFC notifies the applicant of delinquency, but no later than 120 days after FFC 169 1b11B1 Chapter 3: Individuals and Households Program notifies the applicant. In addition, documents which substantiate the debt are provided to Treasury at the time of referral. When the debt is referred to Treasury, interest and penalties continue to accrue on the unpaid debt, and Treasury may add substantial additional fees and administrative charges to the debt. Once a debt has been referred to Treasury for collection, FEMA will not recall the debt unless the applicant is able to prove the notices were sent to an outdated address. During the debt collection process, Treasury will offset any eligible Federal payments by the debt amount. Treasury is not required to notify the debtor prior to the offset. Federal payments eligible for offset include: income tax refunds; Federal/state salary pay, including military pay; Federal/state retirement, including military retirement pay; contractor vendor payments; and certain Federal benefit payments.148 Treasury provides FEMA all applicant requests for disputes,Proof of Debt(POD), and/or Administrative Wage Garnishment(AWG)hearings. FEMA works with Treasury and processes every hearing request in which new information is provided or a new issue is raised that was not previously addressed in a hearing. When Treasury submits an AWG hearing to FEMA, any debt related to the case is administratively suspended while awaiting the decision(i.e., collections cease); however, during POD and dispute reviews, the debts are not suspended and collections continue unless the FFC specifically recalls the debt. F. Statute of Limitations While there is no statute of limitations on initiating recoupment of IHP debt owed to the U.S. Government through administrative means, FEMA's goal is to notify applicants of any potential debt owed within three years after the date of the final IHP Assistance payment. FEMA's failure to meet this goal will not preclude it from initiating recoupment of potential debt when otherwise appropriate. In general, FEMA will notify applicants of any potential debt owed within three years after the date of the final IHP Assistance payment in cases where funds are being recovered due to potential DOB, erroneous payment, or misuse of funds. FEMA may notify applicants of any potential debt beyond three years after the date of the final IHP Assistance payment in cases where it considers recovery of funds to be in the best interest of the Federal government. FEMA shall notify applicants of potential debt regardless of when the suspected fraud is discovered in all cases involving suspected fraud. 170 161181 Chapter 3: Individuals and Households Program This page is intentionally blank. 171 161181 Chapter 4: Disaster Case Management Chapter 4: Disaster Case Management I. Overview Disaster case management(DCM) is a time-limited process that involves a partnership between a disaster case manager and a disaster survivor(also known as a"client")to develop and carry out an individual disaster recovery plan. This partnership provides the client with a single point of contact to Disaster Caused Unmet Need facilitate access to a broad range of available resources. The goal of the DCM program is to assist Any un resourced item, support, individuals and families through the recovery process or assistance that has been assessed and verified as necessary for a survivor to with finding resources to meet their disaster caused recover from disaster.This may include unmet needs. food,clothing, shelter,first aid, FEMA may provide DCM services or financial emotional and spiritual care,household assistance to state,territorial,tribal, or local (SLTT) items,home repair,or rebuilding. government agencies, or qualified private organizations (collectively, non-Federal entities),to identify and address disaster caused unmet needs following a major disaster declaration.149 FEMA's DCM is intended to augment,not to replace, existing case management capabilities in the impacted area. Following a major disaster declaration,the non-Federal entity must submit an application to FEMA for review and be approved for Federal assistance. There is no no-Federal cost share. A. Overview of Services to Survivors Services are provided at no cost and are available to any survivor that has been impacted by the disaster, regardless of eligibility for FEMA IHP or other Federal assistance. The DCM process is described in Figure 31. 111 Qualified Private Organization A qualified private organization is defined as any non-governmental agency or entity that currently has an effective ruling letter from the U.S. Internal Revenue Service,granting tax exemption under Sections 501(c)of Internal Revenue Code of 1954, or satisfactory evidence from the State that the nonrevenue producing organization or entity is a nonprofit one organized or doing business under state law and that has experience providing case management services. 172 161181 Chapter 4: Disaster Case Management Figure 31: DCM Process Service Definition Individuals and families whose primary residence or place of employment was Define Eligible in the impacted area and have a verifiable disaster-caused unmet need that has Clients not been met through other assistance.Clients do not have to be registered with FEMA to receive Federal Disaster Case Management assistance. In coordination with the Joint Field Office(JFO),other Federal partners,non- Client Outreach federal entities,local and community leaders,providers will perform outreach to connect with clients who could benefit from Federal Disaster Case Management services. The primary purpose of triage is to assign a priority level to a case based on Triage Needs the client's severity of need and ability to recover.It requires regular reassessment,particularly as the client transitions into long-term disaster case management. As clients are identified through outreach,the disaster case manager will conduct a screening,gathering necessary information such as pre-and post- disaster contact information,the number of impacted individuals in the Screen and Assess household,whether the client rented or owned their pre-disaster residence,and copies of documents needed to verify clients residence or employment in the declared area. Case Managers may also use available FEMA registrant data to inform this step and avoid asking survivors for duplicate information. Based on clients' identified needs,the disaster case manager will provide Information and information and referral to short term,immediate available resources and work Referral(I&R) with the survivor to develop an individually tailored disaster recovery plan that includes next steps and goals.A survivor may not require full DCM services, but may have immediate needs that can be resolved through I&R. The disaster case manager and the client will develop a preliminary recovery Development of plan based on the client's identified unmet needs.The plan may be revised as Recovery Plan necessary.During the assessment process,the disaster case manager seeks to establish a baseline of pre-disaster functioning. Advocacy and Both the disaster case manager and the client are responsible for advocating Referral for the services needed to move toward recovery.The disaster case manager will provide referrals to available resources to help meet the client's needs. A disaster case manager will monitor a client's progress toward achieving Monitor Recovery goals defined in their disaster recovery plan by providing regular client contact Plan and case file reviews that may result in adjustments to the client's disaster plan. B. Program Types FEMA's DCM is comprised of two programs, Immediate Disaster Case Management(IDCM) and the Disaster Case Management(DCM)program. IDCM is not a prerequisite for DCM,nor is DCM required if IDCM has been approved. Both programs require a Presidential major disaster declaration. 173 161181 Chapter 4: Disaster Case Management 1. Immediate Disaster Case Management IDCM provides short-term, limited services to address immediate disaster caused unmet needs and make referrals for disaster survivors. IDCM may have a period of performance not to exceed 180 days, at which time cases will be transferred to the longer-term DCM program to local social service organizations. Under extraordinary circumstances, extensions may be considered. The size of the impacted population and the scope of the disaster,as well as the ability of local resources to adequately meet the immediate disaster-caused unmet needs of survivors, may be factors in determining whether or not IDCM is required. 2. Disaster Case Management Program The DCM program is a FEMA-funded supplemental program that generally provides financial assistance to SLTT government agencies, or qualified private organizations, through a Federal award. This program may be implemented through a grant or a cooperative agreement. FEMA shall make the determination of which funding instrument to use in administering the award. Typically, a grant agreement is used when no substantive involvement by FEMA is anticipated. If substantial FEMA involvement is anticipated, a cooperative agreement may be utilized. The DCM Federal award,when approved, enables non-Federal entities to provide services or contract with local providers familiar with disaster case management and the impacted communities. C. Waivers to Existing Program Policy Any waivers to this policy guidance must be submitted in writing,with justification,to the FEMA IA Division Director(IADD) for consideration and a determination. D. Authorities FEMA is authorized to provide case management services, including financial assistance,to SLTT governments or qualified private organizations to provide such services to survivors of major disasters to identify and address disaster caused unmet needs under Section 426 of the Stafford Act. Regulations within the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards found in 2 C.F.R. Part 200 are applicable to all DCM Federal awards implemented as grants or cooperative agreements. 174 161181 Chapter 4: Disaster Case Management II. Immediate Disaster Case Management IDCM provides short-term, limited services to address immediate disaster caused unmet needs and make referrals for disaster survivors. IDCM may have a period of performance of 90-180 days, at which time cases will be transferred to the longer-term DCM program to local social service organizations. The size of the impacted population and the scope of the disaster, as well as the ability of local resources to adequately meet the immediate disaster-caused unmet needs of survivors,may be factors in determining whether or not to request IDCM services. IDCM is not a prerequisite of the DCM program. An SLTT or qualified non-Federal entity may apply for DCM even if no IDCM is implemented. IDCM staff provide the same case management services as the DCM Federal award,but are generally focused on the early steps in the DCM process— outreach,triage, information and referral, and development of an individual recovery plan. The goal of IDCM is to address the immediate unmet needs of disaster survivors and prepare their cases to be transferred to long-term case management services if additional support is needed. IDCM is not a Federal award. It is implemented, administered, and overseen by FEMA, in coordination with the state, territory, and tribe. IDCM may be implemented through: • a mission assignment to other Federal agencies to provide case management services • invitational travel to support travel for voluntary agency personnel experienced in case management • an interagency agreement with national level partners experienced in case management • direct hiring of case managers to work with FEMA personnel • an existing FEMA contract with an experienced case management entity FEMA will assess the alternatives, in coordination with the impacted state, territory, or tribe and determine the best approach to implementing IDCM based on the needs of the impacted community. A. IDCM Period of Assistance Implementation of IDCM typically begins with 14-30 days of the declaration date. The period of assistance for IDCM will not exceed 180 days. In extraordinary circumstances, such as catastrophic events, the program may be extended by the Federal Coordinating Officer(FCO). B. Transition to Non-Federal Entity DCM Federal Award Program At the conclusion of IDCM, cases will be transitioned either to a DCM program or, if the non- Federal entity elects not to apply for a DCM Federal award or is not approved,to local providers (i.e. SLTT government agencies, non-profits, etc.). Planning for the transition,particularly of survivor data should begin early to ensure smooth and efficient transition of information and to streamline the access to services for survivors. Transition from IDCM will require collaboration between the non-Federal entity or local provider, FEMA, and IDCM program or technical staff to identify the most effective approach to transfer files, including a process both for information sharing and the actual transfer of cases. 175 1b1181 Chapter 4: Disaster Case Management The timing of actual transition may be fluid due to the non-Federal entity DCM program Federal award application and award process. The transition plan must include an ability to securely transfer hard copy and electronic case files to the DCM program or local service providers, as directed by the non-Federal entity. Service providers shall not disclose applicant contact information to other parties outside of FEMA in accordance with the Privacy Act of 1974. C. Federal and Congressional Review Process Under the Department of Homeland Security Appropriations Act(P.L. 115-141), SEC. 507 FEMA is required to provide 72 hours advance congressional notification when awarding a grant or contract in excess of$1,000,000. Notification is routed to the Congressional Appropriations Committee for advanced notification review, after review and clearance by DHS and OMB. This process may add multiple weeks to the timeline before obligating the Federal award. 176 161181 Chapter 4: Disaster Case Management III. Disaster Case Management Program The DCM program is a FEMA-funded supplemental program that provides financial assistance to SLTT government agencies, or qualified private organizations, through a Federal award. This program may be implemented through a grant or a cooperative agreement. The DCM Federal award, when approved, enables non-Federal entities (also known in this context as recipients) to provide services or contract with local providers familiar with disaster case management and the impacted communities. A. Period of Assistance DCM Federal Award Toolkit DCM Federal awards may be awarded for a period of performance up to 24 months FEMA has developed an online toolkit from the date of declaration. If necessitated containing required documents and tools to and justified,the recipient may submit a complement this guidance and assist request in writing to the appropriate stakeholders in preparing, assessing, applying, FEMA Regional Administrator(RA) for a implementing, managing, and closing a DCM 90-day extension to the period of Federal award program. FEMA updates the toolkit regularly to incorporate best practices performance. These written requests must be submitted no later than 90 days prior to and lessons learned, thus, non-Federal entities the end of the period of performance. should refer to the most current documents in Extension requests will be evaluated based the DCM Toolkit prior to applying for a Federal on the progress made during the initial award. period of performance and the justification of ongoing need. In some instances, due to the exigency of the need in the impacted area and in order to expedite award of the funding,the non-Federal entity may apply for and FEMA may approve an initial award with a shorter period of performance, less than 24 months. In these instances, the recipient will have the option to request, in writing, an extension to the period of performance up to the full 24-month period of performance. Extension requests will be evaluated based on the progress made during the initial period of performance and the justification of ongoing need. B. General Conditions of Eligibility for a DCM Federal award All of the following conditions must be met for a non-Federal entity to be considered by FEMA for a DCM Federal award: • The President must declare a major disaster. • The need for disaster case management services must be beyond the capabilities of the SLTT government to provide due to the severity and magnitude of the disaster. 177 161181 Chapter 4: Disaster Case Management • The non-Federal entity must submit a complete DCM Federal award package(see Chapter 4, I I I.D.)within 90 days of the date of declaration of the Presidentially-declared major disaster. • The DCM Federal award packet must be signed by the Governor or Governor's Authorized Representative (GAR); the Tribal Chief Executive; or the non-Federal entity must be authorized to directly receive the award in the FEMA-State/Territory/Tribal Government Agreement. C. DCM Award Roles and Responsibilities 1. FEMA As the Federal awarding agency, FEMA's primary responsibility is to ensure the DCM program is implemented in accordance with this guidance,the Federal award articles of agreement, the requirements of the financial award as noted in the NOA, and 2 C.F.R. Part 200. FEMA provides quality assurance and monitors the non-Federal entity in meeting Federal award requirements, use of the Federal award funding, and meeting the audit requirements of the program. FEMA will maintain a toolkit accessible by the non-Federal entity; this toolkit will include application information, forms,templates, and job aids for preparation, application, and implementation of the program. FEMA will also provide two Federal officers to support the non-Federal entity in overseeing the Federal award,the Grants Management Officer(GMO)and the Program Officer (PO). The GMO is primarily responsible for receiving and acting on requests for prior approval or for changes in the terms and conditions of the award as well as for monitoring the drawdown of funding to ensure it is consistent with allowable and unallowable cost. The GMO is the primary point of contact for receiving and processing non-Federal entity requests for changes to the terms and conditions of the award. The PO provides regular technical assistance and programmatic coordination with the non-Federal entity. Figure 32 details the GMO and PO responsibilities associated with the Federal award. Figure 32: Fiscal and Program Officer Responsibilities Grants Management Officer Program Officer • Evaluating Federal award applications for administrative content and compliance with statutes, regulations,and guidelines. • Making site visits to monitor the progress of the Federal award. • Negotiating awards. • Providing programmatic technical assistance. • Providing consultation and technical assistance • Determine the frequency of conference calls, to applicants and recipients, including site visits,and programmatic performance interpretation of grants administration policies reports within federal guidelines. and provisions. • Monitoring performance of the program, • Administering and closing out Federal awards. including reviewing progress reports. 178 1611B1 Chapter 4: Disaster Case Management 2. Non-Federal Entity The non-Federal entity is responsible for assessing the DCM needs, applying, and overseeing the DCM award in accordance with all applicable Federal award requirements, state regulations, and this guidance. In addition,they are responsible for: • Formulating the program,budget, and project design in a manner that meets minimum reporting and monitoring requirements, as well as the Federal award agreement; • Maintaining clear control of program operations and ensure response to emergent issues in a timely manner; • Reporting aggregate data on program activities to FEMA, and with FEMA's prior approval, to determine how personally identifiable information(PI1)will be shared with service providers following The Privacy Act of 1974, 5 U.S.C. § 552a; • Standardizing services among DCM service providers with overall quality assurance, including budget requirements, staffing,program planning,reporting,training, and technology for tracking and resource sharing; and • Developing a plan that outlines their collaborative process with SLTT voluntary organizations, including, if applicable Voluntary Organizations Active in Disasters (VOAD), as well as the Emergency Management agency, and Long-Term Recovery Groups. D. Pre-Award Requirements for DCM 1. DCM Needs Assessment The DCM needs assessment is the responsibility of the non-Federal entity and Tailoring the Program to the should be submitted with the DCM Federal Population award application. The assessment evaluates When assessing the needs of the the current capacity to provide disaster case affected population,it is important to consider management services and identifies the the proportion and effect on vulnerable specific populations that will be served by the populations,including the elderly,people with disabilities and others with access and supplemental program. A capacity survey to functional needs,children,and those with low support the non-Federal entity in this step is English proficiency.The program may be available in the DCM toolkit. Information tailored to meet the needs of the specific from this survey and any additional community. For instance, if a high proportion information regarding needs of the impacted of children were impacted,adding a children's community should be included in the overall coordinator in your staffing plan may be justification when applying for DCM. beneficial. 2. DCM Award Application After a Presidential disaster declaration, a non-Federal entity may apply for a DCM Federal award. The DCM application package must be submitted to FEMA within 90 days from the date of the disaster declaration. In extraordinary circumstances, such as catastrophic events,the non- 179 161161 Chapter 4: Disaster Case Management Federal entity may apply for an extension to this deadline in writing to the applicable FEMA RA; this request must document the extraordinary circumstances and what the additional time will allow them to accomplish. The non-Federal entity must submit this request within 60 days of disaster declaration. Extension requests not submitted within this timeframe will not be considered. Shortened DCM Awards The non-Federal entity may apply for, and FEMA may approve, an initial award with a shorter period of performance less than 24 months. This shortened application may be submitted at any point prior to the DCM deadline. If approved,the non-Federal entity may request an extension up to the total 24 months consistent with extension requirements. Application Process and Delegation of Authority DCM Federal awards are generally applied for by a state,territorial, or tribal agency. However, the state, territory, or tribe may request that a Federal award go directly to a local government agency or a qualified private organization. This request should be made in writing, signed by the Governor or GAR or Tribal Chief Executive, and submitted with the application. Cover letters for the DCM Federal award application packet should be addressed to the applicable FEMA RA. Applications for DCM will be reviewed and approved or denied by the FEMA RAs. Note that the Disaster Recovery Manager(DRM) authority does not carry the delegation of the DCM determination(delegation of authority is separate from the delegation of DRM authority). To delegate the authority to make a determination of the DCM Federal award, the FEMA RA must specify in writing that they are specifically delegating the determination for this program. Approval or Denial of Application The RA may approve or deny the Disaster Case Management program award. The program may be approved if: • A complete application is received no later than 90 days from the date of declaration; and • There is a need for the program clearly articulated in the application. If approved,the RA will send a signed approval memo with reason for approving to the FCO and Regional Grants Management Division(GMD) Director for processing of the Federal financial award, as a grant or cooperative agreement. The RA or their designee will issue the Notice of Award to the non-Federal entity receiving the award. The program may be denied if: • A complete application is not received within 90 days from the date of declaration; or • The application lacks sufficient information to justify the need for the program. If denied,the RA must submit a written denial with justification to the non-Federal entity. 180 161181 Chapter 4: Disaster Case Management Required Information A complete DCM Federal award application must include the following information and documentation to be considered for an award: Figure 33:DCM Application Required information and Documents • The geographical areas within the designated disaster area for which services will be provided; • An estimate of the number of disaster survivors requiring assistance; • A description of the STTL resources and capabilities,and an explanation of why these resources cannot meet the need; Information • A description of activities from the date of the disaster incident to the date of application; • A plan of services to be provided to meet the identified needs; and • A detailed budget,showing the cost of proposed services separately from the cost of reimbursement for any eligible services provided prior to the application. A Federal form that OMB requires for Federal award applications.All Request for Federal entities that apply for DCM funds must submit a completed SF-424 signed Assistance(SF-424) by the Governor or Governor's Authorized Representative,or equivalent authorized representative for the tribe. Budget Information for Non-Construction A Federal form OMB requires for Federal award applications. Programs (SF-424A) Assurances for Non- A Governor,or Governor's Authorized Representative signature is Construction Programs required. (SF-424B) The budget narrative should include a detailed justification for all cost Budget Narrative categories requested in the SF-424A. Refer to the DCM toolkit for additional instructions on completing the Budget Narrative. Lobbying,Drug-Free Workplace,and Disbarment and Suspension and Other Responsibility Matters must be on file with FEMA. The state, Assurances territorial,or tribal government must acknowledge that the forms are in compliance with the state and/or tribal/FEMA agreement and the most current Department of Homeland Security (DHS) Standard Terms and Conditions. 3. Budget The DCM budget narrative must justify the proposed budget for the non-Federal entity, sub- recipients of a Federal award, and each individual service provider. The narrative must provide a justification of the costs and an itemization for each line of the budget. When filling out the DCM award application, applicants must adhere to the following budget limitations: 181 161181 Chapter 4: Disaster Case Management Allowable and Unallowable Costs • Pre-Award Costs—Pre-award costs are those which are incurred prior to the start date of the period of performance(2 C.F.R. § 200.209). The period of performance for an approved DCM Federal award typically starts on the date of the disaster declaration. Costs accrued prior to the disaster declaration are not allowable. If exigent circumstances occur and the period of performance starts later than the declaration date and prior to the notice of award, such costs may be allowable only to the extent that they would have been allowable if incurred after the date of the Federal award and only with written approval of the FEMA Regional Administrator.150 • Indirect Costs—Unallowable: FEMA does not authorize the use of funds for indirect costs. Indirect costs, including management costs, are defined as costs not directly chargeable to a specific project. Please note that even if an indirect cost rate is established, it is subject to statutory and administrative limitations. A DCM award recipient or provider is not entitled to an established rate for services provided under the DCM award. The program's statutes, regulations, and policy govern whether any indirect costs are eligible. Section 324 of the Stafford Act requires FEMA to establish management cost rates through regulations. At this time, FEMA does not have regulations that govern the eligibility of indirect costs for the DCM. • Salaries and Wages: Salary compensation must be reasonable in amount and in alignment with local prevailing rates for the position funded. • Fringe Benefits: Fringe benefits may be charged directly to the Federal award. Claimed costs must be reasonable and conform to established policies for the state,territory, or tribe. Use of a pre-established provisional rate requires allocation to total salary costs. Rates must be adjusted to actuals at the year-end and rates and should be reviewed at least once annually. • Equipment: The non-Federal entity obtains title to equipment acquired under the DCM award and is subject to the conditions outlined in 2 C.F.R. § 200.313, including these requirements: o To use the equipment for the authorized purposes of the project until funding for the project ceases, or until the property is no longer needed for the purposes of the project; o To not encumber the property without approval of FEMA; o To use and dispose of the property in accordance with guidelines for states and non-states as set forth in 2 C.F.R. § 200.313; and o To use in a manner consistent with the purposes of the award and to benefit the beneficiaries of the project. • Supplies: FEMA retains an interest in any unused supplies exceeding $5,000 in total aggregate value upon termination or completion of the award if they are not needed for any other Federal award. The state, territory or tribe must compensate FEMA for its share 182 161161 Chapter 4: Disaster Case Management of the supplies in compliance with 2 C.F.R. § 200.313 and § 200.314. As long as FEMA retains an interest in supplies,the state,territory or tribe must not use the supplies to provide services to other organizations for a fee that is less than private companies charge for equivalent services. • Travel: Travel must be included in the budget for preapproval as part of the application process. During implementation, travel costs must be supported by travel expense reports detailing employee name,the reason for the trip, and itemized expenses claimed. Claimed costs should be charged according to the award recipient's travel policy, which requires prior approval from FEMA and must comply with OMB cost principles and provide expenditure limitations. Major items of expense(e.g., airfare, lodging) must be supported by receipts. • Other: The budget may identify costs that are unique to the disaster and area impacted but do not fall into one of the prescribed cost categories listed above. Costs must be supported by adequate documentation(invoices, receipts, etc.). Consult with the FEMA Grants and Program Officer to determine which costs are allowable under this cost category and to confirm what items may require prior approval. • Contractual Costs: The non-Federal entity must follow its established policies and procedures used for procurements from non-Federal funds when procuring property and services under a Federal award; if no established policy exists, the non-Federal entity must follow the requirements in 2 C.F.R. § 200.318, General procurement standards, through § 200.326, Contract provisions. All states,territories or tribes should review the procurement standards outlined in 2 C.F.R. § 200.317 through § 200.326. Please refer to Appendix E for more information on allowable and unallowable costs. 4. Federal and Congressional Review Process Once submitted,the non-Federal entity's DCM application will go through a review by FEMA Joint Field Office (JFO), FEMA Region, and FEMA HQ staff for completeness, cost- effectiveness, and feasibility of the non-Federal entity's DCM application. The FEMA RA will issue a determination. Under the Department of Homeland Security Appropriations Act(P.L. 115-141), SEC. 507 FEMA is required to provide 72 hours advance congressional notification when awarding a grant or contract in excess of$1,000,000. Notification is routed to the Congressional Appropriations Committee for advanced notification review, after review and clearance by DHS and OMB. This process may add multiple weeks to the timeline before FEMA may issue the Notice of the Federal award to the non-Federal entity. 183 Chapter 4: Disaster Case Management 1 6 I 1 B 1 E. Notice of Award (NOA) The NOA is the official Federal award document notifying the recipient and others that an award has been made. The NOA contains all terms and conditions of the Federal award and provides the support documentation for recording the obligation of Federal funds in the non-Federal entity's accounting system. Critical information included in the NOA: • The start and end dates for the period of performance • The Award amount • Name of FEMA grants officer • Name of FEMA program officer • Reporting requirements FEMA will schedule a post-award call with the non-Federal entity to review the NOA, Conditions of Award, program expectations, reporting requirements, the funding process, and the monitoring schedule. 1. Conditions of Award The Regional Grants Management Division will generate a NOA letter that details all conditions the non-Federal entity must satisfy within the timeframe designated in the letter. The non-Federal entity is responsible for the accounting and expenditures, cash management, maintenance of financial records, and refunding expenditures disallowed by audits. The award recipient must establish a Payment Management System(PMS) account prior to allocation and obligation of funds to transfer funds from FEMA to the non-Federal entity. Additional information on the funding process is available in the DCM toolkit. F. Post-Award Requirements for DCM 1. Multiple DCM Programs within the Geographic Area Multiple DCM Programs Occasionally, multiple DCM programs are awarded for the same area that is affected by overlapping Presidentially-declared disasters. If multiple DCM programs are operating concurrently, the non-Federal entity must ensure there is a mechanism in place to identify and mitigate the risk of duplication of services for clients impacted by the multiple disasters. The non-Federal entity must develop internal controls and provide its strategy for operating multiple programs for the same affected population and identifying the programmatic, financial, and management components of each program.'51 This strategy must be included as part of the application. Budget and programmatic reporting must remain distinct and separate between programs and highlight the number of cases transferred between disasters. 184 1611131 Chapter 4: Disaster Case Management A client will have one open case at a time. If a client has identified needs from multiple disasters, a single case manager will assess all disaster-related unmet needs under the DCM for one disaster at a time to prevent a duplication of benefits. 2. Procurement Requirements under a Federal Award Federal award recipients shall ensure that the process of soliciting DCM services is fair and transparent. Recipients must follow the same policies and procedures when procuring property and services under a Federal award that they follow for procurement from non-Federal funds. Recipients must ensure that any contract provisions as required by 2 C.F.R. § 200.326 Contract Provisions are included on all purchase orders or contracts that draw from Federal funds, an states must follow the state procurement requirements as described in 2 C.F.R. § 200.317. All other recipients, including sub-recipients of a state, territory, or tribe will follow the General procurement standards as required by 2 C.F.R. § 200.318 through § 200.326. 3. Appeals and Modifications to Award Appeal for Denied Federal Award Application or Extension The non-Federal entity may appeal the FEMA RA's decision. This appeal must be submitted to the IA Division Director(IADD), in writing,within 60 days of the date of the application decision. 152 The appeal must include new justifying information not included in the original Federal award application, including a new budget and associated training and implementation plans if applicable.153 See the DCM Toolkit for additional information. Appeals of Remedies for Noncompliance The non-Federal entity may submit a written appeal letter with supporting documentation, signed by the Governor or GAR, Tribal Chief Executive, or applicable authorized representative of the non-Federal entity to the appropriate FEMA RA within 15 days of the date of notification of the remedial action. The FEMA RA will make an appeal determination in writing to the applicant. Objections/Appeals of Decisions Regarding Allowable Costs The non-Federal entity may submit a written appeal letter with supporting documentation, signed by the Governor or GAR,Tribal Chief Executive, or applicable authorized representative of the non-Federal entity to the FEMA RA within 15 days of the date of notification of the disallowed cost. The FEMA RA will make an appeal determination, in writing to the applicant. Appeal of Termination or Suspension In order to appeal termination, the non-Federal entity must include a letter acknowledging receipt of notice of termination as well as a termination appeal letter,unless otherwise specified. If the non-Federal entity decides to terminate their approved DCM prior to the end of the period of 185 161181 Chapter 4: Disaster Case Management performance or withdraw their submitted DCM Requests for Supplemental application,then a signed letter should be sent Funding Must Include: to the FEMA RA indicating the desire to withdraw the application or terminate the • An explanation of why current funding is program. The official notification must be insufficient. signed by the Governor or GAR,Tribal Chief • An updated DCM work plan. Executive, or applicable authorized representative of the non-Federal entity. The • All pertinent statistical information regarding current cases. termination or withdrawal will become effective on the date of the official acknowledgement from FEMA and will not be subject to an appeal should the non-Federal entity choose to reverse the decision.'54 All closeout and reconciliation documents must be submitted in accordance with the timeframes indicated in the DC iM Toolkit unless otherwise specified. Award Modifications • Extensions, if initial award was for less than 24-month Period of Performance (POP) o If awarded funding for a period of performance less than 24 months from the date of declaration, the non-Federal entity may request, in writing, an extension to the period of performance up to the full 24-month period of performance. o An extension request must be submitted in writing no later than 90 days prior to the end of the current POP. o An extension request must include the progress made during the initial period of performance and a justification of ongoing need. o The official written request must be submitted to the FEMA RA for determination. • No-Cost Extension to the Period of Performance (POP) o The POP for DCM is a maximum of 24 months from the date of the major declaration. However, a request for an additional 90-day extension to the POP may be considered when requested in writing with adequate justification to the FEMA RA. o A program extension request must be submitted in writing no later than 90 days prior to the end of the current POP. o All financial and programmatic reports must be current and complete at the time of request or the request will not be processed. o The official written request must be submitted to the FEMA RA for determination. 186 161181 Chapter 4: Disaster Case Management • Supplemental Funding o A request for supplemental funding may be considered under extenuating circumstances when sufficient justification is submitted. o Written requests for supplemental funding may be requested no later than 90 days before the end of the period of performance. o Financial and performance status reports must be current and complete. o The decision to approve/deny the supplemental funding request will be made by the FEMA RA. 4. Monitoring and Reporting Monitoring • FEMA monitoring responsibilities: FEMA must ensure that the Federal award recipient adheres to all laws,regulations, and policy guidance in all aspects of the DCM program. To do this, they will monitor the non-Federal entity operations and activity. This is done through regularly scheduled monitoring calls, reviewing and analyzing non-Federal entity reporting, and on-site visits. A minimum of three on-site visits is required for each DCM award, more if required in the Conditions of Award if the size, complexity, or scope of the award poses elevated risks. Additional on-site visits, as well as the frequency of the monitoring calls, will be determined by FEMA based on the program needs and may be added during the POP if a need is identified. • Non-Federal entity monitoring responsibilities: The non-Federal entity is responsible for oversight of the entire operations and all supported activities pertaining to the Federal award. As a recipient of a Federal award,the non-Federal entity is responsible for being compliant with all applicable provisions under 2 C.F.R. Part 200,refer to Figure 34 for some key provisions of 2 C.F.R. Part 200. They must monitor the activities under the awards to ensure compliance with applicable Federal requirements and to ensure performance expectations are being achieved. Monitoring by the non-Federal entity must cover each program, function,and activity. Reporting Requirements The non-Federal entity must submit performance reports at the interval required by the Federal awarding agency or pass-through entity to inform status of achieving program outcomes and ensuring compliance with laws,regulations, and policies applicable to the program. Intervals must be no less frequent than annually nor more frequent than quarterly except in unusual circumstances, e.g.,where more frequent reporting is necessary for the effective monitoring of the Federal award or could significantly affect program outcomes.155 Annual reports must be submitted 90 calendar days after the reporting period; quarterly or semiannual reports must be submitted 30 calendar days after the reporting period. Alternatively,the Federal awarding agency or pass-through entity may require annual reports before the anniversary dates of multiple year Federal awards. 187 161181 Chapter 4: Disaster Case Management Programmatic Reports Monthly and quarterly programmatic reports may be required to be submitted within 30 days of the end of each reporting period. Reports should be submitted to the FEMA Project Officer, and should include the following data, as well as anything else requested by FEMA: • Number of cases opened o Include how many cases are at each tier/priority level • Number of cases with completed needs assessments • Number of cases with developed recovery plans • Number of cases closed o Number of cases closed without a completed recovery plan(resource unavailable) o Number of cases closed after completing the recovery plan(needs met) o Number of cases withdrawn by survivor o Other • Number of survivors on a waitlist for services • Top 3-5 identified unmet needs Reported numbers should include a monthly total and a cumulative total for the program. Refer to the DCM toolkit for templates and additional instructions for assistance. Financial Reports The non-Federal entity submits the Federal Financial Report (SF-425)to the FEMA Grants Management Officer within 30 days of the end of each reporting period.156 The non-Federal entity submits the SF-425 for every quarter of the period of performance, including partial calendar quarters during the life cycle, regardless of the level of activity in that quarter. This requirement continues until the end of the period of performance. Reporting periods are as follows: • Quarter 1: October 1-December 31; Due January 30 • Quarter 2: January 1-March 31; Due April 30 • Quarter 3: April 1-June 30; Due July 30 • Quarter 4: July 1-September 30; Due October 30 Budget and Fiscal Management The non-Federal entity is responsible for accounting, including expenditures, cash management, maintenance of adequate financial records, and the refund of expenditures disallowed by audits. The non-Federal entity and DCM providers must comply with Federal Regulations.l57 A non-Federal entity can only charge allowable costs incurred during the POP. Any costs incurred after the POP, including during the 90-day closeout timeframe for submitting all financial and performance reports, are not allowable.158 188 161181 Chapter 4: Disaster Case Management Figure 34: 2 C.F.R. Part 200 Compliance Item References and Details General Provisions • 2 C.F.R. § 200 Subtitle B,Part 300 Cost Principles • 2 C.F.R. § 200, Part E • 2 C.F.R. § 200,Part F • The recipient will be monitored programmatically and financially by FEMA staff and may be audited under the Improper Payment Audit Requirements Elimination and Recover Improvement Act of 2012(IPERIA)and/or by the DHS Office of Inspector General(OIG)to ensure that the project goals,budgets,and other related program activities are being met. • Recipients cannot use any Federal funds,directly or indirectly,in Prohibition on Using support of the enactment,repeal,modification or adoption of any law, Federal Funds regulation or policy, at any level of government,without the prior written approval of FEMA. (18 U.S.C. 1913) • All allocations and use of funds will be in accordance with the current Compliance with Program Guidance Disaster Case Management Guidance and terms and conditions outlined in the Notice of Award. S. DCM Award Closeout and Record Retention Closeout Within 90 days of the end of the period of performance,the non-Federal entity must submit a final SF-425 with a final narrative, detailing all accomplishments of the program, to both the FEMA GMO and Project Officer. After FEMA reviews the final reports,the closeout process will begin. The closeout process will include an accounting of any remaining funds that must be obligated and will address the maintenance of Federal award records. Additional tools and resources for award closeout will be available in the online DCM Toolbox. Record Retention All recipients and sub-recipients are subject to audit by FEMA and the Office of Inspector General personnel. Financial records, supporting documents, statistical records, and all other records pertinent to a Federal award must be retained for a period of three years from the date of submission of the final expenditure report or, for Federal awards that are renewed quarterly or annually, from the date of the submission of the quarterly or annual financial report,respectively, as reported to the Federal awarding agency or pass-through entity in the case of a sub- recipient.i59 The non-Federal entity is responsible for returning any funds that are drawn down but remain unliquidated on non-Federal entity financial records. 189 1 6118 1 Chapter 5: Crisis Counseling Assistance and Training Program Chapter 5: Crisis Counseling Assistance and Training Program I. Overview The Crisis Counseling Assistance and ECrisis Counseling Training Program(CCP) is a Federally- Crisis Counseling means the application funded supplemental program that provides of individual and group treatment procedures financial assistance to state,territorial, tribal, which are designed to help alleviate the mental and local (SLTT) government agencies and emotional crises and their subsequent through a grant or cooperative agreement. psychological and behavioral conditions The CCP award enables SLTT government resulting from a major disaster or its aftermath. agencies to provide crisis counseling services 4' or contract with local mental health service providers familiar with the affected communities to provide services. The intent of the CCP award is to augment,not replace, current mental health and training activities in order to assist disaster survivors. This program is only available after a Presidential major disaster declaration that includes Individual Assistance(IA), and a non-Federal entity has submitted an approved Federal award application. There is no cost-share. The goal of the CCP services is to reach a large number of disaster survivors in a short period of time to prevent or mitigate adverse psychological effects caused or aggravated by a major disaster. A. Overview of Services to Survivors Services are provided at no cost and are available to any survivor, regardless of FEMA IHP applicant eligibility, who has been impacted by the disaster. These services are provided in accessible locations, including survivor homes, shelters,temporary living sites, and places of worship. Services can be provided in a group setting or one-on-one and include supportive crisis counseling, education, development of coping skills, and linkage to appropriate resources. Characteristics of the program are described in Figure 35. 190 1611B1 Chapter 5: Crisis Counseling Assistance and Training Program Figure 35: Characteristics of CCP Characteristic Description Crisis counselors instill resilience in individuals and communities,and promote Strengths-based independence rather than dependence on the CCP,other people,or organizations. Crisis counselors help survivors regain a sense of control. Outreach-oriented Crisis counselors take services into the communities rather than wait for survivors to come to them. Crisis counseling is designed to prevent or mitigate adverse repercussions of More practical than disasters rather than to treat them. Crisis counselors provide support and psychological in education, listen to survivors,and accept the content at face value. Crisis nature counselors help survivors to develop a plan to address self-identified needs and suggest connections with other individuals or organizations that can assist them. Crisis counselors do not classify,label,or diagnose people; they keep no records Diagnosis free or case files. The CCP does not provide mental health or substance use treatment,or critical incident stress debriefing. Services are supportive and educational in nature. Conducted in non- Crisis counselors make contact with survivors in their homes and communities, traditional settings not in clinical or office settings. Culturally-aware The CCP embraces cultural and spiritual diversity. Designed to Crisis counselors support,but do not organize or manage,community recovery strengthen existing activities. Likewise,the CCP supplements,but does not supplant or replace, community support existing community systems. systems Provided in ways Crisis counselors should work together early to establish a unified identity. The that promote a CCP strives to be a single,easily identifiable program,with services delivered consistent program by various local agencies. identity B. Crisis Counseling vs.Traditional Mental Health Treatment Mental health treatment, as typically defined within the professional community, implies the provision of assistance to individuals for a diagnosable disorder. In contrast, crisis counseling seeks to prevent the onset of diagnosable disorders by helping the majority of survivors understand that they are experiencing common reactions to extraordinarily uncommon occurrences. A mental health professional often will engage a client in short-or long-term recovery treatment, committing the person to a set number of sessions. The crisis counselor should treat each encounter as if it will be the only one, assisting the survivor with identifying needs and goals. 191 16I181 Chapter 5: Crisis Counseling Assistance and Training Program Finally, while a traditional mental health professional will make a diagnosis and treat mental illnesses, the crisis counselor will avoid classifying, labeling, or diagnosing people in any way. The crisis counselor keeps no formal individual records or case files. Differences of traditional mental health and the CCP services can be seen in Figure 36. Figure 36: Mental Health vs Crisis Counseling Services Traditional Mental Health Crisis Counseling Office based Home and community based Diagnoses and treats mental illnesses Assesses strengths and coping skills Focuses on personality and functioning Seeks to restore or improve functioning Examines content Accepts content at face value Explores past experiences and their influence on current problems Validates common reactions and experiences Has psychotherapeutic focus Has psycho-educational focus Keeps records,charts, case files, etc. Does not collect any identifying information C. Services Funded Through the CCP The CCP award funds primary and secondary services. Primary services are high-intensity and include crisis counseling,public education, and community support. Secondary services are those that have a broader scope and are less intense and include development and distribution of psycho-educational material and public service announcements. Services that the program funds are described in Figure 37. Figure 37: Services Funded through the CCP Services Description Individual crisis Helps survivors understand their reactions,improve coping strategies,reviews counseling their options,and connect with other individuals in agencies that may assist them. Basic supportive or General support and information on resources and services available to disaster educational contact survivors. Group crisis Group sessions led by trained crisis counselors who offer skills to help survivors counseling cope with their situations and reactions. Public education Information and education about typical reactions,helpful coping strategies,and available disaster related resources. 192 1611131 Chapter 5: Crisis Counseling Assistance and Training Program Figure 37: Services Funded through the CCP Services Description Community Relationship building with community resource organizations,faith-based networking and groups, and local agencies. support Assessment, Adult and child needs assessment and referral to additional disaster relief referral, and services,mental health,or substance abuse treatment. resource linkage Development and distribution of Flyers,brochures,tip sheets,educational materials, and website information educational developed and distributed by the CCP staff. materials Media and public Media activities and public messaging in partnership with local media outlets, services STTL,charitable organizations,or other community brokers. announcements D. General Conditions of Eligibility for a Federal CCP Award All of the following conditions must be met for an entity to be considered by FEMA and Eligible CCP Recipients Substance Abuse and Mental Health Services The definition of a recipient,as per this Administration(SAMHSA) for a Federal guidance,is a state,territorial,or tribal CCP award:160 government mental health agency,or other local • The President must declare a major or private mental health organization which is designated by the Governor,GAR,or Tribal disaster approved for IA. Chief Executive,to receive funds under Section • The need for crisis counseling services 416 of the Stafford Act. must be beyond the capabilities of the This definition aligns with the program specific SLTT government to provide due to definition of a grantee, as per 2 C.F.R. § 206.171 the severity and magnitude of the (b)(5), and the Federal award definition of a major disaster. recipient,as per 2 C.F.R. §200.86. • A CCP needs assessment must be initiated within 10 days of the date that IA was approved on the major disaster. • The state,territorial, or tribal government mental health agency, or local or private mental health organization must be designated by the Governor, Governor's Authorized Representative (GAR), or Tribal Chief Executive. • The Federal award packet must be complete and submitted by the appropriate program application deadline. o ISP: Application is due no later than 14 days from the date that IA was approved on the major disaster declaration. o RSP: Application is due no later than 60 days from the date that IA was approved on the major disaster declaration. 193 161161 Chapter 5: Crisis Counseling Assistance and Training Program The CCP application deadlines are set by regulation and cannot be waived or extended. E. Waivers to Existing Policy Any waivers to this CCP Guidance must be submitted in writing,with justification,to the FEMA IA Division Director for consideration and a determination. F. Authorities FEMA is authorized to fund mental health assistance and training activities for survivors impacted by a Presidential major disaster declaration approved for IA under Section 416 of the Stafford Act,161°162 implementing regulations found in 44 C.F.R. § 206.171, and Federal award regulations found in 2 C.F.R. Part 200. G. Partner Organizations The Center for Mental Health Services (CMHS), within the SAMHSA,works in partnership with FEMA through an interagency agreement to provide technical assistance, consultation, award administration,program oversight, and training for state,territory, and tribal mental health authorities. H. Types of Assistance The CCP is comprised of two separate Federal award programs,the Immediate Services Program (ISP) and the Regular Services Program (RSP). The ISP is not a prerequisite for an RSP,nor is an RSP required if an ISP has been approved; however, separate Federal award applications and needs assessments must be completed for both of the programs, if both are requested. For more information on the ISP, see Chapter 5, II. For more information on the RSP, see Chapter 5, 111. For additional information on staffing, stress management, data collection, and quality assurance, please see Chapter 5, IV. 194 1 X61161 Chapter 5: Crisis Counseling Assistance and Training Program II. Immediate Services Program A. Period of Assistance for ISP The ISP provides funds for up to 60 days of services immediately following the date IA was approved on the major disaster declaration. If needed, a state,territorial, or tribal government may request a 30-day extension to the period of performance in writing to the appropriate FEMA RA. An extension will only be considered if an RSP application will be submitted. Thereafter, an additional 30 days may be requested while the RSP application is under Federal review.163 B. Pre-Award Assessment and Application This section covers the pre-award considerations and process of applying for an ISP. 1. Needs Assessment Tailoring the Program to the The purpose of the needs assessment is to Population provide an estimate of the size and cost of the program needed and to determine if When assessing the needs of the supplemental Federal assistance is required. affected population,it is important to consider the proportion and effect on vulnerable The factors of the needs assessment must populations,including the elderly,people with include: disabilities and others with access and • An estimate of the number of disaster functional needs,children,and those with low survivors requiring assistance; English proficiency.The program may be tailored to meet the needs of the specific • A description of the SLTT government community. For instance, if a high proportion resources and capabilities; and of children were impacted,adding a children's coordinator in your staffing plan may be • Justification of why the SLTT beneficial. government cannot meet the needs. 195 Chapter 5: Crisis Counseling Assistance and Training Program 1 6 I 1 B 1 Figure 38: ISP Application Required Information and Documents • The geographical areas within the designated disaster area for which services will be provided; • An estimate of the number of disaster survivors requiring assistance; • A description of the STTL-resources and capabilities,and an Information explanation of why these resources cannot meet the need; • A description of activities from the date of the disaster incident to the date of application; • A plan of services to be provided to meet the identified needs; and • A detailed budget,showing the cost of proposed services separately from the cost of reimbursement for any eligible services provided prior to the application. The OMB approved ISP Application(1660-0085)must be completed ISP Application and signed by the Governor or Tribal Chief Executive, or their Authorized Representative. A Federal form that OMB requires for Federal award applications.All Request for Federal entities that apply for CCP funds must submit a completed SF-424 Assistance(SF-424) signed by the Governor or Governor's Authorized Representative,or equivalent authorized representative for the tribe. Budget Information for Non- A Federal form OMB requires for Federal award applications. Construction Programs(SF- Complete"Section B—Budget Categories," column one only,for the 424A) total CCP budget. Assurances for Non- Construction Programs(SF- A Governor,or Governor's Authorized Representative signature is 424B) required. Budget Narrative The budget narrative should include a detailed justification for all cost categories requested in the SF-424A. Lobbying,Drug-Free Workplace, and Disbarment and Suspension and Other Responsibility Matters must be on file with FEMA. The state, Assurances territorial,or tribal government must acknowledge that the forms are in compliance with the state and/or tribal/FEMA agreement and the most current Department of Homeland Security (DHS) Standard Terms and Conditions. 196 1611B 1 Chapter 5: Crisis Counseling Assistance and Training Program 2. Applying for the Federal ISP Award © ISP Award The cover letter for the ISP application should be addressed Details to the applicable FEMA RA. A completed and signed After a Presidential disaster declaration that includes IA, application and Federal forms states,territories, and tribes may apply for the ISP. An ISP are required to apply for the application package must be submitted to FEMA and ISP.For application assistance, SAMHSA within 14 days of the date IA was approved on call SAMHSA DTAC at 1- the disaster. This application deadline is set by regulation 800-308-3515. and cannot be waived or extended. An ISP application package represents the Governor or Tribal Chief Executive's agreement and/or certification: • That the requirements are beyond the SLTT governments' capabilities; • That the program, if approved, will be implemented according to the plan contained in the application approved by the applicable RA; • To maintain close coordination with and provide reports to the RA, FEMA JFO and FEMA HQ staff, and SAMHSA Project Officer; and • To include mental health disaster planning in the state,territory, or tribe's emergency plan prepared under Title II of the Stafford Act. The application must contain the following information and documentation to be considered for an award(see CCP Online Toolkit). 3. Instructions for Submission of the ISP Application Package Prior to the 14-day application deadline, the state, territory, or tribe must mail an original hard copy of the completed ISP application packet to the applicable Federal Coordinating Officer. In order to expedite the review process, it is helpful if the state,territory, or tribe submits an electronic copy of the application to the applicable FEMA Joint Field Office(JFO), FEMA Headquarters (HQ), and SAMHSA staff. Once received,the FEMA Human Services Group Supervisor at the FEMA JFO, FEMA Community Services Specialist at FEMA HQ, and the SAMHSA Project Officer will review the application to ensure all required documentation meet the minimum eligibility requirements per 44 C.F.R. § 206.171 and the General Terms and Conditions outlined in 2 C.F.R. § 200.210. 197 1611B1 Chapter 5: Crisis Counseling Assistance and Training Program 4. Budget The ISP budget narrative must justify the proposed budget for the state,territorial, or tribal government and sub-recipients and each individual service provider's budget. The narrative must provide a justification of the costs and an itemization for each line of the budgets. Pre-Award Costs—Allowable: Pre-award costs are those which are: a) incurred prior to the effective date of the Federal award, and b) directly pursuant to the negotiation and in anticipation of the Federal award where such costs are necessary for efficient and timely performance of the scope of work. Such costs are allowable under the ISP award only to the extent that they would have been allowable if incurred after the date of the Federal award and only with written approval of the Federal Coordinating Officer(FCO).164 The state, territorial, or tribal government may seek reimbursement for pre-award costs associated with crisis counseling services provided from the date of the disaster incident to the date of major disaster declaration. The state,territorial, or tribal government must document the crisis counseling services provided and justify the costs. Documentation should include the following: • Types of crisis counseling services provided • Location of service provision • Types of staff who provided the services • Hourly rates of staff who provided the services • Number of hours that staff worked • Types and number of disaster survivors who received services The state,territorial, or tribal government may seek reimbursement only for crisis counseling services and not for any other type of behavioral health response. Crisis counseling services are typically provided during the immediate disaster response phase to survivors and their families, first responders, and other individuals directly affected by the disaster. Typical locations of service provision in the immediate disaster response include shelters, family assistance centers, homes, or other community settings. Services often are provided by behavioral health agency staff, local behavioral health service provider staff, or members of disaster behavioral health response groups. Reimbursement for staff costs is allowable if it can be clearly demonstrated that the normal duties of the staff(if employed by the state, territorial, or tribal government during the disaster) were back-filled during the disaster response. Indirect Costs—Unallowable: FEMA does not authorize the use of funds for indirect costs. Indirect costs, including management costs, are defined as costs not directly chargeable to a specific project. Please note that even if an indirect cost rate is established, it is subject to statutory and administrative limitations. A CCP award recipient or provider is not entitled to an 198 161181 Chapter 5: Crisis Counseling Assistance and Training Program established rate for services provided under the CCP award. The program's statutes,regulations, and policy govern whether any indirect costs are eligible. Section 324 of the Stafford Act requires FEMA to establish management cost rates through regulations. At this time, FEMA does not have regulations that govern the eligibility of indirect costs for the CCP. Salaries and Wages: Salary compensation must be reasonable in amount and in alignment with local prevailing rates for the position funded. Fringe Benefits: Fringe benefits may be charged directly to the grant. Claimed costs must be reasonable and confirm to established policies for the state,territory, or tribe. Use of a pre- established provisional rate requires allocation to total salary costs. Rates must be adjusted to actuals at the year-end and rates and should be reviewed at least once annually. Consultant Costs: Consultant costs must be supported by a consulting agreement that documents the service to be performed, cost, and applicable time periods. Documentation to support need,reasonable rates, and consultant expertise must be maintained, together with evidence of work product. Equipment: The state,territory, or tribe obtains title to equipment acquired under the CCP award and is subject to the conditions outlined in 2 C.F.R. § 200.313, including these requirements: • To use the equipment for the authorized purposes of the project until funding for the project ceases, or until the property is no longer needed for the purposes of the project. • To not encumber the property without approval of FEMA. • To use and dispose of the property in accordance with 2 C.F.R. § 200.313. • To use the equipment in a manner consistent with the purposes of the CCP award and to benefit the beneficiaries of the CCP project. Supplies: FEMA retains an interest in any unused supplies exceeding $5,000 in total aggregate value upon termination or completion of the CCP if they are not needed for any other Federal award. The state,territory, or tribe must compensate FEMA for its share of the supplies in compliance with 2 C.F.R. § 200.313 and § 200.314. As long as FEMA retains an interest in supplies, the state,territory, or tribe must not use the supplies to provide services to other organizations for a fee that is less than private companies charge for equivalent services. Travel: Travel must be included in the budget for preapproval as part of the application process. During implementation,travel costs must be supported by travel expense reports detailing employee name,the reason for the trip, and itemized expenses claimed. Claimed costs should be charged according to the award recipient's travel policy,which requires prior approval from FEMA and SAMHSA, complies with OMB cost principles, and provides expenditure limitations. Major items of expense (e.g., airfare, lodging)must be supported by receipts. 199 161181 Chapter 5: Crisis Counseling Assistance and Training Program Other: The budget may identify costs that are unique to the disaster and area impacted but do not fall into one of the prescribed cost categories listed above. Costs must be supported by adequate documentation(invoices,receipts, etc.). Consult with the FEMA Specialists or SAMHSA Program Officer to determine which costs are allowable under this cost category. Contractual Costs: A state, territory, or tribe will follow its established policies and procedures used for procurements from non-Federal funds when procuring property and services under a Federal award. All other states, territories or tribes will follow the requirements in 2 C.F.R. § 200.318, General procurement standards, through § 200.326, Contract provisions. All states, territories or tribes should review the procurement standards outlined in 2 C.F.R. § 200.317 through § 200.326. For more information on allowable and unallowable costs, refer to the Appendix F. C. Approval Process for ISP The FCO may approve or deny the ISP in coordination with SAMHSA. The program may be approved for a period of performance of 60 days from the date of award if: • A complete application is received no later than 14 days from the date of declaration; and • There is a need for the program clearly articulated in the application. If approved, the FCO will submit a written approval with justification to the state, territorial, or tribal government agency receiving the award. The program may be denied if: • A complete application is not received by 14 days from the date of declaration; or • The application lacks sufficient information to justify the need for the program. If denied,the FCO must submit a written denial with justification to the state, territorial, or tribal government agency that applied for the award and the GAR. 1. Federal and Congressional Review Process for ISP Once submitted, the non-Federal entity's CCP application will go through a review by FEMA HQ, FEMA JFO, and FEMA Region staff for completeness, cost-effectiveness, and feasibility of the non-Federal entity's CCP application. The FEMA FCO will issue a determination. All Federal awards greater than$1M must be routed to the Congressional Appropriations Committee for advanced notification review. This process may add multiple weeks to the timeline before obligating the Federal award. Once the notification process is complete,the FEMA FCO is notified that the funds can be released and the FCO may issue the notice of award to the recipient after a minimum of 72 hours. 200 1611B1 Chapter 5: Crisis Counseling Assistance and Training Program D. Notice of Award (NOA) for ISP When the non-Federal entity has been approved for a Federal CCP award, they will receive a Notice of Award(NOA). The NOA is the official document notifying the recipient and others that a Federal award has been made. The recipient will receive a NOA from the applicable FEMA RA. The NOA contains all terms and conditions of the Federal award and supporting documentation for recording the obligation of Federal fund in the recipients accounting system. Important information included in the NOA: • The start and end dates for the program's period of performance • The award amount • Name of the FEMA and SAMHSA Program Officers • Reporting requirements 1. Conditions of Award Conditions of Award, or Terms and Conditions and/or Special Conditions,are requirements that the recipient must satisfy within the timeframe specified in the NOA. Failure to comply with all terms and conditions of a Federal award may result in funding restrictions, award termination, and/or denial of any future funding. E. Post-Award Requirements This section covers the post-award requirements of the Immediate Services Program, including training requirements, reporting requirements, and extensions. 1. Training Training materials and recommendations for qualified trainers are provided by SAMHSA and through SAMHSA DTAC. Often,personnel from other assistance and disaster relief agencies are invited to attend The required standard CCP trainings are organized into modules that are provided to recipients by SAMHSA DTAC once a CCP is approved. Required trainings include: • Core Content Training: This is the basic CCP skills-building training and includes administrative procedures and data collection information specific to the program. The course takes place in 2 days, during which time crisis counselors are provided with critical information and skills related to individual, group, and community outreach strategies. This training is conducted during the first few weeks of the ISP. However, ongoing training must be provided to ensure all new crisis counselors receive the Core Content Training prior to working independently within the program. 2. Reporting Requirements for the ISP The recipient must submit to the appropriate FEMA FCO:165 201 1611B1 Chapter 5: Crisis Counseling Assistance and Training Program • A mid-program report only when an RSP award application is being prepared and submitted. This report will be included as part of the RSP Federal award application; • A final program report; and • A financial status report. This documentation is due no more than 90 days after the last day of immediate services funding. 3. Extensions a. ISP Extension of the Period of Performance ISP funding shall not exceed 60 days following the disaster declaration,unless an RSP award application is submitted for consideration of additional Federal funding. ISP funding may continue up to 30 additional days if an RSP award application is submitted to allow time for FEMA and SAMHSA to review the application. Furthermore, if extenuating circumstances exist, the FEMA RA may authorize an additional extension of up to 30 days. During the ISP period of performance, the state,territorial, or tribal government must notify FEMA Specialist and SAMHSA Program Officer, no later than 45 days from the date of declaration, if they are planning to submit an application for the RSP award.166 b. ISP No-Cost Administrative Extension All costs associated with finalizing the program and financial reports are allowable costs, as long as those costs are included in the approved ISP budget. In order for these costs to be covered,the state, territorial, or tribal government must request for a no-cost administrative extension to the ISP award period of performance. The state,territorial, or tribal government must submit the written extension request to their FEMA Regional office prior to the end of the period of performance. A no-cost administrative extension can be granted for up to 30 days when requested in writing and approved by the FCO. In exceptional circumstances, an additional 30 day no-cost administrative extension may be approved by FEMA if the submitted written request demonstrates sufficient need. Any programmatic or service activities (not related to the ISP final report) conducted after the period of performance will not be funded under the CCP award. Any extension granted for the ISP once the RSP is awarded is only for work associated with finalizing the program and financial reports of providers to the recipient. F. Closeout and Records Retention 1. ISP Closeout The final ISP program narrative and fiscal report(Federal Financial Report SF-425) are due to the FCO, no later than 90 calendar days after the last day of the ISP award's period of performance. The state, territorial, or tribal government must liquidate all obligated balances, and show the exact balance of funds and total expenditures, which must be consistent with the line- item report. The final SF-425 must show the total Federal award amount, total Federal 202 16181 Chapter 5: Crisis Counseling Assistance and Training Program expenditures, and the unobligated balance. The reported total Federal expenditures reflected on the SF-425 report must be consistent with the line-item expenditures reflected in the program report. 2. ISP Record Retention Financial records, supporting documents, statistical records, and all other records pertinent to a Federal award must be retained for a period of three years from the date of submission of the final expenditure report or, for Federal awards that are renewed quarterly or annually, from the date of the submission of the quarterly or annual financial report, respectively, as reported to the Federal awarding agency or pass-through entity in the case of a sub-recipient.167 The non-Federal entity is responsible for returning any funds that are drawn down but remain unliquidated on non-Federal entity financial records. 203 161161 Chapter 5: Crisis Counseling Assistance and Training Program III. Regular Services Program A. Period of Assistance for RSP The RSP provides funds for up to nine months of services immediately following the date of the Notice of Award. If needed, state,territorial, or tribal government may request up to a 90-day extension to the period of performance in writing to the appropriate FEMA Regional Administrator(RA); this request must document the extraordinary circumstances and what the additional time will allow them to accomplish. In limited circumstances, such as disasters of catastrophic nature, the FEMA RA may extend the period of performance for more than 90 days were he or she deems it to be in the public interest.168 B. Pre-Award Assessment and Application This section covers the pre-award requirements and process of applying for a Regular Services Program. 1. Needs Assessment The purpose of the needs assessment is to provide an estimate of the size and cost of the program needed and to determine if supplemental Federal assistance is required. The factors of the needs assessment must include: ow Tailoring the Program to the • An estimate of the number of disaster Population survivors requiring assistance; When assessing the needs of the • A description of the SLIT government affected population, it is important to consider resources and capabilities; and the proportion and effect on vulnerable populations,including the elderly,people with • Justification of why the SLTT disabilities and others with access and government cannot meet the needs. functional needs,children,and those with low English proficiency.The program may be 2. Applying for the Federal RSP Award tailored to meet the needs of the specific community. For instance,if a high proportion The cover letter for the RSP application should of children were impacted,adding a children's be addressed to the applicable FEMA RA. As coordinator in your staffing plan may be per the 2018 Delegation of Authority,the FEMA beneficial. RAs have the authority to approve or disapprove an application for the RSP.Note that the Disaster Recovery Manager authority does not carry the delegation of the RSP determination. To delegate the authority to approve or deny the RSP,the FEMA RA must specify in writing which specific program is being delegated. After a Presidential disaster declaration that includes IA, states,territories, and tribes may apply for the RSP. After a Presidential disaster declaration that includes IA, states, territories, and tribes may apply for the RSP. The RSP application package must be submitted to FEMA and 204 161161 Chapter 5: Crisis Counseling Assistance and Training Program SAMHSA no later than 60 days following the date IA was approved on the disaster. This application deadline is set by regulation and cannot be waived or extended. An RSP application package represents the Governor or Tribal Chief Executive's agreement and/or certification: • That the requirements are beyond the SLTT government's capabilities; • That the program, if approved,will be implemented according to the plan contained in the application approved by the applicable FEMA RA; • To maintain close coordination with and provide reports to the applicable FEMA RA, FEMA HQ, and FEMA JFO staff, and SAMHSA Project Officer and Grants Officer; and • To include mental health disaster planning in the state, territory, or tribe's emergency plan prepared under Title II of the Stafford Act. The application must contain the following information and documentation to be considered for a RSP award(see CCP Toolkit): Figure 39: RSP Application Required Information and Documents • The geographical areas within the designated disaster area for which services will be provided; • An estimate of the number of disaster survivors requiring assistance; • A description of the STTL resources and capabilities,and an Information explanation of why these resources cannot meet the need; • A description of activities from the date of the disaster incident to the date of application; • A plan of services to be provided to meet the identified needs; and • A detailed budget, showing the cost of proposed services separately from the cost of reimbursement for any eligible services provided prior to the application. The OMB approved RSP Application(1660-0085)must be completed RSP Application and signed by the Governor or Tribal Chief Executive,or their Authorized Representative. 205 1 61181 Chapter 5: Crisis Counseling Assistance and Training Program Figure 39: RSP Application Required Information and Documents A Federal form that OMB requires for Federal award applications. All Request for Federal entities that apply for CCP funds must submit a completed SF-424 Assistance(SF-424) signed by the Governor or Governor's Authorized Representative,or equivalent authorized representative for the tribe. Budget Information for Non- A Federal form OMB requires for Federal award applications. Construction Programs(SF- Complete"Section B—Budget Categories,"column one only for the 424A) total CCP budget. The budget narrative must include a detailed justification for all cost Budget Narrative categories requested in the SF-424A. Refer to the Appendix Section for additional instructions on completing the budget narrative. A required form for an RSP that ensures pertinent documents, Health and Human Services information, certifications, and assurances are included in the (HHS)Checklist application,to include acknowledgement by the state,territorial,or tribal government that the forms are in compliance with the most current DHS Standard Terms and Conditions. Disclosure of Lobbying A required form for the CCP RSP. The state,territorial,or tribal Activities(SF-LLL) government may indicate"N/A"on the form if it is not applicable. Project/Performance Site A Federal form required for the CCP RSP. The state,territorial,or Locations tribal government should complete a form for each site where providers will perform project work. 3. Instructions for Submission of the RSP Application Package Prior to the 60-day application deadline,the state,territory, or tribe must mail an original hard copy of the completed RSP application package to the applicable FEMA RA. In order to expedite the review process, it is helpful if the state,territory, or tribe submits an electronic copy of the application to the applicable FEMA JFO Human Services Group Supervisor, FEMA HQ Community Services Program Specialist, and SAMHSA Project Officer. Once received,the FEMA Human Services Group Supervisor at the FEMA JFO, FEMA Community Services Specialist at FEMA HQ, and the SAMHSA Project Officer and Grants Officer will review the application to ensure all required documentation meet the minimum eligibility requirements per 44 C.F.R. § 206.171 and the General Terms and Conditions outlined in 2 C.F.R. § 200.210. 4. Budget The RSP budget narrative must justify the proposed budget for the state,territorial, or tribal government and sub-recipients and each individual service provider's budget. The narrative must provide a justification of the costs and an itemization for each line of the budgets. 206 161 Chapter 5: Crisis Counseling Assistance and Training Program 1 B 1 Indirect Costs—Unallowable: FEMA does not authorize the use of funds for indirect costs. Indirect costs, including management costs, are defined as costs not directly chargeable to a specific project. Please note that even if an indirect cost rate is established, it is subject to statutory and administrative limitations. A CCP award recipient or provider is not entitled to an established rate for services provided under the CCP award. The program's statutes,regulations, and policy govern whether any indirect costs are eligible. Section 324 of the Stafford Act requires FEMA to establish management cost rates through regulations. At this time, FEMA does not have regulations that govern the eligibility of indirect costs for the CCP. Salaries and Wages: Salary compensation must be reasonable in amount and in alignment with local prevailing rates for the position funded. Fringe Benefits: Fringe benefits may be charged directly to the grant. Claimed costs must be reasonable and confirm to established policies for the state, territory, or tribe. Use of a pre- established provisional rate requires allocation to total salary costs. Rates must be adjusted to actuals at the year-end and rates and should be reviewed at least once annually. Consultant Costs: Consultant costs must be supported by a consulting agreement that documents the service to be performed, cost, and applicable time periods. Documentation to support need,reasonable rates, and consultant expertise must be maintained, together with evidence of work product. Equipment: The state, territory, or tribe obtains title to equipment acquired under the CCP award and is subject to the conditions outlined in 2 C.F.R. § 200.313, including these requirements: • To use the equipment for the authorized purposes of the project until funding for the project ceases, or until the property is no longer needed for the purposes of the project. • To not encumber the property without approval of FEMA. • To use and dispose of the property in accordance with 2 C.F.R. § 200.313. • To use the equipment in a manner consistent with the purposes of the CCP award and to benefit the beneficiaries of the CCP project. Supplies: FEMA retains an interest in any unused supplies exceeding $5,000 in total aggregate value upon termination or completion of the CCP if they are not needed for any other Federal award. The state, territory, or tribe must compensate FEMA for its share of the supplies in compliance with 2 C.F.R. § 200.313 and § 200.314. As long as FEMA retains an interest in supplies,the state, territory, or tribe must not use the supplies to provide services to other organizations for a fee that is less than private companies charge for equivalent services. Travel: Travel must be included in the budget for preapproval as part of the application process. During implementation,travel costs must be supported by travel expense reports detailing employee name, the reason for the trip, and itemized expenses claimed. Claimed costs should be 207 16I1B1 Chapter 5: Crisis Counseling Assistance and Training Program charged according to the award recipient's travel policy, which requires prior approval from FEMA and SAMHSA, complies with OMB cost principles, and provides expenditure limitations. Major items of expense (e.g., airfare, lodging)must be supported by receipts. Other: The budget may identify costs that are unique to the disaster and area impacted but do not fall into one of the prescribed cost categories listed above. Costs must be supported by adequate documentation(invoices, receipts, etc.). Consult with the FEMA Specialists or SAMHSA Program Officer to determine which costs are allowable under this cost category. Contractual Costs: A state,territory, or tribe will follow its established policies and procedures used for procurements from non-Federal funds when procuring property and services under a Federal award. All other states, territories or tribes will follow the requirements in 2 C.F.R. § 200.318, General procurement standards,through § 200.326, Contract provisions. All states, territories or tribes should review the procurement standards outlined in 2 C.F.R. § 200.317 through § 200.326. For more information on allowable and unallowable costs,refer to the Appendix F. C. Approval Process for RSP The RA may approve or deny the RSP in coordination with SAMHSA. The program may be approved for a period of performance of nine months from the date of award if: • A complete application is received no later than 60 days from the date of declaration; and • There is a need for the program clearly articulated in the application. If approved, the RA must submit a written approval with justification to the Chief of the Emergency Mental Health and Traumatic Stress Services Branch at SAMHSA for processing and CCP Toolkit award of the grant to the state, territorial, or tribal government agency receiving the award. SAMHSA and the SAMHSA Disaster Technical Assistance Center The program may be denied if: (DTAC),in collaboration with FEMA,have established and maintain an online CCP • A complete application is not received by Toolkit containing required documents and 60 days from the date of declaration; or tools to assist stakeholders in preparing, applying,implementing,managing, and • The application lacks sufficient closing out a CCP. information to justify the need for the program. If you would like to speak with a SAMHSA Project Officer,please email SAMHSA If denied, the RA must submit a written denial DTAC at DTAC@samhsa.hhs.gov or call with justification to the applicant agency and 1-800-308-3515 (Monday-Friday 9 A.M. to GAR. 5 P.M.Eastern time) and a staff member , will forward your request to the appropriate project officer. 208 161181 Chapter 5: Crisis Counseling Assistance and Training Program Under the 2018 Delegation of Authority, the FEMA RAs have authority to approve or deny an application for the RSP. This authority is not delegated with the DRM authority. 1. Federal and Congressional Review Process for RSP Once the RSP application is submitted,the non-Federal entity's RSP application will go through a review by SAMHSA, FEMA HQ, FEMA JFO, and FEMA Region staff for completeness, cost- effectiveness, and feasibility of the non-Federal entity's RSP application. The FEMA RA will issue a determination. All Federal awards greater than$1M must be routed to the Congressional Appropriations Committee for advanced notification review. This process may add multiple weeks to the timeline before obligating the Federal award. Once the notification process is complete,the FEMA RA is notified that funds can be released and the RA may issue the notice of award to the recipient after a minimum of 72 hours. D. Notice of Award(NOA) for RSP When the non-Federal entity has been approved for a Federal CCP award,they will receive a Notice of Award (NOA). The NOA is the official Federal award document notifying the award recipient and others that an award has been made. The recipient will receive a NOA from SAMHSA. The NOA contains all terms and conditions of the Federal award and supporting documentation for recording the obligation of Federal fund in the recipients accounting system. Important information included in the NOA: • The start and end dates for the program's period of performance • The award amount • Name of the FEMA and SAMHSA Program Officers • Name of the SAMHSA Grants Management Officer • Reporting requirements 1. Conditions of Award Conditions of Award, or Terms and Conditions and/or Special Conditions, are requirements that the recipient must satisfy within the timeframe specified in the NOA. Failure to comply with all terms and conditions of a Federal award may result in funding restrictions, award termination, and/or denial of any future funding. E. Post-Award Requirements This section covers the post-award requirements for a Regular Services Program, including training, reporting requirements, and extensions. 209 161181 Chapter 5: Crisis Counseling Assistance and Training Program 1. Training Training materials and recommendations for qualified trainers are provided by SAMHSA and through SAMHSA DTAC. Often,personnel from other assistance and disaster relief agencies are invited to attend The required standard CCP trainings are organized into modules that are provided to recipients by SAMHSA DTAC once a CCP is approved. Required trainings include: • Core Content Training: This is the basic CCP skills-building training and includes administrative procedures and data collection information specific to the program. The course takes place in 2 days, during which time crisis counselors are provided with critical information and skills related to individual, group, and community outreach strategies. This training is conducted during the first few weeks of the ISP; however, if no ISP is implemented, the training will need to be conducted during the RSP. However, ongoing training must be provided to ensure all new crisis counselors receive the Core Content Training prior to working independently within the program. • Transition to RSP Training: During this course, existing and newly hired CCP staff review key concepts related to crisis counseling skills,with an emphasis on longer-term service provision. This curriculum highlights how the needs of disaster survivors and communities evolve in the RSP and differ from those encountered in the immediate disaster response. If the state, territory, or tribe applied for the RSP only, it should begin with the Core Content Training. This training usually takes place as soon as formal RSP grant funding is awarded. • RSP Mid-Program Training: This training typically is held 3-6 months into the RSP. Issues of staff morale and stress management for sub-recipients are addressed. A focus is maintained on how crisis counselors will continue to provide services under difficult circumstances. This training includes problem-solving techniques for specific issues commonly encountered in the CCP such as emerging substance use or significant mental health needs. It also begins to address the subject of program phasedown. • Disaster Anniversary Training: This training is held several weeks before the first anniversary of the disaster event. Crisis counselors are taught expected anniversary reactions and intervention strategies. This training can be paired with the Mid-program Training or the Phasedown Training, depending on the anniversary date. • RSP Phasedown Training: This training should take place six—eight weeks prior to the scheduled phasedown of the CCP. All CCP administrative and outreach staff attend. Topics in this training include staff stress management and future planning, assisting the program and its staff to document the event,planning to leave a legacy for the community, resource linkage and referrals, and continuity of service via community partnerships. The CCP training plan is not limited to providing required trainings. The state,territory, or tribe should identify and deliver additional trainings based on specific disaster and staff needs. 210 1 b11B1 Chapter 5: Crisis Counseling Assistance and Training Program Additional recommended training areas include more in-depth learning about specific crisis counseling interventions, as well as cultural competence, working with children, and mental health or substance use assessment and referral. To promote community partnerships,the CCP leadership is encouraged to share training opportunities with other disaster and community providers. In quarterly reports,programs should document training sessions held, describe the content of the sessions, and note the number of people who attended. As highlighted in the training section of this document, required training takes place throughout the program period and should be planned in a proactive manner. Optional training may take place, as deemed appropriate by the state,territory, or tribe. 2. Reporting Requirements for the RSP For the RSP, quarterly reports, including documentation on financial expenditures,must be submitted to the FEMA Headquarters Program Specialist; the FEMA JFO Specialist(or Regional Specialist if the FEMA JFO is demobilized); and the SAMHSA Project Officer. Quarterly reports are due 30 calendar days after the end of each three-month reporting period (refer to the NOA for specific due dates). The quarterly report must include a budget expenditure report for the state, territorial, or tribal government and any sub-recipients, showing: • The approved budget; • Costs incurred and obligated expenditures; • Approved budget modifications; and • Remaining balance of unspent funds. The report should be consistent with the cost categories and budget line items listed in the approved budget. If only a portion of award funding is disbursed at the start of the RSP,the state, territorial, or tribal government must submit a letter of request for the second allotment of funds with the first quarterly RSP report. 3. Extensions RSP Extension of the Period of Performance The RSP provides funds for up to nine months of services immediately following the date of the NOA. If needed, state,territorial, or tribal government may request up to a 90-day extension to the period of performance in writing to the appropriate FEMA RA; this request must document the extraordinary circumstances and what the additional time will allow them to accomplish. In limited circumstances, such as disasters of catastrophic nature, the FEMA RA may extend the period of performance for more than 90 days were he or she deems it to be in the public interest.169 RSP No-Cost Administrative Extension All costs associated with finalizing the program and financial reports are allowable costs, as long as those costs are included in the approved RSP budget. In order for these costs to be covered, 211 1611B1 Chapter 5: Crisis Counseling Assistance and Training Program the state,territorial, or tribal government must request for a 90-day no-cost administrative extension to the RSP award period of performance. The state, territorial, or tribal government must submit the written extension request to SAMHSA and FEMA no later than one month prior to the end of the period of performance. Any programmatic or service activities (not related to the RSP closeout) conducted after the period of performance will not be funded under the CCP award. When a state, territorial, or tribal government provides a sub-award to a sub-recipient, the state, territorial, or tribal government must include the start and end dates of the period of performance in the sub-award document. F. Closeout and Records Retention 1. RSP Closeout The final RSP program report and the Federal Financial Report SF-425 Corm (OMB form number 0348-0061) are due to FEMA and SAMHSA 90 calendar days after the end of the period of performance. Note that the reported total Federal expenditures reflected on the SF-425 report must be consistent with the line-item expenditures reflected in the program report. 2. RSP Record Retention Financial records, supporting documents, statistical records, and all other records pertinent to a Federal award must be retained for a period of three years from the date of submission of the final expenditure report or, for Federal awards that are renewed quarterly or annually, from the date of the submission of the quarterly or annual financial report, respectively, as reported to the Federal awarding agency or pass-through entity in the case of a sub-recipient.17°The non-Federal entity is responsible for returning any funds that are drawn down but remain unliquidated on non-Federal entity financial records. 212 161161 Chapter 5: Crisis Counseling Assistance and Training Program IV. Considerations for Implementation of ISP and RSP This section provides information regarding staffing a CCP, collecting data,modifying budget and program plans, and appealing various decisions regarding both an ISP and an RSP. A. Main Components of a Program Management Plan The components of the program management plan vary given the needs of the non-Federal entity and the scope of the disaster. Typical components include the following: • Performing ongoing needs assessment • Developing and effecting outreach strategies to identify and serve affected individuals, groups, and the community • Ensuring supervision and quality assurance at the state, territory or tribe and sub-recipient levels • Employing program media and marketing strategies • Recruiting and hiring staff • Providing training • Providing staff stress management • Ensuring effective fiscal management • Accomplishing program evaluation B. Staffing of the CCP The needs assessment will inform required CCP staff roles and the number of individuals needed for each position to be included in the staffing plan. The non-Federal entity determines how staff members are deployed to meet the needs of disaster survivors and at-risk groups. For safety and efficacy, crisis counselors typically are deployed in teams. Team deployment is linked with the CCP outreach strategy in order to target services to those individuals and groups identified to be in the greatest need. In its essential staffing,the CCP should reflect the cultural demographics of the affected area and use paraprofessionals with prior training and experience in the mental health and substance use fields. For additional information on training, refer to the CCP Toolkit. 1. Staff Stress Management Many staff members of a CCP are also survivors of the disaster. Interacting with disaster survivors is rewarding but may also produce strong levels of anxiety, frustration, anger, or depression in some workers. Sustained service provision can become debilitating when coupled with a staff member's personal experience of loss. It is, therefore, critical that ongoing staff stress management is integrated into the CCP at all levels of the program. All standard CCP trainings provided by SAMHSA include content on individual staff stress management. The program management plan developed by the recipient must include provisions for organizational stress management. Elements of an organizational stress management plan are as follows: • A clearly defined management and supervision structure 213 t611B1 Chapter 5: Crisis Counseling Assistance and Training Program • Defined purpose and goals • Functionally defined roles reinforced through effective supervision • Sound clinical consultation, support, and supervision • Supportive peer relationships • Active stress management program • Comprehensive training plan C. Data Collection, Evaluation, and Reporting Consistent and timely data collection and evaluation are necessary to measure success of outreach efforts and the changing needs of disaster survivors. The recipient's program management plan should include mechanisms to collect, examine, and react to immediate and changing needs encountered by crisis counselors. Frequent analysis of both CCP data and feedback provided by staff allows the program to evolve to meet needs as they arise. The process improves the program's behavioral health disaster response, documents the program's accomplishments, and provides accountability information to stakeholders. SAMHSA and FEMA also use data to justify program efforts, as well as to make modifications to the CCP model and program service delivery. The recipient is required to submit a summary of up-to-date program data with their programmatic quarterly and final reports. Procedures for data collection and evaluation include the following: • Establishment of quality control and assurance processes is necessary for data collection and analysis. Typical quality control procedures include management review of forms for completeness prior to approval; staff review for consistency and accuracy, and giving feedback to the sub-recipient-level supervisors; and staff developing ways to resolve errors in collected data forms. • All CCP administrators and managers should carefully review evaluation and reporting requirements. • The CCP award conditions require collecting information on specific forms in specific formats. This should not limit the state, territory, or tribe and sub-recipients in collecting additional information that will assist in both program improvement and process. The specific required forms are detailed in the NOA. • The Federal CCP award conditions require database development and data delivery to SAMHSA upon submission of each quarterly report and with the final report. • Data on service delivery must be collected using the Individual/Family Crisis Counseling Services Encounter Log, Group Encounter Log, Weekly Tally Sheet, and the Child/Youth and Adult Assessment and Referral Tools, each a part of the standard FEMA CCP Toolkit as approved by the OMB (OMB No. 0930-0270). The Participant Feedback Survey and Service Provider Feedback Survey are also included in the CCP Toolkit. 214 611B1 Chapter 5: Crisis Counseling Assistance and Training Program D. Quality Assurance The CCP is a time-limited program that must identify and address emergent issues related to both disaster survivor needs and operational realities, while developing and implementing solutions to improve program services. Quality assurance and quality improvement activities are developed even before the program begins and assist the state, territory, or tribe in reporting program highlights and issues to SAMHSA and FEMA through regular program monitoring and reporting. Activities related to quality assurance include the following: • Regular onsite supervision, training, and consistent communication between CCP management and workers providing services • Weekly meetings and regular submission of data collection forms to the SAMHSA Program Officer and FEMA Specialist • Phone and email communication whenever workers have questions or concerns • Collecting and organizing programmatic materials and data to continue to improve service provision and educational materials • Identifying problems or gaps in service through data and informant feedback • Redirecting resources and modifying the service plan • Conducting ongoing needs assessment • Providing information to workers to improve services E. General Provisions 1. Conflict of Interest Recipients and pass-through entities must disclose any real or potential conflicts to the FEMA Specialist and SAMHSA Program Officer within 15 days of learning of the conflict of interest. Sub-recipients must also disclose any real or potential conflict of interest to the pass-through entity as required by the recipient's conflict of interest policies, or any applicable state, territorial, or tribal government statutes or regulations. Conflicts of interest may arise during the process of FEMA and SAMHSA making a Federal award in situations where an employee, officer, or agent, any members of his or her immediate family, or his or her partner has a close personal relationship, a business relationship, or a professional relationship with a state, territorial, tribal government provider entity, recipient, sub- recipient, or FEMA employee. 2. Mandatory Disclosures All violations of Federal criminal law involving fraud,bribery, or gratuity violations potentially affecting the Federal award must be submitted in writing to the FEMA Specialist and SAMHSA Program Officer at the time of the application, or if the violation occurs after the time of application,no later than 15 days after confirmation that such a violation occurred. 215 1611131 Chapter 5: Crisis Counseling Assistance and Training Program F. Modifications to Budget and Program Plans The state, territory, or tribe is required to report deviations from the approved budget or project scope and request prior approval from the SAMHSA Project Officer and FEMA Specialist for budget and program plan revisions, in accordance with 2 C.F.R. § 200.308. States,territories, and tribes must request prior approval for the following: • Change in scope or the objective of the project or program. • Change in key personnel specified in the application or Federal award. • The disengagement from the project for more than three months, or 25% reduction in time devoted to the project,by the approved project director or principal investigator. • Unless described in the application and funded in the approved Federal award, the sub- awarding,transferring, or contracting out of any work under a Federal award. This provision does not apply to the acquisition of supplies, material, equipment, or general support services. • Incurrence of project costs 90 calendar days before the Federal awarding agency makes the Federal award. The Federal awarding agency is under no obligation to reimburse such costs if for any reason the state, territory, or tribe does not receive a Federal award or if the Federal award is less than anticipated and inadequate to cover such costs. (See also section on pre-award costs.) The Federal awarding agency may, at its option, restrict the transfer of funds among direct cost categories or programs, functions, and activities for Federal awards in which the Federal share of the project exceeds the Simplified Acquisition Threshold and the cumulative amount of such transfers exceeds or is expected to exceed 10% of the total budget as last approved by the Federal awarding agency. Changes to the program plan based on the evolving needs assessment may require that funding be moved from one line item to another or from one provider to another. The state,territory, or tribe has the authority to move funds,up to a cumulative 10% of the total budget, from one line item to another without requesting approval. Any budget adjustments that move a cumulative 11-24%of funds must be submitted in writing and approved by the FEMA Specialist, in collaboration with the SAMHSA Project Officer. Any budget adjustments that exceed a cumulative 25% of the total budget must be submitted in writing and approved by FEMA and the SAMHSA Project Officer and Grants Management Officer. Budget adjustments or modifications should be discussed with FEMA Specialist and SAMHSA Project Officer prior to submitting a request for additional funds. Use a Request for Budget Adjustment letter template available online at CCP Toolkit for Evaluating. The FEMA RA, in coordination with the SAMHSA Project Officer, is responsible for providing technical assistance to the state,territory, or tribe regarding budget adjustments. The RA approves any budget adjustment requests for the ISP or those up to 25% for the RSP. If the 216 161161 Chapter 5: Crisis Counseling Assistance and Training Program requested budget adjustment for an RSP exceeds 25%, the responsibility for approval belongs to the SAMHSA Grants Management Officer. G. Appeals 1. Appealing a Denial Determination A Federal award applicant may appeal FEMA's decision. This appeal must be submitted to the FEMA Individual Assistance Division Director(IADD), in writing, within 60 days of the date of the application decision'71. The appeal must include additional information justifying a reversal of the previous decision. The FEMA IADD shall review the material submitted, and after consultation with SAMHSA, notify the applicant within 15 days, in writing, of his or her decision. 2. Appeals of Remedies for Noncompliance The state, territorial, or tribal government may submit a written appeal letter(including supporting documentation), signed by the Governor, GAR, or Tribal Chief Executive,to the appropriate FEMA RA and SAMHSA within 15 days of the date of notification of the remedial action. The FEMA RA, after consultation with SAMHSA and FEMA HQ, will make an appeal determination within 15 days, in writing to the applicant. 3. Objections/Appeals of Decisions Regarding Allowable Costs The state, territorial, or tribal government may submit a written appeal letter(including supporting documentation), signed by the Governor, GAR, or Tribal Chief Executive,to the FEMA RA and SAMHSA within 15 days of the date of notification of the disallowed cost. The FEMA RA, after consultation with SAMHSA and FEMA HQ, will make an appeal determination within 15 days, in writing to the applicant. 4. Objections/Appeals of Termination or Suspension The state, territorial, or tribal government may submit a written appeal letter(including supporting documentation), signed by the Governor, GAR, or Tribal Chief Executive, to the FEMA RA and SAMHSA within 15 days of the date of notification of the suspension or termination action. The FEMA RA, after consultation with SAMHSA and FEMA HQ, will make an appeal determination within 15 days, in writing to the applicant. H. Procurement Requirements under a Federal Award Federal award recipients shall ensure that the process of soliciting CCP services is fair and transparent. Recipients must follow the same policies and procedures when procuring property and services under a Federal award that they follow for procurement from non-Federal funds. Recipients must ensure that any contract provisions as required by 2 C.F.R. § 200.326 Contract provisions are included on all purchase orders or contracts that draw from Federal funds. All other recipients, including sub-recipients of a state,territory, or tribe will follow the General procurement standards as required by 2 C.F.R. § 200.318 through § 200.326. 217 1 6 1 1 B 1 Chapter 6: Disaster Legal Services Chapter 6: Disaster Legal Services I. Overview When the President declares a major disaster that is approved for Individual Assistance (IA), FEMA, through an agreement with the Young Lawyers Division(YLD) of the American Bar Association,provides free legal help for survivors of that disaster through a request from the state, territorial, tribal, or local (SLTT) governments. Disaster Legal Services (DLS)provides confidential legal assistance to low-income individuals who are unable to secure legal services to meet their unmet disaster-caused needs without a cost-share. A. Period of Assistance DLS can be activated immediately following theim Fee-Generating Case IA declaration and continue until FEMA, in For the purposes of this section, coordination with the legal representatives and the a fee-generating case is one which would state, territorial, or tribal government determine not ordinarily be rejected by local that the hotline and services are no longer needed. lawyers as a result of its lack of potential remunerative value. B. Types of Assistance DLS is limited to cases that will not generate a fee for the survivor. Typically, local lawyers provide the following types of disaster legal services: • Help with insurance claims for doctors and hospital bills, loss of property, loss of life, etc.; • Drawing up new wills and other legal papers lost in the disaster; • Estate administration, including guardianships and conservatorships; • Consumer protection matters, remedies, and procedures; • Help with home repair contracts and Q1saster contractors; - t-eoa' Assists^ ' " • Counseling and advice about landlords/tenants; A Legal Aid representative helps a resident at • Preparing powers of attorney and a Disaster Recovery Center(DRC). guardianship materials; and • FEMA appeals and other disaster-related actions against the government. 218 1b1181 Chapter 6: Disaster Legal Services DLS cases that may generate a fee (such as lawsuits)are not covered by this service and may be referred to private lawyers through existing lawyer referral services in the affected area. It is important to note that DLS provides legal advice and not cash assistance. C. Authorities The FEMA DLS program is authorized under Section 415172 of the Stafford Act and implementing regulations found in 44 C.F.R. § 206.164. D. Partner Organizations FEMA partners with the YLD of the American Bar Association to provide DLS through a memorandum of agreement. YLD coordinates with participating attorneys, law firms,nonprofit legal services providers, Legal Services Corporation recipients, state and local bar associations, and pro bono organizations to provide legal assistance under the DLS Program. The disaster operation will pay for representatives from the American Bar Association overseeing the DLS program to travel to the disaster(FEMA JFO, DRC, etc.) to review and audit the program in progress at least once during the period of performance(POP) for that specific program. E. Conditions of Eligibility An individual is eligible for disaster legal services if they were directly affected by a Tools and Resources Presidentially-declared disaster, meet the definition of low-income and do not have the For more information, an individual may ' visit the American Bar Association's means to hire an attorney. website at: 1. Definition of low-income • American Bar Association Committee For the purpose of defining eligibility for on Disaster Response and Preparedness Disaster Legal Services assistance, low-income • Disaster Legal Services Program is used to refer to those disaster survivors who An have insufficient resources to secure adequate individual may also visit his or her local legal services, whether the insufficiency existed FEMA Disaster Recovery Center(DRC)for further referral information. prior to or resulted from the major disaster. 219 161181 Chapter 6: Disaster Legal Services II. Delivery of Services Once FEMA has activated the DLS program, the YLD will establish a toll-free hotline to receive calls and provide legal assistance services. In addition to the hotline, individuals can visit FEMA Disaster Recovery Centers (DRCs)where DLS representatives may be located. A. Program Approval Process The impacted state, territorial, or tribal government can request the DLS program through the Request for Presidential Disaster Declaration(FEMA Form 010-0-13). For individuals seeking DLS,there is no formal application process. Individuals can access these services by contacting the toll-free number established once the program has been activated. 220 161161 Chapter 6: Disaster Legal Services This page is intentionally blank. 221 161181 Chapter 7:Disaster Unemployment Assistance Chapter 7: Disaster Unemployment Assistance I. Overview The Disaster Unemployment Assistance(DUA)program may be available to state, territorial, and tribal governments to provide temporary benefits to individuals whose employment or self- employment has been lost or interrupted as a direct result of a major disaster and who are not eligible for regular unemployment insurance (UI). DUA is available when the major disaster results in a Presidential declaration providing for Individual Assistance(IA), which includes the DUA program. Individuals also receive re-employment services administered by the state/territory. There is no cost share. The DUA program is authorized under Section 410 of the Stafford Act. The U.S. Department of Labor 173 oversees the DUA program and coordinates with the Federal Emergency Management Agency(FEMA). DUA is administered by the state/territory UI agency acting as agents of the Federal Government. When DUA is approved under a direct tribal declaration,the program is administered through the state UI of the state in which the tribal headquarters is located. FEMA provides the funding for DUA payments and state administrative costs. DUA payments are made by state/territory UI agencies,under agreements with the Secretary of Labor,to eligible individuals unemployed as a direct result of the disaster. The Department of Labor implementing regulations for DUA are found at 20 C.F.R. § 625. More information is available in the current UI DUA Handbook. A. Period of Assistance DUA benefits are generally paid for up to 26 weeks beginning with the first week following the date the major disaster began, and ending with the 26th week following the date the major disaster is declared by the ■, W/N JOd Cf'NrEN 7 President. DUA will not be paid for any period of DISASTER I unemployment that occurs prior to the date of incident UNEMPLOYMENT ASSISTANCE nor for any period of unemployment which begins subsequent to the end of the disaster assistance period. FEMA employee discusses how to file a claim for disaster unemployment with a B. Types of Assistance potential applicant. DUA provides temporary financial assistance and reemployment services to eligible individuals. The weekly DUA benefit amount will be based on the gross wages of the individual. If the individual is self-employed, the weekly benefit amount will be based on the net earnings (income) from self-employment. Generally,benefits are calculated using the same formula used for state UI benefits. However, the minimum weekly benefit amount payable can be no less than half(50%) of the average UI benefit amount in the state,174 with certain exceptions for part-time workers. 222 161181 Chapter 7:Disaster Unemployment Assistance C. Application Process Individuals seeking DUA must file a claim within 30 days of the public announcement of the availability of DUA in the state, territorial, or tribal government. Individuals must follow the instructions in the announcement and apply for DUA based on the filing method used by the state/territory UI agency(i.e., in person, online, or by mail or telephone). Individuals who moved or evacuated to another state should contact the affected state for claim Tools and Resources filing instructions. Individuals can also contact the State UI agency in the state where they are currently For additional information concerning residing for claim filing assistance. the DUA program,individuals may contact the U.S.Department of Labor at: Individuals are required to substantiate employment or self-employment or to substantiate work that was Website: to begin on or after the first day of the incident https://workforcesecurity.doleta.gov/ period for the disaster. If proof of employment Phone number: 1-866-487-2365 cannot be provided at the time the claim is filed, Aindividuals have 21 calendar days from that time to individual may also contact his or her meet this requirement.175 Failure to submit this State UI agency for state-specific information: documentation within the 21 days will result in a denial of DUA, and any benefits already paid will Website: https_//www.careeronestop.org/ be considered overpaid. Individuals are required to Phone Number: 1-877-872-5627 repay any benefits overpaid. Individuals are also j required to submit proof of wages or income within 21 days of filing the DUA claim. The RA may approve or deny requests for funding to support the DUA program in coordination with the U.S. Department of Labor. The state workforce agency will submit the funding request to the RA through the Regional Department of Labor. The program may be funded for up to 26 weeks of benefits and subsequent administrative costs if: • A complete state workforce agency funding request and Regional Department of Labor recommendation is received; • The funding amount request provides reasonable justification for the key assumptions leading to the cost estimate; and • There is sufficient explanation for unusually high cost estimates,to include administrative costs exceeding 15%. If approved,the RA must submit a written approval with justification to the U.S. Department of Labor Comptroller for processing of the funds to the state workforce agency. If denied,the RA must submit a written denial with justification to the state workforce agency. 223 Chapter 7: Disaster Unemployment Assistance 1 6 I 1 B 1 D. Conditions of Eligibility 1. General Requirements These general conditions must be met for an applicant to be eligible for DUA. Requested documents to establish the proof of these conditions may vary by state. A disaster survivor must: • Provide proof of identity; • Be a U.S. citizen,non-citizen national, or qualified alien; • Be ineligible for regular UI; • Be unemployed or partially unemployed as a direct result of the major disaster; • Be able and available for work,unless injured as a direct result of the disaster; • File an application for DUA within 30 days of the date of the public announcement of availability of DUA; and • Have not refused an offer of employment in a suitable position. 2. Conditions of Unemployment In addition to general requirements to receive DUA, an individual must meet one of several conditions of unemployment or inability to perform services in self-employment as a direct result of the disaster. Requested documents to establish the proof of these conditions may vary by state. These conditions are:'76 • The individual has had a week of unemployment following the date the major disaster began; • The individual is unable to reach his/her place of employment; • The individual was scheduled to start work and the job no longer exists or the individual was unable to reach the job; • The individual became the major support of the household because the head of the household died as a direct result of the disaster; or • The individual cannot work because of How to File a Claim an injury caused as a direct result of the major disaster; To file a claim, individuals who are unemployed as a direct result of the disaster 3. Frequency of Filed Claims should contact their State UI agency The individual must continue to file weekly or Website: https://www.careeronestop.org/ biweekly claims for DUA benefits according to the instructions given by the state agency when the DUA application is filed. 224 161181 Chapter 7: Disaster Unemployment Assistance II. Delivery of Services After a Presidentially-declared disaster occurs, the affected state, territorial, or tribal government can apply for funding for the DUA program. DUA is administered by the state UI agency, which issues a public announcement throughout the declared disaster area notifying individuals in the affected area at the time of the disaster that they may be eligible for DUA compensation if they apply within the 30-day application period starting on the first public announcement date for the designated area. If the Presidential declaration is later amended to include additional areas, another release should be prepared that allows for a separate 30-day application period for affected employment in the newly designated areas. 225 161181 Chapter 8: Voluntary Agency Coordination Chapter 8: Voluntary Agency Coordination I. Overview Voluntary agencies are the first and the last organizations to provide survivor support services in a community after a disaster. Agencies in the community begin providing services prior to a disaster and continue throughout the long-term recovery period after a disaster. The FEMA Voluntary Agency Coordination Section provides technical assistance, coordination and subject matter expertise to partners who are addressing gaps in resources,providing financial support and additional support to survivors after government assistance is exhausted. This assistance is provided through FEMA's Voluntary Agency Liaison(VAL) staff. A. Voluntary Agency Coordination The mission of FEMA VALs is to establish, foster, and maintain relationships among government, voluntary, faith-based, and community partners. Through these relationships,the VALs support the delivery of inclusive and equitable services and empower and strengthen capabilities of communities to address disaster-caused unmet needs. A function of the VAL staff is the coordination of voluntary agencies' information between FEMA VALs, other government agencies, and Voluntary Organizations Active in Disasters (VOADs). FEMA VALs work with state VALs and voluntary .. , agencies at all levels. Some examples of voluntary a. agencies supported by VALs include: National VOAD (NVOAD), State VOADs and other NGOs • in local communities. During disaster operations,VALs provide - ' ry - additional support by organizing and building the capability of disaster recovery for current and 'Y_ _- future disasters.I 77 Additionally, FEMA VALs continue to support ongoing community recovery The Calvary Chapel Relief volunteers, an activities even after the period of assistance has organization, works tirelessly to remove damaged boards from the Asbury Park boardwalk after ended. Hurricane Sandy. 226 161181 Chapter 8:Voluntary Agency Coordination II. Responsibilities of FEMA Voluntary Agency Liaisons The VALs provide expertise to FEMA offices concerning the voluntary agency sector's participation in prevention,protection,response, recovery, and mitigation. The VALs keep the VOADs informed about programs, policies,trends, reports, services and plans. Additionally, VALs host and attend quarterly meetings,provide trainings and briefings with primary responsible voluntary agencies, community-based and faith-based organizations, and the private sector organizations independent from state and local VOADs. Some of the FEMA VAL activities may include: A. National Response Coordination Center The FEMA National Response Coordination Center(NRCC) is a resource the Federal government employs to bring multi-agency resources,both government and NGO,together during major disasters. VALs in the NRCC coordinate with voluntary organizations to identify gaps in services to survivors and communicate available resources to meet them. Resources may also include donated goods. B. Non-Declared Disasters FEMA VALs may provide support to communities that do not receive a Presidential Declaration. This shifts more duties to voluntary agencies without the individual assistance structure administered by FEMA and public support often engendered by a Presidential Declaration. In these instances,the complex challenge of survivor recovery is addressed by voluntary agencies working to assist in the impacted areas. VALs may provide subject matter expertise to a state, territorial, or tribal government to help coordinate agencies and improve service delivery. VALs may also be called upon to help conduct a preliminary damage assessment,prior to a declaration, to gauge the level of voluntary agency activity. C. Emergency Declarations and Public Assistance VALs may be requested to assist during emergency declarations and Public Assistance (PA) only declarations. While FEMA PA programs are focused on infrastructure repair,there may be individual households impacted by the disaster that will not receive government disaster assistance. VALs work with the community to develop voluntary agency capacity to provide assistance to impacted survivors. Examples of these types of activities can be seen in the Figure 40. 227 1611B1 Chapter 8: Voluntary Agency Coordination Figure 40:VAL Coordination during Non-Declared Emergencies and PA-Only Declarations Declaration Operation Month/Year Location T e Activities YP Miwok Tribe Provided volunteer coordination, Structure Fire technical assistance,and Tribal April 2015 CA N/A information for philanthropic Headquarters grant opportunities. destroyed Assisted in developing Long- Term Recovery Groups, identified recovery resources for Okanagon,WA Floods/Wildfires August 2014 WA PA disaster survivors, and coordinated assistance efforts among government and NGO service providers. Coordinated Bridge Committee resources and assisted with West Virginia April 2015 WV PA developing pilot program for Flood Recovery bridge construction by Voluntary Agencies. D. Donations and Volunteer Management Individuals and organizations often donate resources to state,territorial,tribal, and local (SLTT) governments to assist with response and recovery. A donated resource may be in the form of materials, equipment, financial contributions, services or supplies. In an effort to efficiently manage the donated goods and services to SLTT governments, or voluntary agencies, FEMA VALs may provide logistical support by coordinating donations. The Volunteer and Donations Management Support Annex to the National Response Framework describes the coordination process of unaffiliated volunteers,unaffiliated organizations, and unsolicited donated goods.178 FEMA provides assistance through: • Donation management training; • Donations messaging; and • Technical assistance on donations management. Donations management training is provided through the Emergency Management Institute (EMI), for Federal, SLTT government,non-profit and private sector partners. Additional trainings are delivered through Independent Study, attendance at a classroom offering at the 228 161161 Chapter 8: Voluntary Agency Coordination National Emergency Training Center(NETC), or through a field-based classroom offering at a FEMA Joint Field Office (JFO) which can be accessed at the F1:MA Emergency Management Institute website. FEMA donations messaging regarding the appropriate method for the public to donate can be found at the I 'Imteer Hite. Financial contributions are the most efficient method of donating. Funds allow the most flexibility in obtaining the needed resources, at the correct time and moves money into the local economy to help businesses recover. The site also provides information on accepted methods for unaffiliated volunteers to get connected. FEMA partners provide technical assistance on Donations Management through: • National Voluntary Organizations Active in Disaster; • National Association of State Emergency Donations and Volunteer Coordinators (NASEDoVoC); • The American Logistics Aid Network (ALAN); and • FEMA also uses the International Assistance System (IAS) Concept of Operations as the mechanism to accept/reject offers of donations from countries outside the United States of America. 229 Appendix A: Transportation Assistance 1 6 I 1 B 1 Appendix A: Transportation Assistance Section 425 of the Stafford Act authorizes FEMA to provide transportation assistance to relocate individuals displaced from their pre-disaster primary residences as a result of a major disaster or emergency or otherwise transported from their pre-disaster primary residence under Section 403(a)(3)or Section 502 of the Stafford Act, to and from alternative locations for short or long- term accommodation or to return an individual or household to their pre-disaster primary residence or alternative location. I. Authorizing Transportation Assistance FEMA's AA for Recovery has the authority to approve Transportation Assistance at the request of the affected state, territorial, or tribal government. This form of assistance may be considered for specific areas within the declared disaster when: • The scale and magnitude of the declared incident results in an extended displacement of disaster survivors; • Temporary housing options within a reasonable distance from the disaster area are limited; and • A concurrent lack of infrastructure exists within the affected area. A. Conditions of Eligibility Transportation Assistance is not a part of an applicant's Individuals and Households Program (IHP) financial assistance maximum award. To be considered for Transportation Assistance, the applicant must: • Register for FEMA assistance within the registration period; • Confirm their pre-disaster primary residence is in the declared disaster area; • Be significantly displaced from their pre-disaster residence due to the disaster, factoring in distance to include travel time and mileage; • Be able to secure temporary housing(excluding hotels/motels) in the alternative location; • Pass identity verification; • Pass citizenship requirements; and • Not have assistance available for transportation expenses from any other source. All household members who will travel under Transportation Assistance, must be listed on the FEMA application.179 Applicants may call FEMA to add pre-disaster household members to the application if they were not listed at the time of registration. 230 161161 Appendix A: Transportation Assistance B. Limitations and Exclusions • Travel for unaccompanied minors is not an eligible expense. Minors must travel with at least one adult household member. • The maximum time limit for Transportation Assistance is the period of assistance for the IHP. FEMA may further limit the timeframe of availability for Transportation Assistance for specific populations of applicants based on the progress of their permanent housing plan. 231 1 6 I 1 B Appendix B: Individual Assistance Program and Assistance Approvals Appendix B: Individual Assistance Program and Assistance Approvals Not all Individual Assistance programs and types of assistance are automatically implemented when a disaster is declared for Individual Assistance. When requested by the state, territorial, or tribal government, FEMA officials at various levels throughout the Agency may approve the below Individual Assistance programs and types of assistance. The chart outlines who may approve each program or type of assistance: the Assistant Administrator for Recovery,the Individual Assistance Division Director, the Regional Administrator(RA), or the Federal Coordinating Officer(FCO). FEMA RAs may further delegate any of their approval authority to Federal Coordinating Officers. Figure 41: Delegation of IA Authorities Program Area Recovery IADD RA Mass Care and Community Services Transitional Sheltering Assistance -Initial Approval X -Extensions X *FCO may approve individual case exceptions Crisis Counseling Assistance and Training Program—Regular Services Program -Initial Approval X -Approval Appeals X Disaster Case Management -Initial Approval X *FCO approves Immediate Disaster Case Management -Approval Appeals X -Extensions X -Extension Appeals X 232 1b1181 Appendix B: Individual Assistance Program and Assistance Approvals Figure 41: Delegation of IA Authorities Recovery Program AreaAA IADD RA Disaster Unemployment Assistance -Initial Approval X -Appeals X IAPPG Policy Waivers X IHP 18-Month Period of Assistance Extension X Registration Period - 1st Extension X -Additional Extensions X Section 425 Transportation Assistance X Geospatial Inspections X FMR Rental Assistance Rate Increase -Up to 125% X -More than 125% X ONA Administrative Option Selection Form and State Administrative Plan X Critical Needs Assistance X Clean and Removal Assistance X Direct Temporary Housing Assistance X Forms of Direct Housing(includes TTHU/MLR) X Direct Lease X 233 1 6 1 1 8 1 Appendix B: Individual Assistance Program and Assistance Approvals Figure 41: Delegation of IA Authorities Program Area Recovery IADD RA Direct Lease FMR Increase -Upto200% X -More than 200% X FMR will be consistent with Rental Multi-Family Lease and Repair FMR Increase Assistance Rate Increase approvals MHU/RV Group Sites X Permanent Housing Construction X Disposal of MHUs/RVs via Sales/Donations X 234 161181 Appendix B: Individual Assistance Program and Assistance Approvals This page is intentionally blank. 235 161161 Appendix C: Individual Assistance Policy Supersession Appendix C: Individual Assistance Policy Supersession These policies have been superseded by the IAPPG: Figure 42: Individual Assistance Policy Supersession Document Number Document Name FP 104-009-03 Individuals and Households Program Unified Guidance(IHPUG)— September 2016 Disaster Case Management Program Guidance-March 2013 Disaster Case Management Program Interim Guidance on 2 C.F.R. § 200 -December 2014 Interim Disaster Case Management Program Guidance- September 2017 Crisis Counseling Assistance and Training Program Interim Guidance on 2 C.F.R. §200-December 2014 Crisis Counseling Assistance and Training Program Guidance-Version 5.0-July 2016 236 1611B1 Appendix C: Individual Assistance Policy Supersession This page is intentionally blank. 237 161161 Appendix D: Legal Considerations for Recipients of Federal Financial Assistance Appendix D: Legal Considerations for Recipients of Federal Financial Assistance I. Compliance with Federal Civil Rights Laws and Regulations and Other Legal Authorities All recipients of Federal financial assistance, including but not limited to non-Federal entities such as state, territorial, tribal, and local(SLTT) governments and their sub-recipients, and providers of disaster-related assistance must abide by the nondiscrimination provisions in Section 308 of the Stafford Act stating the provision of disaster-related assistance 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. Recipients of Federal financial assistance must also comply with other Federal civil rights laws and regulations.18° Specifically,the recipient is required to provide assurances about compliance with Federal civil rights laws and regulations as a condition for receipt of Federal funds. The FEMA-State/Territory/Tribal Government Agreement contains a link to the DHS Standard Tenns and Conditions. Among the provisions within the DHS Standard Terms and Conditions for grants, cooperative agreements, fixed amount awards, and other types of Federal financial assistance are the following civil rights-related obligations: Recipients of Federal financial assistance from DHS must complete the DHS Civil Rights Evaluation Tool within thirty days of receipt of the Notice of Award or, for State Administering Agencies,thirty days from receipt of the DHS Civil Rights Evaluation Tool from DHS or its awarding component agency. Recipients are required to provide this information once every two years, not every time an award is made. After the initial submission,recipients are only required to submit updates. Recipients should submit the completed tool, including supporting materials to CivilRightsEvaluation(ahq.dhs.gov. This tool clarifies the civil rights obligations and related reporting requirements contained in the DHS Standard Terms and Conditions. Sub-recipients are not required to complete and submit this tool to DHS. The evaluation tool can be found at https://www.dhs.gov/evaluation-tool. Age Discrimination Act of 1975: Recipients must comply with the requirements of the Age Discrimination Act of 1975 (Title 42 U.S.C. §§ 6101 et. Seq.), which prohibits discrimination on the basis of age in any program or activity receiving Federal financial assistance. Americans with Disabilities Act of 1990: Recipients must comply with the requirements of Titles I, II, and III of the Americans with Disabilities Act,which prohibits recipients from discriminating on the basis of disability in the operation of public entities,public and private transportation systems,places of public accommodation, and certain testing entities. (42 U.S.C. §§ 12101-12213). 238 1611B1 Appendix D: Legal Considerations for Recipients of Federal Financial Assistance Title VI of the Civil Rights Act of 1964: Recipients must comply with the requirements of Title VI of the Civil Rights Act of 1964 (42 U.S.C. §§ 2000d et. Seq.),which provides that no person in the United States will, on the grounds of race, color, or national origin,be excluded from participation in,be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance. DHS implementing regulations for the Act are found at 6 C.F.R. § 21 and 44 C.F.R. § 7. Limited English proficiency(LEP) (Title VI of the Civil Rights Act of 1964): Recipients must comply with the Title VI of the Civil Rights Act of 1964 (42 U.S.C. §§ 2000d et. Seq.) prohibition against discrimination on the basis of national origin,which requires that recipients of Federal financial assistance take reasonable steps to provide meaningful access to persons with LEP to their programs and services. For additional assistance and information regarding language access obligations,please refer to the DHS Recipient Guidance https://www.dhs.gov/meaningful-access and additional resources on http://www.lep.gov. Title VIII of the Civil Rights Act of 1968: Recipients must comply with the requirements of Title VIII of the Civil Rights Act of 1968,which prohibits recipients from discriminating in the sale, rental, financing, and advertising of dwellings, or in the provision of services in connection therewith, on the basis of race, color, national origin, religion, disability, familial status, and sex (See 42 U.S.C. §§ 3601 et. Seq.), as implemented by the Department of Housing and Urban Development at 24 C.F.R. § 100. The prohibition on disability discrimination includes the requirement that new multifamily housing with four or more dwelling units—i.e.,the public and common use areas and individual apartment units (all units in buildings with elevators and ground-floor units in buildings without elevators)—be designed and constructed with certain accessible features. (See 24 C.F.R. § 100.201.) Title IX of the Education Amendments of 1972 (Equal Opportunity in Education Act): Recipients must comply with the requirements of Title IX of the Education Amendments of 1972 (20 U.S.C. §§ 1681 et. Seq.), which provide that no person in the United States will, on the basis of sex,be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any educational program or activity receiving Federal financial assistance. DHS implementing regulations are codified at 6 C.F.R. § 17 and 44 C.F.R. § 19. Section 504 of the Rehabilitation Act of 1973: Recipients must comply with the requirements of Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794), as amended,which provides that no otherwise qualified individual with a disability in the United States will, solely by reason of the disability, be excluded from participation in,be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance. In addition,the United States has the right to seek judicial enforcement of these obligations. Members of the public have the right to file a civil rights complaint if they believe they have been discriminated against by a recipient of Federal financial assistance. Please contact FEMA's Office of Equal Rights for more information: 202 212 3535 or civilrightsoffice(ci fema.dhs.gov. 239 161181 Appendix E:DCM–Allowable and Unallowable Costs Appendix E: DCM - Allowable and Unallowable Costs Figure 43: DCM—Allowable and Unallowable Costs Budget Allowable Expenses Unallowable Expenses Category Salaries and wages for DCM Positions must be justified.Below is a list of some of the • Supplanting of existing non positions DCM allows: Federal entity or provider positions • Program Director • Finance Director • Finance Manager Personnel • Administrative Assistant • Monitoring/Data Management • Data Entry Specialist • Construction Cost Analyst • Case Management Supervisor • Case Manager • Fringe benefit costs at the usual and • Fringe benefit costs above the Fringe customary fringe benefit rate for STTL customary fringe benefit rate for Benefits and local providers temporary STTL and local provider staff • Mileage reimbursement for Case • Providing transportation for Managers travel to and from disaster survivors survivor locations or trainings if provided • Out of state travel for DCM Travel outside of the base office location personnel except in exceptional • All travel costs must be in accordance circumstances with prior FEMA with Non-Federal entity travel policy approval guidelines • Rental or leasing of vehicles Equipment means an article of N/A nonexpendable,tangible personal property having a useful life of more than one year and an acquisition cost which equals or exceeds Equipment the lesser of the capitalization level established by the governmental unit for financial statement purposes,or$5000. Pre-Approval for equipment is required by FEMA 240 161181 Appendix E: DCM–Allowable and Unallowable Costs Figure 43: DCM—Allowable and Unallowable Costs Budget Allowable Expenses Unallowable Expenses Category • Contracted consulted maximum FEMA • Consultant costs exceeding$750 a Contractual reimbursement rate is$750 per day, day which includes equipment,supplies, lodging,and travel costs • Supplies include materials that are • Food and beverages expendable/consumed during the course Supplies of the project and less than$5000 • Refreshments for meetings/trainings • Basic office equipment,such as • Video cameras,video recording computers,mobile phones, equipment,televisions,and other printers/copiers,etc. types of video production equipment The budget may identify costs that are • Direct financial assistance for unique to the declared disaster area,but do survivors not fall into one of the budget sub-categories. • Telephone and utility charges not Note: Costs must not be identified as directly related to the DCM program miscellaneous(i.e.,they must be described in • FEMA will not provide funding for a detail). media campaign • Advertising costs associated with the recruitment of personnel required for the DCM program Other • Rental office space • Telephone and utility costs directly billed to the DCM Program • Background checks for case managers • FEMA will pay licensing fee for technology platform • Hotline and/or call center utilized for resource collection and/or referral services may be considered with sufficient justification N/A • Indirect costs, including management costs,are defined as costs not directly chargeable to a specific project. Indirect Section 324 of the Stafford Act Costs requires FEMA to establish management cost rates in program regulations. Since DCM does not have regulations under 44 C.F.R.,they are unallowable per statute 241 1 6 1 1 B 1 Appendix E: DCM—Allowable and Unallowable Costs 242 161181 Appendix F: CCP-Allowable and Unallowable Costs Appendix F: CCP — Allowable and Unallowable Costs Figure 44: CCP—Allowable and Unallowable Costs Non-Fundable Expenses Budget Fundable Expenses (items apply to all budget Typical In Kind Category Contributions categories) • Salaries and wages for • Longer term,more formal • Salaries and typical CCP positions: mental health services, wages of and mental health existing STTL o Crisis Counselor professionals providing and local staff, o Team Leaderthese services(e.g. such as the (Supervisor) diagnosis and therapy) STTL Disaster o Administrative Behavioral Assistant • Longer-term,more formal Health o Data Evaluation substance use treatment, Coordinator Specialist and para professionals and local area o Consultant/Trainer providing these services provider agency (listed in personnel • Advocacy managers who only if a direct STTL dedicate a or provider • Formal critical incident percentage of employee) stress debriefing(CISD) time to the Salaries and o Fiscal Specialist services or critical CCP in Wages o STTL CCP Program incident stress addition to Manager/Director management(CISM) their existing o Provider Project training duties Manager o Community • Reimbursement for Liaison/Resource uncollected revenue(e.g., Linkage Coordinator if mental health workers o Media Liaison respond to the disaster and it results in fewer o Child Specialist Medicaid billings,the state will not be reimbursed for these lost Medicaid billings) • Supplanting of existing STTL or provider positions • Fringe benefit costs at the • Fringe benefit costs above N/A Fringe usual and customary fringe the customary fringe Benefits benefit rate for STTL and benefit rate for temporary local providers STTL and local provider staff 243 1611131 Appendix F: CCP-Allowable and Unallowable Costs Figure 44: CCP—Allowable and Unallowable Costs • Mileage reimbursement for • Out-of-state/area • The STTL crisis counselor travel to deliver travel for CCP may offer to services in survivor homes, personnel use the meet with community groups or • Transportation for motor-pool as agency personnel, and p an in-kind conduct/receive training survivors contribution Travel The standard motor-pool cost if • Rental/leasing of STTL cars are used vehicles except in unusual circumstances that indicate personal vehicles are not a reasonable option • Equipment purchases of more • Consult with • N/A than$5,000 per individual item FEMA and CMHS Consult with FEMA and CMHS Project Officer for Equipment Project Officer prior to developing specific non- the budget for this category. fundable expenses • CMHS-approved, qualified • Consultants or • Costs and consultants providing technical trainers not time assistance or consultation to approved by associated STTL project staff on program CMHS with the use development and project . Consultant charges of STTL in- management house exceeding$750 per consultants • CMHS-approved,qualified day trainers providing standardized • Conferences or CCP training or training concerning unique disaster- workshops not Consultants related issues e. cultural directly related to g' /Trainers the project competence,working with children,working with special • Out-of- populations) state/territory • Travel costs,lodging,and per training diem for consultants • Disaster For contracted consultants, the preparedness maximum FEMA reimbursement training rate is$750 per day, which includes • CISD or CISM preparation, materials, and travel training time -- --- — — ----------------- -- - — —_____.-_...— -- ._._._...._...__ 244 161181 Appendix F: CCP-Allowable and Unallowable Costs Figure 44: CCP—Allowable and Unallowable Costs • Basic office equipment, • Food and beverages • Use of existing such as computers,mobile equipment, such phones,printers,pagers, • Refreshments for as office fax machines,or meetings and trainings furniture, photocopiers • Medications computers,fax machines, • Toys or playground printers,or Supplies items for recreational photocopiers programs • Food and • Disaster kits beverages • Video cameras and • Toys and recording equipment, recreational televisions,and other items video production equipment • Advertisements to recruit • Items/activities not • For print crisis counselors included as part of the advertisements Federal award and broadcast • Educational materials, application program time,FEMA pamphlets,and handouts plan or not approved by and CMHS • Flyers or other materials to the FEMA and CMHS advise that promote access to CCP project officers programs seek services donations as a • Disaster preparedness public service • Staff identification items, materials such as t-shirts or name for space and • Expensive print, airtime badges television,or radio announcements. • Media messaging and advertisements If this is not Media/Public public service possible, list Information announcements these media costs as a • Duplication of existing budget item, materials, such as FEMA and provide and CMHS disaster ample behavioral health justification in materials,should the the narrative. STTL government require more copies of these materials than can be provided Video and multimedia product development may be funded only if it is carefully justified and the following three criteria are met: 245 1611B1 Appendix F: CCP-Allowable and Unallowable Costs 246 161181 Appendix F: CCP-Allowable and Unallowable Costs Figure 44: CCP—Allowable and Unallowable Costs • No comparable resource is available from another CCP,any Federal or STTL government agency,or any private entity • The STTL government has provided a comprehensive description of the objectives and format of the product, and has demonstrated the disaster mental health expertise to develop a quality product • The product can be completed to be used as an educational or training tool during the CCP • Provider costs and any • Items or activities not • Office space other contractual costs included as part of the . Additional must be itemized. The Federal award application itemization should include program plan or not trainings Provider/ costs associated with approved by the FEMA • Equipment Contractual salaries,fringe,travel,per and CMHS Project (copiers, Costs p diem, and training. These Officers printers,fax) costs must be justified in • Transportation of • Human the budget narrative. survivors resources • Mental health treatment The budget may idents costs • Facility renovation, • Office space that are unique to the disaster repair,or construction within the and area affected but do not STTL fall into one of the prescribed • Transportation for government categories. survivors Note: Costs must not be mental health identified as miscellaneous • Child care authority and (i.e.,they must be described in • Case management CCP provider facilities detail) Other • Diagnostic testing • Categories typically listed as Utilities such Other • Toys or recreational as heat,water, • Rental Office Space equipment or activities or electricity o Minimal office space • Food and beverages for the management • Refreshments and administration functions of the • Video or multimedia program when recording equipment J_ 247 I 6 1 1 B 1 Appendix F: CCP-Allowable and Unallowable Costs 248 161181 Appendix F: CCP-Allowable and Unallowable Costs Figure 44: CCP—Allowable and Unallowable Costs donated space is not • Longer-term,more formal available mental health services to o Appropriate existing or new clients telephone and utility • Financial assistance for costs for CCP operations when not survivors located within • Fundraising activities existing STTL government mental • Disaster preparedness health authority or • Facility renovation, provider space repair,or construction • Telephone and Utilities • Telephone and utility • Additional costs to charges not directly conduct CCP evaluation related to CCP operations and data collection in • Evaluation activities not compliance with the in compliance with the Evaluating the Reach, evaluating the Reach, Quality,and Consistency Quality,and Consistency of Crisis Counseling of Crisis Counseling Programs guidance Programs guidance More formal research activities 249 161181 Appendix F: CCP-Allowable and Unallowable Costs This page is intentionally blank. 250 161161 Appendix G: Definitions Appendix G: Definitions Terms may have different meanings when applied to other FEMA,non-Federal entity,Non- Governmental Organization(NGO), or local programs. Access and Functional Needs: Circumstances that are met for providing physical, programmatic, and effective communication access to the whole community by accommodating individual requirements through universal accessibility and/or specific actions or modifications which includes assistance, accommodation or modification for mobility, communication, transportation, safety, health maintenance, etc.; need for assistance, accommodation or modification due to any situation(temporary or permanent) that limits an individual's ability to take action in an emergency. When physical,programmatic, and effective communication access is not universally available, individuals may require additional assistance in order to take protective measures to escape to and/or from, access either refuge and/or safety in an emergency or disaster, and/or may need other assistance, accommodations or modifications in an emergency or disaster. This is accomplished through pre-planning by emergency management, first response agencies and other stakeholders or in sheltering or other situations, from notification and evacuation,to sheltering,to return to pre-disaster level of independence. Individuals having access and functional needs may include,but are not limited to, individuals with disabilities, older adults, and individuals with limited English proficiency, limited access to transportation, and/or limited access to financial resources to prepare for,respond to, and recover from the emergency. Federal civil rights law and policy require nondiscrimination, including on the bases of race, color, national origin, religion, sex, age, disability, English proficiency, and economic status. Many individuals with access and functional needs are protected by these provisions.18I Accommodation: Americans with Disabilities Act(ADA) accommodations apply equally to survivors and employees, requiring fiscal projections in separate budgets. The ADA also requires accommodations for qualified individuals with disabilities who are employees or applicants for employment, except when such accommodations would cause an undue hardship. In general, an accommodation is any change in the work environment or in the way things are customarily done which enables an individual with a disability to enjoy employment as an equal opportunity experience with all other employees. The duty to provide reasonable accommodation is a fundamental statutory requirement because of the nature of discrimination faced by individuals with disabilities. Specific questions may be addressed to legal advisors. Allowable Costs: Allowable costs are defined in the FAR as costs that are reasonable and chargeable to the grant/contract. (See FAR 31.201-2). Although this is a broad definition, FAR Section 31 specifically addresses many types of costs a recipient/contractor may incur. 251 161181 Appendix G: Definitions Appeal: Applicants will have the opportunity to appeal a denial of initial program award or extension requests within 60 days of receipt of the written notice of determination. The appeal will be submitted to the IADD for review and determination. Appeals (DUA Definition): The state workforce agency will have the opportunity to appeal a denial of initial program award or supplemental funding requests within 60 days of receipt of the written notice of determination. First level appeals will be submitted to the RA for review and determination and second level appeals will be submitted to the IADD for review and determination. Client: A disaster survivor enrolled in a Disaster Case Management(DCM)program that is receiving case management services. Closeout: The process by which FEMA or the pass-through entity determines that all applicable administrative actions and all required work of the Federal award have been completed and takes actions as described in 2 C.F.R. § 200.343. Conditions of Award: The legal requirements imposed on a grant by FEMA, whether based on statute, regulation,policy, or other document referenced in the grant award, or specified by the Notice of Grant Award. It may include standard and/or special conditions, as necessary to attain the grant's objectives.182 Contract: A legal instrument by which a state,territorial, or tribal government purchases property or services needed to carry out the project or program under a Federal award. The term as used in this part does not include a legal instrument, even if the state,territorial, or tribal government considers it a contract,when the substance of the transaction meets the definition of a Federal award or sub-award. Congressional Notification: In compliance with Section 507 of the Appropriations Act, for all awards greater than or equal to one million dollars, the RA will be required to submit advance Congressional Notification and summary of award through the External Coordination Unit, Office of the Chief Financial Officer at FEMA Headquarters. Disaster Case Management(DCM): A time-limited process involving a partnership between a disaster case manager and a disaster survivor(also known as a"client")to develop and carry out an individualized disaster recovery plan. This partnership provides the client with a single point of contact to facilitate access to a broad range of resources. The process involves an assessment of the client's verified disaster-caused unmet needs; development of a goal-oriented plan that outlines the steps necessary to achieve recovery; organization and coordination of information on available resources that match the disaster-caused unmet needs; the monitoring of progress toward reaching the recovery plan goals; and when necessary, client advocacy. Disaster-Caused Unmet Needs: Any un-resourced item, support, or assistance that has been assessed and verified as necessary for a survivor to recover from disaster. This may include food, clothing, shelter, first aid, emotional and spiritual care, household items, home repair, or rebuilding. 252 161161 Appendix G: Definitions Disaster Recovery Plan: A formal, written plan developed to accomplish the recovery goals identified by the client, with support from the disaster case manager. The plan is developed following a comprehensive disaster-impact assessment conducted by the disaster case manager, in close collaboration with the client, and should be updated regularly throughout the recovery process. The Disaster Recovery Plan includes specific goals and objectives that link with the client's disaster-caused unmet needs. Extensions: Requests for extensions to the period of performance and/or additional funding may be approved by the RA. Requests for additional time may be approved for up to 90 days. Extensions and/or additional funding may be approved if sufficient justification is provided. If sufficient need is not provided, the RA may deny the request for extension and/or additional funding. Federal award: The Federal financial assistance that a state, territorial, or tribal government receives directly from a Federal awarding agency or indirectly from a pass-through entity. Federal awarding agency: The Federal agency that provides a Federal award directly to a state, territorial, or tribal government. Household: All persons (adults and children) who lived in the pre-disaster residence, as well as any persons, such as infants, spouses, or part-time residents who were not present at the time of the disaster,but who are expected to return during the assistance period. Information and Referral(I&R): The provision of disaster-related resource information provided to disaster survivors to meet immediate unmet needs. Referrals may include those for temporary shelter, food, clothing, and medical assistance. I&R also refers to the ongoing process by which case managers facilitate a disaster survivor's access to needed services throughout the DCM life cycle. Long-Term Recovery Group: A cooperative body that is made up of representatives from faith-based,non-profit, government,business, and other organizations moving within a community to assist individuals and families as they recover from disaster.183 Non-Federal entity: A SLTT government, or a private organization that carries out a Federal award as a recipient or sub-recipient, or as referenced in previous guidance, a grantee or sub- grantee. Nonprofit organization: Nonprofit organization means any corporation, trust, association, cooperative, or other organization, not including Institutes of Higher Education, that is operated primarily for scientific, educational, service, charitable, or similar purposes in the public interest, is not organized primarily for profit and uses net proceeds to maintain, improve, or expand the operations of the organization. Pass-through entity: A state, territorial, or tribal government that provides a sub-award to a sub- recipient to carry out part of a Federal program. Performance goal: A target level of performance expressed as a tangible, measurable objective, against which actual achievement can be compared, including a goal expressed as a quantitative 253 1611B1 • Appendix G:Definitions standard, value, or rate. In some instances (e.g., discretionary research awards), this may be limited to the requirement to submit technical performance reports (to be evaluated in accordance with agency policy). Period of Performance: Per 2 C.F.R. § 200.77,period of performance for a Federal award means the time during which the non-Federal entity may incur new obligations to carry-out the work authorized under the Federal Award. Pre-Award Costs: Per 2 C.F.R. § 200.209,pre-award costs for a Federal award are costs incurred by the applicant prior to the start date of the period of performance. Recipient: A state, territorial, or tribal government mental health agency, or other local or private mental health organization which is designated by the Governor, Governor's Authorized Representative (GAR), or Tribal Chief Executive, to receive funds under Section 416 of the Stafford Act. This definition aligns with the program specific definition of a grantee, as per 44 C.F.R. § 200.171 (b)(5), and the Federal award definition of a recipient, as per 2 C.F.R. § 200.86. Service Providers: Any entity providing DCM services at the local level. These agencies include, but are not limited to, non-profit, voluntary, faith-based, and/or private not-for-profit organizations that provide DCM services to disaster survivors. Sub-award: An award provided by a pass-through entity to a sub-recipient for the sub-recipient to carry out part of a Federal award received by the pass-through entity. It does not include payments to a contractor or payments to an individual that is a beneficiary of a Federal program. A sub-award may be provided through any form of legal agreement, including an agreement that the pass-through entity considers a contract. Sub-recipient: A state, territorial, or tribal government that receives a sub-award from a pass- through entity to carry out part of a Federal program; does not include an individual that is a beneficiary of such program. Supplant: States, territories, or tribal governments may not use Crisis Counseling Assistance and Training Program(CCP) funds to take the place of or serve as a substitute for previously existing state or local activities. Supplemental: If sufficient justification is provided by the state workforce agency, requests for supplemental funding may be approved by the RA. 254 1611B1 Appendix H: Abbreviations and Acronyms Appendix H: Abbreviations and Acronyms Abbreviation/Acronyms Definition AA Assistant Administrator ABFE Advisory Base Flood Elevation ACS Adventist Community Services ADA Americans with Disabilities Act ADAAG Americans with Disabilities Act Accessibility Guidelines ADL Activities of Daily Living AFHI Advisory Flood Hazard Information AFMV Adjusted Fair Market Value ALAN American Logistics Aid Network ALE Additional Living Expense ASL American Sign Language ASPR Assistant Secretary for Preparedness and Response AT Advanced Technology AWG Administrative Wage Garnishment BFE Base Flood Elevation BPA Blanket Purchase Agreements CARB California Air Resources Board CART Communication Access Real-time Translation CBRA Coastal Barrier Resources Act CBRS Coastal Barrier Resources System -_..... .. .._. CCP Crisis Counseling Assistance and Training Program CDC Centers for Disease Control and Prevention CFR Code of Federal Regulations CMHS Center for Mental Health Services 255 161181 Appendix H: Abbreviations and Acronyms Abbreviation/Acronyms Definition CMS Consumable Medical Supplies CNA Critical Needs Assistance CNCS Corporation for National and Community Service CRA Clean and Removal Assistance CTN Critical Transportation Needs CUSI Commonly Used Shelter Items DCIA Debt Collection Improvement Act DCM Disaster Case Management DFA Direct Federal Assistance DHAP Disaster Housing Assistance Program DHAT Direct Housing Assessment Team DHS Department of Homeland Security DHTF Disaster Housing Task Force DLS Disaster Legal Services DME Durable Medical Equipment DOB Duplication of Benefits DOD Department of Defense DOJ Department of Justice DOL Department of Labor DRC Disaster Recovery Center DSA Disaster Survivor Assistance D-SNAP Disaster Supplemental Nutrition Assistance Program DTAC Disaster Technical Assistance Center DUA Disaster Unemployment Assistance EHP Environmental Planning and Historic Preservation EMI Emergency Management Institute EOC Emergency Operations Center 256 16I1B1 Appendix H: Abbreviations and Acronyms Abbreviation/Acronyms Definition EOP Emergency Operations Plan EOs Executive Orders ESF Emergency Support Function ESF6-SS Emergency Support Function#6-Support Systems FAQ Frequently Asked Questions FAR Federal Acquisition Regulation FCO Federal Coordinating Officer FEMA Federal Emergency Management Agency FFC FEMA Finance Center FIID Fraud and Internal Investigations Division FIOP Federal Interagency Operational Plan FIRM Flood Insurance Rate Map FMR Fair Market Rent FODAC Friends of Disabled Adults and Children FOIA Freedom of Information Act FVL FEMA-Verified Loss GAO Government Accountability Office GAR Governor's Authorized Representative GFIP Group Flood Insurance Policy GIS Geographic Information System GMO Grants Management Officer GSA General Services Administration HA Housing Assistance HHS Health and Human Services HPSA Household Pets and Service and Assistance Animals HQ Headquarters HQS Housing Quality Standards 257 1611131 Appendix H: Abbreviations and Acronyms Abbreviation/Acronyms Definition HUD Department of Housing and Urban Development HVAC Heating,Ventilation,and Air Conditioning IA Individual Assistance IAA Interagency Agreement IADD IA Division Director IAPPG Individual Assistance Program and Policy Guide IAS International Assistance System IASC Individual Assistance Support Contracts IDCM Immediate Disaster Case Management IDEA Individuals with Disabilities Education Act IDIQ Indefinite Delivery Indefinite Quantity IEP Individualized Educational Plan IHP Individuals and Households Program IOF Initial Operating Facility IPERA Improper Payments Elimination and Recovery Act IPERIA Improper Payments Elimination and Recovery Improvement Act IPIA Improper Payments and Information Act I&R Information and Referral ISP Immediate Services Program JFO Joint Field Office LEP Limited English Proficiency LER Lodging Expense Reimbursement .................... LOU Loss of Use MASTF Multi-agency Sheltering Task Force MC/EA Mass Care/Emergency Assistance MHU Manufactured Housing Unit MLR Multi-Family Lease and Repair 258 1 61 1B 1 Appendix H: Abbreviations and Acronyms Abbreviation/Acronyms Definition MOA Memorandum of Agreement MOU Memorandum of Understanding N/A Not Applicable NAMB North American Mission Board NARSC National Animal Rescue and Sheltering Coalition NASAAEP National Alliance of State Animal and Agriculture Emergency Programs NASEDoVoC National Association of State Emergency Donations and Volunteer Coordinators NCIL National Council on Independent Living NDL Notice and Demand Letter NDMS National Disaster Medical System NDRF National Disaster Recovery Framework NDRN National Disability Rights Network NECLC National Emergency Child Locator Center NEMIS National Emergency Management Information System NETC National Emergency Training Center NFIP National Flood Insurance Program NFIRA National Flood Insurance Reform Act NGO Non-Governmental Organization NMCE National Mass Care Exercise Y NMETS National Mass Evacuation Tracking System NOA Notice of Award NOR Notice of Revocation NPG National Preparedness Goal NRCC National Response Coordination Center NVOAD National Voluntary Organizations Active in Disasters OIG Office of Inspector General OMB Office of Management and Budget 259 1611B1 Appendix H: Abbreviations and Acronyms Abbreviation/Acronyms Definition ONA Other Needs Assistance OPA Otherwise Protected Area PA Public Assistance PAPPG Public Assistance Policy and Program Guide PAS Personal Assistance Services PHC Permanent Housing Construction PHP Permanent Housing Plan PII Personally Identifiable Information PKEMRA Post-Katrina Emergency Management Reform Act PMS Payment Management System PNP Private Non-Profit PO Program Officer POD Proof of Debt POP Period of Performance PPD Presidential Policy Directive PSMA Pre-Scripted Mission Assignments RA Regional Administrator ROE Right of Entry RRCC Regional Response Coordination Center RSF Recovery Support Function RSP Regular Services Program RSVP Retired and Senior Volunteer Program RV Recreational Vehicle SAMHSA Substance Abuse and Mental Health Services Administration SAP State Administrative Plan SBA U.S. Small Business Administration SBDR Southern Baptist Disaster Relief 260 161161 Appendix H: Abbreviations and Acronyms Abbreviation/Acronyms f)efin ii ion SCO/TCO State or Territorial Coordinating Officer SFHA Special Flood Hazard Area SME Subject Matter Expert SPOC Single Point of Contact SSA Social Security Administration SSN Social Security Number STTL state,territorial,tribal,and local government agencies THU Temporary Housing Unit TPS Tank and Pump System TSA Transitional Sheltering Assistance TTHU Transportable Temporary Housing Unit TTY Text Telephone UFAS Uniform Federal Accessibility Standards UI Unemployment Insurance UMR Unaccompanied Minor Registry USACE United States Army Corps of Engineers USDA United States Department of Agriculture VA Department of Veteran's Affairs VAL Voluntary Agency Liaison VISTA Volunteers in Service to America VOAD Voluntary Organizations Active in Disasters VRI Video Remote Interpreting VRS Video Relay Service YLD Young Lawyers Division 261 1611B1 Appendix H: Abbreviations and Acronyms This page is intentionally blank. 262 161181 Endnotes Endnotes 'Stafford Act§ 102(4),42 U.S.C.§5122 and Title 44 of the Code of Federal Regulations(C.F.R.)§206.2(a)(22),state governments include the District of Columbia,American Samoa,the Commonwealth of the Northern Mariana Islands,Guam, Puerto Rico,and the U.S.Virgin Islands. 2 Stafford Act§ 102(6),42 U.S.C.§5112,and 44 C.F.R.§206.201(i),a Tribal Government refers to any Native American tribe, band,nation,pueblo,village,or community in the continental U.S.and Alaska that is listed as a tribe under the Federal Recognized Native American Tribe List Act of 1994. 3 Stafford Act§ 102(8),42 U.S.C.§5122,and 44 C.F.R.§206.2.(a)(16),local governments include counties or parishes, municipalities,cities,towns,townships,local public authorities,school districts,special districts established under State law, intrastate districts,councils of governments(regardless of whether the council of governments is included as a nonprofit corporation under State law),regional or interstate government entities,agencies or instrumentalities of a local government;state- recognized tribes;and rural communities,unincorporated towns or villages,or other public entities,for which an application for assistance is made by a State or political subdivision of a State. 4 See Robert T.Staftbrd Disaster Relief and Emcreencv Assistance Act. 5 Stafford Act§ 102(12),42 U.S.C.§5122. 6 44 C.F.R.§§206.35(a)and 206.36(a). 7 Stafford Act§408(g),42 U.S.C.§5174(g)and 44 C.F.R.§206.110(i).Transitional Sheltering 8 Id. 9 Stafford Act§ 102(1),42 U.S.C.§5122,and 44 C.F.R.§206.2(a)(17). 1044 C.F.R. §206.32(f). "44 C.F.R.§206.2(a)(6). 12 44 C.F.R.§206.32(d). 1344 C.F.R.§206.191(d)(2). 14 Mass Care/Emergency Assistance is authorized under Sections 402,403,and 502 of the Robert T.Stafford Disaster Relief and Emergency Assistance Act,Public Law 93-288,as amended;42 U.S.C.5121 et.Seq.(Stafford Act);and Title 6 U.S.C.§§774 and 775. 15 Section 402(a)(3)(j)authorizes the provision of rescue,care,shelter and essential needs...for individuals and their household pets,service animals,and assistance animals.This is not included in Category B. '6 The authorities governing the declaration of a disaster and the ensuing sheltering support by FEMA MC/EA are the Stafford Act(Sections 309,402,403,502,775). 17 The authorities governing the declaration of a disaster and the emergency feeding support by FEMA MC/EA are the Stafford Act(Sections 309,402,403,412,413,and 502). 18 The authority governing the declaration of a disaster and the ensuing distribution of emergency supplies by FEMA MC/EA is the Stafford Act(Sections 309,402,403,502). 19 The authorities governing the declaration of a disaster and the Personal Assistance Services support by FEMA MC/EA are the Robert T.Stafford Disaster Relief and Emergency Assistance Act(Sections 402,403,502),The Rehabilitation Act of 1973 (Provisions of 504 and 508),ADA of 1990(and as Amended in 2008),Architectural Barriers Act of 1968,Fair Housing Act of 1968(and as Amended in 1988),Air Carrier Access Act of 1986,and the UFAS of 1984.FEMA personal assistance contracts are governed by Section 3(2)of the ADA of 1990(42 U.S.C. 12102(2)and the Stafford Act(Public Law 93-288). 20 Support to children in disasters was added in the June 2016(version 3)of the ESF6 Annex. 21 The authorities governing the declaration of a disaster and the ensuing deployment of reunification services by FEMA MC/EA are the Stafford Act(Section 403),and Title 6 U.S.C.§774.NECLC is authorized under the Stafford Act(Sections 403 and 774). 22 The authorities governing the declaration of a disaster and the ensuing household pets,service animals,and assistance animals support by FEMA MC/EA are the Stafford Act(Sections 309,402,403,502,611,and 613). 23 The authorities governing the declaration of a disaster and the ensuing deployment of mass evacuee assistance by FEMA MC/EA are the Stafford Act(Sections 309,402,403,502),and Title 6 U.S.C.§§774 and 775. 24 The guidelines for Transitional Sheltering Assistance(TSA)are currently under review in order to incorporate changes resulting from the 2017 Hurricane Season. Due to the publication date of the IAPPG,the updated guidelines could not be included. The new guidelines will be published as soon as they are available.At this time,the operation of the program will be determined on a disaster-specific basis. 25 The guidelines for Transitional Sheltering Assistance(TSA)are currently under review in order to incorporate changes resulting from the 2017 Hurricane Season. Due to the publication date of the IAPPG,the updated guidelines could not be included. The new guidelines will be published as soon as they are available.At this time,the operation of the program will be determined on a disaster-specific basis. 263 161181 Endnotes 26 Section 403,42 U.S.C.§5170b,Essential Assistance;Section 408,42 U.S.C.§5174,Federal Assistance to Individuals and Households;and Section 502,42 U.S.C.§5192,Federal Emergency Assistance,of the Robert T.Stafford Disaster Relief and Emergency Assistance Act,as amended. 27 IRC Section 61(a),and Sections 139(a),(b)(1),(b)(4),(c)(2),(c)(4),and(h). 2844 C.F.R.§206.110(f). 2944 C.F.R.§206.110(g). 3°Stafford Act§408(c(1)(B)(iii),42 U.S.C.§5174(c)(1)(B)(iii)and 44 C.F.R.§206.110(e). 3144 C.F.R.§206.110(e). 32 44 C.F.R.§206.110(e). 33 This minimum is only limited to initial IHP awards.There is no minimum award amount for secondary awards. 34 Stafford Act§408(h),42 U.S.C.§5174(h)and 44 C.F.R.§206.110(b). 35 Stafford Act§408(b)(2)(B),42 U.S.C.§5174(b)(2)(B)and§206.110(c). 36 Stafford Act§408(h),42 U.S.C.§5174(h)and 44 C.F.R.§206.110(b). 37 Stafford Act§408(c)(1)(A)(i),42 U.S.C.5174(c)(I)(A)(i)and 44 C.F.R.206.117(b)(1)(i). 38 Id.;44§C.F.R.206.111. 39 Stafford Act§408(c)(2),42 U.S.C.§5174(c)(2)and 44 C.F.R.§206.117(b)(2). 40 Stafford Act§408(c)(3),42 U.S.C.§5I74(c)(2)and 44 C.F.R.§206.117(b)(3). 41 Stafford Act§408(c)(1)(B)(i),42 U.S.C.§5174(c)(1)(B)(i)and 44 C.F.R.§206.117(b)(1)(ii). 42 Stafford Act§408(c)(1)(B)(ii),42 U.S.C.§5174(c)(1)(B)(ii). 43 Stafford Act§408(c)(4),42 U.S.C.§5174(c)(4)and 44 C.F.R.§206(b)(4). 44 Stafford Act§408(e),42 U.S.C.§5174(e)and 44 C.F.R.§206.119. 4542 U.S.C.§5174(i). 46 Stafford Act§408(a)(1),42 U.S.C.§5174(a)(1).Disaster Operations Legal Reference,Version 2.0,Department of Homeland Security,June 1,2013. 47 Id. 48 Stafford Act§408(i),42 U.S.C.§5174(i). 49 44 C.F.R.§206.113(a)(3). 50 44 C.F.R.§206.113(a)(3). 5144 C.F.R.§206.111. 5244 C.F.R.§206.111. 53 44 C.F.R.§206.113(b)(7). 54 44 C.F.R.§206.113(b)(7). 5544 C.F.R.§61,Appendix A(1)and A(3). 56 44 C.F.R.§61. 57 44 C.F.R.206.110(k)(3). 58 44 C.F.R.§61.17 Appendix A.III.6. 59 44 C.F.R.§206.115(a). 60 44 C.F.R.§206.115(b). 61 44 C.F.R.§206.115(f). 62 Id. 63 42 U.S.C.§5151(a);44 C.F.R.§7. 6444 C.F.R.§206.112(a). 65 44 C.F.R.§206.112(c). 66 44 C.F.R.§206.110. 67 44 C.F.R.§206.117(b)(1)(i). 68 44 C.F.R.§206.110. 6942 U.S.C.§5174(c)(1)(A)(i)and 44 C.F.R.§206.117(b)(1)(i). 7044 C.F.R.§206.111. 7144 C.F.R.§206.117(b)(1)(i)(B). 7244 C.F.R.§206.117(b)(1)(i)(C). 73 Stafford Act§408(c)(1)(A)(ii). 7444 C.F.R.§206.113(b)(2). 7544 C.F.R.§206.113(b)(3). 7644 C.F.R.§206.117(b)(1)(i)(A). 7744 C.F.R.§206.114(a). 78 44 C.F.R.§206.114(b)(3). 7944 C.F.R.§206.111. 8044 C.F.R.§206.111. 81 44 C.F.R.§206.114(b)(2). 82 44.C.F.R.§206.114(b)(2). 8342 U.S.C.§5174(c)(2)and 44 C.F.R.§206.114(b)(2). s,44 L.r.x.g 2Ub.1 1 i(.11)lZ)(11)(r)• 264 1611B1 Endnotes 85 42 U.S.C.§5174(c)(1)(B)and 44 C.F.R.§206.117(b)(1)(ii). 8642 U.S.C.§5174(c)(4)and 44 C.F.R.§206.117(b)(4). 87 Stafford Act,codified at 42 U.S.C.§5174,408(c)(B)(1). 88 This threshold is based on a 2012 statistical analysis of FEMA direct housing operations from 2008 to 2011. 89 Resource:Department of Housing and Urban Development(HUD)—Housing Quality Standards. 90 44 C.F.R.§206.117(b)(1)(ii)(G). 91 44 C.F.R.§206.117(b)(1)(ii)(H). 92 42 U.S.C.§5174(c)(1)(B)(iii). 93 44 C.F.R.§206.117(b)(1)(ii)(F). 9444 C.F.R.§206.117(b)(1)(ii)(F). 95 For example,if the original period of assistance ends on March 24,2016,and the extension is granted,rent will begin to accrue on April 1,2016. 96 For example,if rent begins to accrue on April 1,2016,the primary occupant's first monthly rent payment will be due on May 1,2016. 97 44 C.F.R.§206.117(b)(1)(ii)(G). 98 42 U.S.C.§5174(c)(1)(B)(ii). 99 haps://www.access-board.gov/guidelines-and-standards/buildings-and-sites/about-the-ada-standards/background/adaag 100 Landlords may not prohibit service animals or charge"pet rent"or a pet deposit for service animals(Fair Housing Act,42 U.S.C.§3601—3619). 10124 C.F.R.§3280,Manufactured Home Construction and Safety Standards. 102 In accordance with 44 C.F.R.§9.13. 103 44 C.F.R.§9.13,Executive Order 11988-Floodplain Management,Executive Order 11990-Protection of Wetlands,and FEMA Instruction 108-1-1. 104 Dispose means to release a unit from FEMA's inventory. 10542 U.S.C.§5174(d)(2)(B);44 C.F.R.§206.118. 10642 U.S.C.§5174(d)(2)(A)(i);44 C.F.R.§206.118(a)(1)(i). 107 FEMA will use the MHU Depreciation Calculator to identify the AFMV of a unit. 10842 U.S.C.§4012(a). 1°944 C.F.R.§9.6. 110 42 U.S.C.§5174(d)(2)(B)(ii);44 C.F.R.§206.118(a)(2)(i). 11142 U.S.C.§5174(d)(2)(B)(ii)(b);44 C.F.R.§206.118(a)(2)(i)(B). 11242 U.S.C.§5151;44 C.F.R.§206.118(a)(2)(i)(A). 113 42 U.S.C.§5174(c)(1)(B)(i) 114 Landlords may not prohibit service animals or charge"pet rent"or a pet deposit for service animals.(Fair Housing Act,42 U.S.C.§§3601—3619). 115 42 U.S.C.§5174(c)(4)and 44 C.F.R.§206.117(b)(4). 11644 C.F.R.§206.117(2)(ii). 117 42 U.S.C.§5174(e). 11842 U.S.C.§5174(g). 119 Please refer to Chapter 1:Introduction,for further information on the relationship between IHP and other forms of assistance, including SBA. 12042 U.S.C.§5174(h). 12144 C.F.R.§206.120(b). 12244 C.F.R.§206.120(a)and(b). 123 44 C.F.R.§206.120(d). 124 44 C.F.R.§206.120(a). 12544 C.F.R.§206.120(c)(1). 126 44 C.F.R.§206.120(b). 127 44 C.F.R.§206.120(c)(1). 12844 C.F.R.§206.120(c)and(d). 129 Id. 130 44 C.F.R.§206.120(c)(3)(i)and 44 C.F.R.§206.120(c)(3)(ii). 131 44 C.F.R.§206.119(c)(4). 132 https://www.cdc.gov/nchs/data/nvss/vsrg/vsrg0I.pdf. 133 44 C.F.R.§206.119(c)(3)(i)and(ii). 13442 U.S.C.§5174(e)(1). 13542 U.S.C.§ 12102(1)defines disability to mean,"(A)a physical or mental impairment that substantially limits one or more major life activities of such individual;(B)a record of such an impairment;and(C)being regarded as having such an impairment..." 136 136 34 C.F.R.§ 104. 13744 C.F.R.§206.119(c)(6)(ii). '8 44 U.r.x.g zue.tZu(c)(i)(i)ana(u). 265 161181 Endnotes 13944 C.F.R.§206.119(c)(1). 140 44 C.F.R.§206.119(c)(2). 141 44 C.F.R.§206.119(c)(5). 142 Id. 143 44 C.F.R.§206.119(d)and 44 C.F.R.§61.17. 14444 C.F.R.§206.119(c)(6)(i)and(d)(2). 14544 C.F.R.§61,Appendix A(1). 146 Section 312(c)of the Stafford Act,42 U.S.C.§5155(c)and 44 C.F.R.§206.191. 147 Stafford Act§312,42 U.S.C.§5155. 148 Examples of"Certain Federal benefit payments"include Social Security(other than Supplemental Security Income),Railroad Retirement(other than tier 2),and Black Lung(part B)benefits,and other Federal payments including certain loans that are not exempt from offset. 149 Section 426 of the Robert T.Stafford Disaster Relief and Emergency Assistance Act,42 U.S.C.§5189d. 150 2 C.F.R.§200.458. 1512 C.F.R.§200.303. 152 Section 423 of the Stafford Act(42 U.S.C.§5189a). 153 42 U.S.C.§5189a. 1542 C.F.R.§200.339. 155 2 C.F.R.200.327 156 2 C.F.R.§200.327. 1572 C.F.R.§200.327-200.329. 's8 2 C.F.R.§200.343. '59 2 C.F.R.§200.333. leo 44 C.F.R.§206.171. 161 Section 416 of the Robert T.Stafford Disaster Relief and Emergency Assistance Act,42 U.S.C.§5183. 162 44 C.F.R.§206.171. 16344 C.F.R.§206.171 (f)(1)(i)(ii). 164 2 C.F.R.§200.458. 16544 C.F.R.§206.171(0(3). 166 44 C.F.R.§206.171(0(3). 1672 C.F.R.§200.333. 168 44 C.F.R.§206.171 (g)(4)(i). 169 44 C.F.R.§206.171 (g)(4)(i). 1702 C.F.R.§200.333. 171 Section 423,Stafford Act(42 USC§5189a) 172 42 U.S.C.§5182. '7342 U.S.C.§5177. '74 Published weekly by DOL. 175 20 C.F.R.§625.6. 17620 C.F.R.§625.4 Eligibility requirements for Disaster Unemployment Assistance. 177 The Americans with Disabilities Act of 1990 prohibits recipients from discriminating on the basis of disability in the operation of public entities,public and private transportation systems,places of public accommodation,and certain testing entities. In order to ensure compliance,recipients must provide program access,ensure effective communication,and provide physical access for persons with disabilities in developing budgets and in conducting programs and activities. The US Supreme Court decided in its 1999 Olmstead decision that the Americans with Disabilities Act requires provision of services to individuals with disabilities in the"most integrated setting." 178 https://www.fema.gov/media-library/assets/documents/32282. 17944 C.F.R.§206.111. 180 FEMA itself has similar civil rights responsibilities for the public-facing programs and activities it conducts,such as providing disaster assistance,temporary housing,home inspections,National Flood Insurance Program and Flood Insurance Advocate,public messaging and information,training to state,territorial,and tribal officials,among others.See,e.g.,44 C.F.R.§ 16. 181 PPD-8 Access and Functional Needs Working Group 2014 182 2 C.F.R.§200.307. 183 http://www.nvoad.org/wp-content/uploads/2014/05/long_term_recovery_guide_-_final_2012.pdf 266 161182 Ron DeSantlis DE.‘i Ken Lawson GOVERNOR FLORIDA DEPARTMENT EXECUTIVE DIRECTOR ECONOMIC OPPORTUNITY RECEIVED December 3,2019 DEC 1 0 2019 OFFICES OF COLLIER COUNTY The Honorable William L. McDaniel,Jr. BOARD OF COUNTY COMMISSIONERS Chairman,Collier County Board of County Commissioners 3299 Tamiami Trail East,Suite 303 Naples, Florida 34112 Dear Chairman McDaniel: The Department of Economic Opportunity("Department") has reviewed the proposed comprehensive plan amendment for Collier County(Amendment No. 19-05ESR) received on November 5,2019.The review was completed under the expedited state review process. We have no comment on the proposed amendment. The County should act by choosing to adopt,adopt with changes,or not adopt the proposed amendment. For your assistance,we have enclosed the procedures for adoption and transmittal of the comprehensive plan amendment. In addition,the County is reminded that: • Section 163.3184(3)(b), F.S., authorizes other reviewing agencies to provide comments directly to the County. If the County receives reviewing agency comments and they are not resolved, these comments could form the basis for a challenge to the amendment after adoption. • The second public hearing,which shall be a hearing on whether to adopt one or more comprehensive plan amendments, must be held within 180 days of your receipt of agency comments or the amendment shall be deemed withdrawn unless extended by agreement with notice to the Department and any affected party that provided comment on the amendment pursuant to Section 163.3184(3)(c)1., F.S. • The adopted amendment must be rendered to the Department. Under Section 163.3184(3)(c)2. and 4., F.S.,the amendment effective date is 31 days after the Department notifies the County that the amendment package is complete or, if challenged, until it is found to be in compliance by the Department or the Administration Commission. Florida Department of Economic Opportunity!Caldwell Building 1 107 E. Madison Street 1 Tallahassee,FL 32399 850.245.7105 1 www.FloridaJobs.orq www.twitter.com/FLDEO 1www.facebook.com/FLDEO An equal opportunity employer/program.Auxiliary aids and service are available upon request to individuals with disabilities.All voice telephone numbers on this document may be reached by persons using TTY/TTD equipment via the Florida Relay Service at 711. 161182 The Honorable William L.McDaniel,Jr.,Chairman December 3,2019 Page 2 of 2 If you have any questions concerning this review,please contact Scott Rogers,Planning Analyst, by telephone at (850)717-8510 or by email at scott.rogers@deo.myflorida.com. Sinc ly, fel J es D.Stansbury, hief ureau of Community Planning and Growth JDS/sr Enclosure(s): Procedures for Adoption cc:Thaddeus L.Cohen, Department Head,Collier County Growth Management Department Margaret Wuerstle, Executive Director,Southwest Florida Regional Planning Council 161182 SUBMITTAL OF ADOPTED COMPREHENSIVE PLAN AMENDMENTS FOR EXPEDITED STATE REVIEW Section 163.3184(3), Florida Statutes NUMBER OF COPIES TO BE SUBMITTED: Please submit three complete copies of all comprehensive plan materials, of which one complete paper copy and two complete electronic copies on CD ROM in Portable Document Format(PDF)to the State Land Planning Agency and one copy to each entity below that provided timely comments to the local government:the appropriate Regional Planning Council;Water Management District; Department of Transportation; Department of Environmental Protection; Department of State;the appropriate county(municipal amendments only);the Florida Fish and Wildlife Conservation Commission and the Department of Agriculture and Consumer Services (county plan amendments only);and the Department of Education (amendments relating to public schools); and for certain local governments,the appropriate military installation and any other local government or governmental agency that has filed a written request. SUBMITTAL LETTER: Please include the following information in the cover letter transmitting the adopted amendment: State Land Planning Agency identification number for adopted amendment package; Summary description of the adoption package,including any amendments proposed but not adopted; Identify if concurrency has been rescinded and indicate for which public facilities. (Transportation, schools, recreation and open space). Ordinance number and adoption date; Certification that the adopted amendment(s)has been submitted to all parties that provided timely comments to the local government; Name,title, address,telephone,FAX number and e-mail address of local government contact; Letter signed by the chief elected official or the person designated by the local government. Revised:June 2018 Page 1 161182 ADOPTION AMENDMENT PACKAGE: Please include the following information in the amendment package: In the case of text amendments, changes should be shown in strike-through/underline format. In the case of future land use map amendments, an adopted future land use map,in color format, clearly depicting the parcel, its future land use designation, and its adopted designation. A copy of any data and analyses the local government deems appropriate. Note: If the local government is relying on previously submitted data and analysis,no additional data and analysis is required; Copy of the executed ordinance adopting the comprehensive plan amendment(s); Suggested effective date language for the adoption ordinance for expedited review: "The effective date of this plan amendment, if the amendment is not timely challenged, shall be 31 days after the state land planning agency notifies the local government that the plan amendment package is complete. If the amendment is timely challenged,this amendment shall become effective on the date the state land planning agency or the Administration Commission enters a final order determining this adopted amendment to be in compliance." List of additional changes made in the adopted amendment that the State Land Planning Agency did not previously review; List of findings of the local governing body,if any,that were not included in the ordinance and which provided the basis of the adoption or determination not to adopt the proposed amendment; Statement indicating the relationship of the additional changes not previously reviewed by the State Land Planning Agency in response to the comment letter from the State Land Planning Agency. Revised:June 2018 Page 2 INTP-PL20190000062 Teresa L. Cannon Vineyards PUD From: CasanovaAlexandra <Alexandra.Casanova@colliercountytl.gov> 1 6 l p 3 Sent: Monday, April 1, 2019 5:22 PM To: Minutes and Records Cc: BosiMichael; bellows_r;Ann P.Jennejohn;JorgeShayra; NeetVirginia; RodriguezWanda; ashton_h; kendall_m; SmithCamden; VelascoJessica Subject: Ad request for your review - PL20190000062- Notice of Official Interpretation -The Orchards Community Association, Inc. (INTP) - PO#4500190197 Attachments: OI-Orchards-3-26-19 (004).docx; Signed-OI-PL20190062.pdf; 2 x 3 Ad Map.pdf Good afternoon, Please process the attached and acknowledge receipt at your earliest convenience. Thank you in advance, ezeuara eleagacia Operations Coordinator-Zoning Division 2800 North Horseshoe Drive,Naples,FL 34104 Phone:239-252-2658 Note: Email Address Has Changed Alexandra.casanova@coltiercountvfl.gov Tell us how we are doing by taking our Zoning Division Survey at http://bit.ly/CollierZoning. Confer Count Exceeding Expectations Under Florida Law, e-mail addresses are public records. If you do not want your e-mail address released in response to a public records request, do not send electronic mail to this entity. Instead, contact this office by telephone or in writing. 1 I. 61183 Notice of Official Interpretation of Collier County Land Development Code Ordinance Pursuant to Section I0.03.06.P of the Collier County Land De\elopment Code (LDC), public notice is hereby given of an official interpretation. RE: INTP-2019-PL-0062, OFFICIAL INTERPRETATION REQUESTING THE COLLIER COUNTY ZONING DIRECTOR DETERMINE WHETHER THE VINEYARDS PUD AND THE PLANNING APPROVALS FOR THE GROVES AND THE ORCHARDS REQUIRE MULTIPLE ACCESS POINTS AT VANDERBILT BEACH ROAD AND AIRPORT-PULLING ROAD, THEREBY REQUIRING THE PIPERS GROVE SUBDIVISION TO PROVIDE ACCESS TO THE ORCHARDS SUBDIVISION THROUGH OLD GROVES ROAD TO AIRPORT-PULLING ROAD. The Collier County Zoning Director has been requested to render an official interpretation for the Vineyards PUD regarding required access points and availability for all development within the Vineyards PUD to be able to utilize all required access points. Within the request for the Official Interpretation,you raise five points: 1. The Vineyards PID governs the property in question.The original ordinance is 85- 15,and it has been amended several times. There was a substantial PUD amendment approved by the BOCC in 1991. Ordinance 91-75 states the following on page 46, Miscellaneous: "Access to the project shall be restricted to those access points shown on Exhibits A- I and A-2 hereto,provided that the location of the access to commercial parcels shall be approved by the County Engineer." Exhibits A-I and A-2 from Ordinance 91 -75 are enclosed as Exhibit 3. Those exhibits clearly show that all communities west of Livingston Road are supposed to have access to both Vanderbilt Beach Road and Airport-Pulling Road. 2. Within the Piper Grove planned subdivision approval, a memorandum form the Transportation planning staff stated that the subdivision site plan provides interconnection to the adjacent tract to the east(i.e. The Orchards). 3. The Site Development Plan for the Orchards reviewed by the CCPC contained a memorandum which stated, "access to the proposed subdivision is from Vanderbilt Beach Road.... And Airport-Pulling road..." 4. Within the plat for Piper's Grove One, within the general notes, the plat states, ""Old Groves Road is subject to an easement in favor of Procacci Bros. Sales Corporation, a Pennsylvania corporation, their successors and assigns, an owner of a contiguous tract consisting of approximately 84 acres to the east of Piper's Grove for vehicular and pedestrian access and egress,pursuant to a Declaration of Restrictions recorded at O.R. Book 1898,Pages 2308-2318,ofthe Public Records ofCollierCounty,Florida." 5. References a Declaration of Easement, recorded on December 29,1993, within O.R.Book 1898, Page 2308, Collier County, Florida Public Records. The easement as indicated in point four, provides for access in favor of Tract B, C and D (the Orchards) to Airport- 161163 Pulling Road through "Old Groves Road". As you have indicated within your first point of the Official Interpretation, the Vineyards PUD is the controlling regulatory document for the Orchards, Piper's Grove One and Piper's Grove Two. From review of the Original PUD(Ordinance 85-15)and subsequent amendments(Ord. 91-75 and Ord. 95-62), the PUD is devoid of specific commitments that all access points must be made available to each development tract within the PUD. Within the Master Plans for the various iterations of the PUD, an interconnected street system is provided for, but there is no provision that permits or restricts the placement of gates within the internal PUD. This lack of information designating the location of gates is common to most PUDs, as the internal streets are private and maintained by appropriate homeowners' associations. Further according to the subdivision plat. Old Groves Road is a private road. Further, there is no Community Development District for the Vineyards, therefore, there are no public or quasi-public roads. The easement referenced within O.R. Book 1898, Page 2308, Collier County, Florida Public Records, in favor of Procacci Bros. Sales Corporation, a Pennsylvania corporation, their successors and assigns, an owner of a contiguous tract consisting of approximately 84 acres to the east of Piper's Grove for vehicular and pedestrian access and egress, is a private easement between two parties. The requested official interpretation seeks affirmation that either the Vineyards PUD or Collier County Land Development Code(LDC)requires that the Orchards community is provided access through Old Grooves Road and from review of both documents, there is no such commitment or requirement. While the Vineyards PUD and Master Plan depicts the roadways within the development,both are silent to the location of gates and a commitment that all development within the PUD will be provided access to all the depicted roadways. Within 30 days of publication of the public notice, any affected property owner or aggrieved or adversely affected party may appeal the interpretation to the Board of Zoning Appeals(BZA). An affected property owner is defined as an owner of property within 300 feet of the property lines of the land for which the interpretation is effective. An aggrieved or adversely affected party is defined as any person or group of persons which will suffer an adverse effect to an interest protected or furthered by the Collier County Growth Management Plan or Land Development Code. A request for appeal must be filed in writing and must state the basis for the appeal and include any pertinent information, exhibits,or other back-up information in support of the appeal. The appeal must be accompanied by a$1,000.00 application and processing fee. (If payment is in the form of a check, it should be made out to the Collier County Board of Commissioners.) An appeal can be hand delivered or mailed to my attention at the address provided. Please do not hesitate to contact me should you have any further questions on this matter. The interpretation file and other pertinent information related to this interpretation are kept on file and may be reviewed at the Growth Management Division, Planning and Regulation building at 2800 North Horseshoe Drive, Naples, FL 34104. Please contact the staff member below at (239) 252-6819 to set up an appointment if you wish to review the file. Mike Bosi, AICP, Director. Planning and Zoning Department 1611B3 CID • CL J p s LIVINGSTON RD t o. d a v d a AIRPORT PULLING RD N J 1611B3 Teresa L. Cannon From: RodriguezWanda <Wanda.Rodriguez@colliercountyfl.gov> Sent: Tuesday, April 2, 2019 8:05 AM To: CasanovaAlexandra; Minutes and Records Cc: BosiMichael; ashton_h; SmithCamden; VelascoJessica Subject: RE:Ad request for your review - PL20190000062- Notice of Official Interpretation -The Orchards Community Association, Inc. (INTP) - PO#4500190197 This ad request is good. My understanding is that the requested publication date is this Friday, 4/5/19. Wanda Rodriguez, ACP, CPJ►4 Office of the County Attorney (239) 252-8400 From: CasanovaAlexandra Sent: Monday, April 1, 2019 5:22 PM To: Minutes and Records<MinutesandRecords@collierclerk.com> Cc: BosiMichael <Michael.Bosi@colliercountyfl.gov>; BellowsRay<Ray.Bellows@colliercountyfl.gov>; Ann P.Jennejohn <Ann.Jennejohn@collierclerk.com>;JorgeShayra <Shayra.Jorge@colliercountyfl.gov>; NeetVirginia <Virginia.Neet@colliercountyfl.gov>; RodriguezWanda <Wanda.Rodriguez@colliercountyfl.gov>; AshtonHeidi <Heidi.Ashton@colliercountyfl.gov>; KendallMarcia <Marcia.Kendall@colliercountyfl.gov>; SmithCamden <Camden.Smith@colliercountyfl.gov>;VelascoJessica <Jessica.Velasco@colliercountyfl.gov> Subject:Ad request for your review- PL20190000062- Notice of Official Interpretation -The Orchards Community Association, Inc. (INTP) - PO#4500190197 Good afternoon, Please process the attached and acknowledge receipt at your earliest convenience. Thank you in advance, rieet44e ea:444044z Operations Coordinator-Zoning Division 2800 North Horseshoe Drive,Naples,FL 34104 Phone:239-252-2658 Note: Email Address Has Changed Alexandra.casanova@colliercountvfl.gov Tell us how we are doing by taking our Zoning Division Survey at http://bit.ly/CollierZoning. Colter County Exceeding Expectations 1 Teresa L. Cannon 1 6 I 1 B 3 From: RodriguezWanda <Wanda.Rodriguez@colliercountyfl.gov> Sent: Tuesday, April 2, 2019 8:49 AM To: Minutes and Records Subject: RE: Ad request for your review - PL20190000062- Notice of Official Interpretation - The Orchards Community Association, Inc. (INTP) - PO#4500190197 Yes, and there are a couple of other typos in there also. But Mike Bosi apparently already sent it out that way to the applicant, so I'm not going to worry about typo corrections at this point. I'm OK with publishing as is. "Wanda Rodriguez, ACP, CT.M Office of the County Attorney (239) 252-8400 From:Teresa L. Cannon<Teresa.Cannon@collierclerk.com> On Behalf Of Minutes and Records Sent:Tuesday, April 2, 2019 8:46 AM To: RodriguezWanda<Wanda.Rodriguez@colliercountyfl.gov> Subject: RE: Ad request for your review- PL20190000062- Notice of Official Interpretation -The Orchards Community Association, Inc. (INTP) - PO#4500190197 Hi Wanda, Before I send this NDN,just making sure its correct.After 1. It says Vineyards PID. Is that correct or should it be PUD? Teresa Cannon BMR Senior Clerk II 001 or k Office: 239-252-8411 Fax: 239-252-8408 Teresa.Cannon@CollierClerk.com Office of the Clerk of the Circuit Court &Comptroller of Collier County 3299 Tamiami Trail E, Suite#401 k<orNAN '� Naples, FL 34112-5746 www.CollierClerk.com From: RodriguezWanda <Wanda.RodriguezCc@colliercountyfl.gov> Sent:Tuesday,April 2, 2019 8:05 AM To:CasanovaAlexandra <Alexandra.Casanova@colliercountvfl.gov>; Minutes and Records <MinutesandRecords@collierclerk.com> Cc: BosiMichael<Michael.Bosi@colliercountvfl.gov>; ashton_h <Heidi.Ashton@colliercountvfl.gov>; SmithCamden <Camden.Smith@colliercountyfl.gov>;VelascoJessica<Jessica.Velasco@colliercountyfl.gov> Subject: RE:Ad request for your review- PL20190000062- Notice of Official Interpretation -The Orchards Community Association, Inc. (INTP) - PO#4500190197 1 1 61183 Account #068779 April 2, 2019 Attn: Legals Naples News Media Group 1100 Immokalee Road Naples, Florida 34110 RE: INTP-20190000062 — Vineyards PUD (Display Ad w/Map) Dear Legals: Please advertise the above referenced Display Notice w/Map on Friday, April 5, 2019 and send the Affidavit of Publication with charges involved, to this office. Thank you. Sincerely, Teresa Cannon, Deputy Clerk P.O. #4500190197 Notice of Official Interpretation 1 6 I 1 B 3 of Collier County Land Development Code Ordinance Pursuant to Section 10.03.06.P of the Collier County Land Development Code (LDC), public notice is hereby given of an official interpretation. RE: INTP-2019-PL-0062, OFFICIAL INTERPRETATION REQUESTING THE COLLIER COUNTY ZONING DIRECTOR DETERMINE WHETHER THE VINEYARDS PUD AND THE PLANNING APPROVALS FOR THE GROVES AND THE ORCHARDS REQUIRE MULTIPLE ACCESS POINTS AT VANDERBILT BEACH ROAD AND AIRPORT- PULLING ROAD, THEREBY REQUIRING THE PIPERS GROVE SUBDIVISION TO PROVIDE ACCESS TO THE ORCHARDS SUBDIVISION THROUGH OLD GROVES ROAD TO AIRPORT-PULLING ROAD. The Collier County Zoning Director has been requested to render an official interpretation for the Vineyards PUD regarding required access points and availability for all development within the Vineyards PUD to be able to utilize all required access points. Within the request for the Official Interpretation,you raise five points: 1. The Vineyards PID governs the property in question. The original ordinance is 85-15, and it has been amended several times. There was a substantial PUD amendment approved by the BOCC in 1991. Ordinance 91-75 states the following on page 46, Miscellaneous: "Access to the project shall be restricted to those access points shown on Exhibits A-1 and A-2 hereto, provided that the location of the access to commercial parcels shall be approved by the County Engineer." Exhibits A-1 and A-2 from Ordinance 91-75 are enclosed as Exhibit 3. Those exhibits clearly show that all communities west of Livingston Road are supposed to have access to both Vanderbilt Beach Road and Airport-Pulling Road. 2. Within the Piper Grove planned subdivision approval, a memorandum form the Transportation planning staff stated that the subdivision site plan provides interconnection to the adjacent tract to the east(i.e. The Orchards). 3. The Site Development Plan for the Orchards reviewed by the CCPC contained a memorandum which stated, "access to the proposed subdivision is from Vanderbilt Beach Road.... And Airport-Pulling road..." 4. Within the plat for Piper's Grove One, within the general notes, the plat states, "Old Groves Road is subject to an easement in favor of Procacci Bros. Sales Corporation, a Pennsylvania corporation, their successors and assigns, an owner of a contiguous tract consisting of approximately 84 acres to the east of Piper's Grove for vehicular and pedestrian access and egress,pursuant to a Declaration of Restrictions recorded at O.R. Book 1898, Pages 2308-2318, of the Public Records ofCollier County,Florida." 5. References a Declaration of Easement, recorded on December 29, 1993, within O.R. Book 1898, Page 2308, Collier County, Florida Public Records. The easement as indicated in point four, provides for access in favor of Tract B, C and D (the Orchards)to 1611B3 Airport-Pulling Road through"Old Groves Road". As you have indicated within your first point of the Official Interpretation, the Vineyards PUD is the controlling regulatory document for the Orchards, Piper's Grove One and Piper's Grove Two. From review of the Original PUD (Ordinance 85-15) and subsequent amendments (Ord. 91-75 and Ord. 95-62), the PUD is devoid of specific commitments that all access points must be made available to each development tract within the PUD. Within the Master Plans for the various iterations of the PUD, an interconnected street system is provided for, but there is no provision that permits or restricts the placement of gates within the internal PUD. This lack of information designating the location of gates is common to most PUDs, as the internal streets are private and maintained by appropriate homeowners' associations. Further according to the subdivision plat, Old Groves Road is a private road. Further, there is no Community Development District for the Vineyards, therefore, there are no public or quasi-public roads. The easement referenced within O.R. Book 1898, Page 2308, Collier County, Florida Public Records, in favor of Procacci Bros. Sales Corporation, a Pennsylvania corporation, their successors and assigns, an owner of a contiguous tract consisting of approximately 84 acres to the east of Piper's Grove for vehicular and pedestrian access and egress, is a private easement between two parties. The requested official interpretation seeks affirmation that either the Vineyards PUD or Collier County Land Development Code (LDC) requires that the Orchards community is provided access through Old Grooves Road and from review of both documents, there is no such commitment or requirement. While the Vineyards PUD and Master Plan depicts the roadways within the development, both are silent to the location of gates and a commitment that all development within the PUD will be provided access to all the depicted roadways. Within 30 days of publication of the public notice, any affected property owner or aggrieved or adversely affected party may appeal the interpretation to the Board of Zoning Appeals (BZA). An affected property owner is defined as an owner of property within 300 feet of the property lines of the land for which the interpretation is effective. An aggrieved or adversely affected party is defined as any person or group of persons which will suffer an adverse effect to an interest protected or furthered by the Collier County Growth Management Plan or Land Development Code. A request for appeal must be filed in writing and must state the basis for the appeal and include any pertinent information, exhibits, or other back-up information in support of the appeal. The appeal must be accompanied by a $1,000.00 application and processing fee. (If payment is in the form of a check, it should be made out to the Collier County Board of Commissioners.) An appeal can be hand delivered or mailed to my attention at the address provided. Please do not hesitate to contact me should you have any further questions on this matter. The interpretation file and other pertinent information related to this interpretation are kept on file and may be reviewed at the Growth Management Division, Planning and Regulation building at 2800 North Horseshoe Drive, Naples, FL 34104. Please contact the staff member below at (239) 252-6819 to set up an appointment if you wish to review the file. Mike Bosi, AICP, Director, Planning and Zoning Department I, 61183 CR Vz a J 0 5 L-IVINGSTON RD m � o dN O > O 5 O AIRPORT PULLING RD N 161183 Teresa L. Cannon From: Teresa L. Cannon Sent: Tuesday, April 2, 2019 8:54 AM To: Naples Daily News Legals Subject: INTP-PL20190000062 -Vineyards PUD Attachments: INTP-20190000062 -Vineyards PUD.doc; INTP-PL20190000062 (Vineyards PUD).doc; INTP-PL20190000062 (Vineyards PUD).pdf Lega Is, Please advertise the attached Display Ad w/Map on Friday,April 5,2019.Thanks Teresa Cannon BMR Senior Clerk II `ok k ,(,,,;k� Office: 239-252-8411 Fax: 239-252-8408 x Teresa.Cannon@CollierClerk.com Office of the Clerk of the Circuit Court &Comptroller of Collier County 3299 Tamiami Trail E,Suite#401 .ocnri.�`` Naples, FL 34112-5746 www.CollierClerk.com 1 1611B3 Teresa L. Cannon From: NDN-Legals <legals@naplesnews.com> Sent: Tuesday, April 2, 2019 3:39 PM To: Teresa L. Cannon Subject: RE: INTP-PL20190000062 -Vineyards PUD Attachments: ND-2263335 (1).pdf Please use caution when opening attachments, clicking links, or replying to this message. Attached is your proof. From:Teresa L. Cannon <Teresa.Cannon@collierclerk.com> Sent:Tuesday,April 02, 2019 3:18 PM To: NDN-Legals<legals@naplesnews.com> Subject: RE: INTP-PL20190000062 -Vineyards PUD Thanks, I have not received it. Teresa Cannon BMR Senior Clerk II o Ll i CPI q, Office: 239-252-8411 �'+.,� Fax: 239-252-8408 Teresa.Cannon@CollierClerk.com ae Office of the Clerk of the Circuit Court &Comptroller of Collier County ted` 3299 Tamiami Trail E, Suite#401 a<<K,�� N'� Naples, FL 34112-5746 www.CollierClerk.com From: NDN-Legals<legals@naplesnews.com> Sent:Tuesday,April 2, 2019 2:24 PM To:Teresa L.Cannon <Teresa.Cannon@collierclerk.com> Subject: RE: INTP-PL20190000062 -Vineyards PUD :_ ternal Message: Please use caution when opening attachments, clicking links, or replying to this message. Yes, Let me resend you the proof. From:Teresa L. Cannon<Teresa.Cannon@collierclerk.com> Sent:Tuesday, April 02, 2019 2:22 PM To: NDN-Legals<legals@naplesnews.com> Subject: FW: INTP-PL20190000062 -Vineyards PUD Legals, Did you receive this request sent this morning? 1 Notice of Official Interpretation i 61 1 B 3 sf Collier County Land Development Code Ordinance Pursuant to Section 10.03.06.P of the Collier County Land Development Code(LDC),public notice is hereby given of an official interpretation. RE:INTP-2019-PL-0062,OFFICIAL INTERPRETATION REQUESTING THE COLLIER COUNTY ZONING DIRECTOR DETERMINE WHETHER THE VINEYARDS PUD AND THE PLANNING APPROVALS FOR THE GROVES AND THE ORCHARDS REQUIRE MULTIPLE ACCESS POINTS AT VANDERBILT BEACH ROAD AND AIRPORT-PULLING ROAD,THEREBY REQUIRING THE PIPERS GROVE SUBDIVISION TO PROVIDE ACCESS TO THE ORCHARDS SUBDIVISION THROUGH OLD GROVES ROAD TO AIRPORT-PULLING ROAD. The Collier County Zoning Director has been requested to render an official interpretation for the Vineyards PUD regarding required access points and availability for all development within the Vineyards PUD to be able to utilize all required access points. Within the request for the Official Interpretation,you raise five points: 1. The Vineyards PID governs the property in question.The original ordinance is 85-15,and it has been amended several times.There was a substantial PUD amendment approved by the BOCC in 1991.Ordinance 91-75 states the following on page 46,Miscellaneous:"Access to the project shall be restricted to those access points shown on Exhibits A-1 and A-2 hereto,provided that the location of the access to commercial parcels shall be approved by the County Engineer." Exhibits A-1 and A-2 from Ordinance 91-75 are enclosed as Exhibit 3.Those exhibits clearly show that all communities west of Livingston Road are supposed to have access to both Vanderbilt Beach Road and Airport-Pulling Road. 2. Within the Piper Grove planned subdivision approval,a memorandum form the Transportation planning staff stated that the subdivision site plan provides interconnection to the adjacent tract to the east(i.e. The Orchards). 3. The Site Development Plan for the Orchards reviewed by the CCPC contained a memorandum which stated, "access to the proposed subdivision is from Vanderbilt Beach Road....And Airport-Pulling road..." 4. Within the plat for Piper's Grove One,within the general notes,the plat states,"Old Groves Road is subject to an easement in favor of Procacci Bros.Sales Corporation,a Pennsylvania corporation,their successors and assigns,an owner of a contiguous tract consisting of approximately 84 acres to the east of Piper's Grove for vehicular and pedestrian access and egress,pursuant to a Declaration of Restrictions recorded at O.R.Book 1898, Pages 2308-2318,of the Public Records of Collier County,Florida." 5. References a Declaration of Easement,recorded on December 29,1993,within O.R.Book 1898,Page 2308, Collier County, Florida Public Records. The easement as indicated in point four, provides for access in favor of Tract B,C and D(the Orchards)to Airport-Pulling Road through"Old Groves Road". As you have indicated within your first point of the Official Interpretation,the Vineyards PUD is the controlling regulatory document for the Orchards,Piper's Grove One and Piper's Grove Two. From review of the Original PUD(Ordinance 85-15)and subsequent amendments(Ord.91-75 and Ord.95-62),the PUD is devoid of specific commitments that all access points must be made available to each development tract within the PUD.Within the Master Plans for the various iterations of the PUD,an interconnected street system is provided for,but there is no provision that permits or restricts the placement of gates within the internal PUD. This lack of information designating the location of gates is common to most PUDs,as the internal streets are private and maintained by appropriate homeowners'associations. Further according to the subdivision plat,Old Groves Road is a private road. Further,there is no Community Development District for the Vineyards,therefore,there are no public or quasi- public roads. The easement referenced within O.R.Book 1898,Page 2308,Collier County,Florida Public Records, in favor of Procacci Bros.Sales Corporation,a Pennsylvania corporation,their successors and assigns,an owner of a contiguous tract consisting of approximately 84 acres to the east of Piper's Grove for vehicular and pedestrian access and egress,is a private easement between two parties The requested official interpretation seeks affirmation that either the Vineyards PUD or Collier County Land Development Code(LDC)requires that the Orchards community is provided access through Old Grooves Road and from review of both documents,there is no such commitment or requirement. While the Vineyards PUD and Master Plan depicts the roadways within the development,both arc silent to the location of gates and a commitment that all development within the PUD will be provided access to all the depicted roadways. Within 30 days of publication of the public notice,any affected property owner or aggrieved or adversely affected party may appeal the interpretation to the Board of Zoning Appeals(BZA). An affected property owner is defined as an owner of property within 300 feet of the property lines of the land for which the interpretation is effective. An aggrieved or adversely affected party is defined as any person or group of persons which will suffer an adverse effect to an interest protected or furthered by the Collier County Growth Management Plan or Land Development Code.A request for appeal must be filed in writing and must state the basis for the appeal and include any pertinent information,exhibits,or other back-up information in support of the appeal. The appeal must be accompanied by a$1,000.00 application and processing fee.(If payment is in the form of a check,it should be made out to the Collier County Board of Commissioners.) An appeal can be hand delivered or mailed to my attention at the address provided. Please do not hesitate to contact me should you have any further questions on this matter. The interpretation file and other pertinent information related to this interpretation are kept on file and may be reviewed at the Growth Management Division,Planning and Regulation building at 2800 North Horseshoe Drive, Naples,FL 34104.Please contact the staff member below at(239)252-6819 to set up an appointment if you wish to review the file. Mike Bosi,AICP,Director, Planning and Zoning Department auaaaasse 0 PROOF O.K.BY: 0 O.K.WITH CORRECTIONS BY: PLEASE READ CAREFULLY•SUBMIT CORRECTIONS ONLINE ADVERTISER:BCC_ZONING DEPARTMENT PROOF CREATED AT:4/2/2019 11:08 AM SALES PERSON: Gloria Kennedy PROOF DUE: ND-2263335.INDD PUBLICATION:ND-DAILY NEXT RUN DATE:04/05/19 SIZE:3 col X 9.25 in 16I1B3 Teresa L. Cannon To: RodriguezWanda; CasanovaAlexandra; BosiMichael Subject: FW: INTP-PL20190000062 -Vineyards PUD Attachments: ND-2263335 (1).pdf Please review!Thansk Teresa Cannon BMR Senior Clerk II `�•;,,<o+;k� Office: 239-252-8411 �� 4rGfi Fax: 239-252-8408 Teresa.Cannon@CollierClerk.com Office of the Clerk of the Circuit Court * * &Comptroller of Collier County rr%</ `��,� 3299 Tamiami Trail E, Suite#401 "4(019.ri ' Naples, FL 34112-5746 www.CollierClerk.com From: NDN-Legals<legals@naplesnews.com> Sent:Tuesday, April 2, 2019 3:39 PM To:Teresa L. Cannon<Teresa.Cannon@collierclerk.com> Subject: RE: INTP-PL20190000062 -Vineyards PUD _xterra? ,,{1essaz2: Please use caution when opening attachments, clicking links, or replying to this message. Attached is your proof. From:Teresa L. Cannon<Teresa.Cannon@collierclerk.com> Sent:Tuesday, April 02, 2019 3:18 PM To: NDN-Legals<legals@naplesnews.com> Subject: RE: INTP-PL20190000062 -Vineyards PUD Thanks, I have not received it. Teresa Cannon BMR Senior Clerk II ,`M,+„+.w"� Office: 239-252-8411 '' Fax: 239-252-8408 Teresa.Cannon@CollierClerk.com Office of the Clerk of the Circuit Court &Comptroller of Collier County 3299 Tamiami Trail E, Suite#401 "<<4N.+N `‘‘ Naples, FL 34112-5746 www.CollierClerk.com 161183 Teresa L. Cannon From: NDN-Legals <legals@naplesnews.com> Sent: Wednesday, April 3, 2019 10:34 AM To: Teresa L. Cannon Subject: RE: INTP-PL20190000062 -Vineyards PUD Attachments: ND-2263335 (2).pdf External Message: Please use caution when opening attachments, clicking links, or replying to this message. Attached is your proof. From:Teresa L. Cannon<Teresa.Cannon@collierclerk.com> Sent:Tuesday,April 02, 2019 8:54 AM To: NDN-Legals<legals@naplesnews.com> Subject: INTP-PL20190000062 -Vineyards PUD Legals, Please advertise the attached Display Ad w/Map on Friday,April 5,2019.Thanks Teresa Cannon BMR Senior Clerk II , � Office: 239-252-8411 �.Y 1'•., Fax: 239-252-8408 Teresa.Cannon@CollierClerk.com f - Office of the Clerk of the Circuit Court &Comptroller of Collier County dc'' 3299 Tamiami Trail E,Suite#401 ,'4'4 fig NO.‘‘1/4 Naples, FL 34112-5746 www.CollierClerk.com Please visit us on the web at http://protect-us.mimecast.com/s/o vwCW6KY7i5IEgomSKHecv?domain=collierclerk.com This electronic communication is confidential and may contain privileged information intended solely for the named addressee(s). It may not be used or disclosed except for the purpose for which it has been sent.If you are not the intended recipient,you must not copy,distribute or take any action induced by or in reliance on information contained in this message. Unless expressly stated,opinions in this message are those of the individual sender and not of the Office of the Clerk of the Circuit Court of Collier County. If you have received this communication in error, please notify the Clerk's Office by emailing helpdesk@collierclerk.com quoting the sender and delete the message and any attached documents.The Collier County Clerk's Office accepts no liability or responsibility for any onward transmission or use of emails and attachments having left the CollierClerk.com domain. Under Florida Law,e-mail addresses are public records. If you do not want your e-mail address released in response to a public records request,do not send electronic mail to this entity. Instead,contact this office by telephone or in writing. 1 Notice of Official Interpretation b I 1 B 3 of Collier County Land Development Code Ordinance Pursuant to Section 10.03.06.P of the Collier County Land Development Codc(LDC),public notice is hereby given of an official interpretation. RE:INTP-2019-PL-0062,OFFICIAL INTERPRETATION REQUESTING THE COLLIER COUNTY ZONING DIRECTOR DETERMINE WHETHER THE VINEYARDS PUD AND THE PLANNING APPROVALS FOR THE GROVES AND THE ORCHARDS REQUIRE MULTIPLE ACCESS POINTS AT VANDERBILT BEACH ROAD AND AIRPORT-PULLING ROAD,THEREBY REQUIRING THE PIPERS GROVE SUBDIVISION TO PROVIDE ACCESS TO THE ORCHARDS SUBDIVISION THROUGH OLD GROVES ROAD TO AIRPORT- PULLING ROAD. Project Location D Vanderbilt Beach RD O Old Groves RD r VINEYARDSZI y1NEYAROS r- N r O l7 e Z. The Collier County Zoning Director has been requested to render an official interpretation for the Vineyards PUD regarding required access points and availability for all development within the Vineyards PUD to be able to utilize all required access points. Within the request for the Official Interpretation,you raise five points: 1. The Vineyards PID governs the property in question.The original ordinance is 85-15,and it has been amended several times.There was a substantial PUD amendment approved by the BOCC in 1991. Ordinance 91-75 states the following on page 46, Miscellaneous: "Access to the project shall be restricted to those access points shown on Exhibits A-1 and A-2 hereto,provided that the location of the access to commercial parcels shall be approved by the County Engineer." Exhibits A-1 and A-2 from Ordinance 91-75 are enclosed as Exhibit 3.Those exhibits clearly show that all communities west of Livingston Road are supposed to have access to both Vanderbilt Beach Road and Airport-Pulling Road. 2. Within the Piper Grove planned subdivision approval,a memorandum form the Transportation planning staff stated that the subdivision site plan provides interconnection to the adjacent tract to the east (i.e. The Orchards). 3. The Site Development Plan for the Orchards reviewed by the CCPC contained a memorandum which stated, "access to the proposed subdivision is from Vanderbilt Beach Road....And Airport-Pulling road..." 4. Within the plat for Piper's Grove One,within the general notes,the plat states,"Old Groves Road is subject to an casement in favor of Procacci Bros. Sales Corporation,a Pennsylvania corporation,their successors and assigns,an owner of a contiguous tract consisting of approximately 84 acres to the east of Piper's Grove for vehicular and pedestrian access and egress,pursuant to a Declaration of Restrictions recorded at O.R.Book 1898, Pages 2308-2318,of the Public Records of Collier County,Florida." 5. References a Declaration of Easement,recorded on December 29, 1993,within O.R.Book 1898,Page 2308, Collier County, Florida Public Records. The easement as indicated in point four, provides for access in favor of Tract B, C and D (the Orchards) to Airport-Pulling Road through "Old Groves Road". As you have indicated within your lirst point of the Official Interpretation,the Vineyards PUD is the controlling regulatory document for the Orchards,Piper's Grove One and Piper's Grove Two. From review of the Original PUD (Ordinance 85-15)and subsequent amendments(Ord.91-75 and Ord.95-62),the PUD is devoid of specific commitments that all access points must be made available to each development tract within the PUD.Within the Master Plans for the various iterations of the PUD,an interconnected street system is provided for,but there is no provision that permits or restricts the placement of gates within the internal PUD. This lack of information designating the location of gates is common to most PUDs,as the internal streets are private and maintained by appropriate homeowners'associations. Further according to the subdivision plat, Old Groves Road is a private road. Further, there is no Community Development District for the Vineyards,therefore,there are no public or quasi-public roads. The casement referenced within O.R.Book 1898,Page 2308,Collier County,Florida Public Records,in favor of Procacci Bros.Sales Corporation, a Pennsylvania corporation,their successors and assigns,an owner of a contiguous tract consisting of approximately 84 acres to the east of Piper's Grove for vehicular and pedestrian access and egress,is a private easement between two parties. The requested ollicial interpretation seeks affirmation that either the Vineyards PUD or Collier County Land Development Code(LDC)requires that the Orchards community is provided access through Old Grooves Road and from review of both documents,there is no such commitment or requirement. While the Vineyards PUD and Master Plan depicts the roadways within the development,both are silent to the location of gates and a commitment that all development within the PUD will be provided access to all the depicted roadways. Within 30 days of publication of the public notice,any affected property owner or aggrieved or adversely affected party may appeal the interpretation to the Board of Zoning Appeals(BZA). An affected property owner is defined as an owner of property within 300 feet of the property lines of the land for which the interpretation is effective.An aggrieved or adversely affected party is defined as any person or group of persons which will suffer an adverse effect to an interest protected or furthered by the Collier County Growth Management Plan or Land Development Code.A request for appeal must be filed in writing and must state the basis for the appeal and include any pertinent information, exhibits,or other back-up information in support of the appeal. The appeal must be accompanied by a$1,000.00 application and processing fee.(If payment is in the form of a check,it should be made out to the Collier County Board of Commissioners.) An appeal can be hand delivered or mailed to my attention at the address provided. Please do not hesitate to contact me should you have any further questions on this matter. The interpretation file and other pertinent information related to this interpretation are kept on file and may be reviewed at the Growth Management Division,Planning and Regulation building at 2800 North Horseshoe Drive,Naples,FL 34104.Please contact the staff member below at(239)252-6819 to set up an appointment if you wish to review the file. Mike Bosi,AICP,Director, Planning and Zoning Department ND-Y26feM 0 PROOF O.K.BY: 0 O.K.WITH CORRECTIONS BY: PLEASE READ CAREFULLY•SUBMIT CORRECTIONS ONLINE ADVERTISER:BCC_ZONING DEPARTMENT PROOF CREATED AT:4/3/2019 8:24 AM SALES PERSON: Gloria Kennedy PROOF DUE:- PUBLICATION:ND-DAILY NEXT RUN DATE:04/05/19 ND-2263335.INDD SIZE:3 col X 9.25 in 161183 Teresa L. Cannon To: RodriguezWanda; BosiMichael; CasanovaAlexandra Subject: FW: INTP-PL20190000062 - Vineyards PUD Attachments: ND-2263335 (2).pdf Revised proof w/Map—please review Teresa Cannon BMR Senior Clerk II ��T('Cl(;R� Office: 239-252-8411 00:04•04„..„ `0 �r,.,, Fax: 239-252-8408 c Teresa.Cannon@CollierClerk.com Office of the Clerk of the Circuit Court * &Comptroller of Collier County o� 3299 Tamiami Trail E, Suite#401 h`��`'r< n'�c Naples, FL 34112-5746 www.CollierClerk.com From: NDN-Legals<legals@naplesnews.com> Sent: Wednesday, April 3, 2019 10:34 AM To:Teresa L. Cannon <Teresa.Cannon@collierclerk.com> Subject: RE: INTP-PL20190000062 -Vineyards PUD : Please use caution when opening attachments, clicking links, or replying to this message. Attached is your proof. From:Teresa L. Cannon <Teresa.Cannon@collierclerk.com> Sent:Tuesday, April 02, 2019 8:54 AM To: NDN-Legals<legals@naplesnews.com> Subject: INTP-PL20190000062 -Vineyards PUD Legals, Please advertise the attached Display Ad w/Map on Friday,April 5, 2019. Thanks Teresa Cannon BMR Senior Clerk II Office: 239-252-8411 ''% Fax: 239-252-8408 Teresa.Cannon@CollierClerk.com Office of the Clerk of the Circuit Court &Comptroller of Collier County r'+ f. 3299 Tamiami Trail E, Suite#401 1��" `�s� Naples, FL 34112-5746 www.CollierClerk.com 161183 Teresa L. Cannon From: BosiMichael <Michael.Bosi@colliercountyfl.gov> Sent: Wednesday, April 3, 2019 1:23 PM To: Teresa L. Cannon; RodriguezWanda; CasanovaAlexandra Subject: RE: INTP-PL20190000062 - Vineyards PUD Good to go,thanks everyone! mike From:Teresa L. Cannon<Teresa.Cannon@collierclerk.com> Sent:Wednesday, April 3, 2019 10:36 AM To: RodriguezWanda <Wanda.Rodriguez@colliercountyfl.gov>; BosiMichael <Michael.Bosi@colliercountyfl.gov>; CasanovaAlexandra <Alexandra.Casanova@ colliercountyfl.gov> Subject: FW: INTP-PL20190000062 -Vineyards PUD Revised proof w/Map—please review Teresa Cannon BMR Senior Clerk II tett„ Office: 239-252-8411 `,,� Fax: 239-252-8408 Teresa.Cannon@CollierClerk.com Office of the Clerk of the Circuit Court &Comptroller of Collier County 443. 3299 Tamiami Trail E,Suite#401 y��k(oK.s% " Naples, FL 34112-5746 www.CollierClerk.com From: NDN-Legals<Iegals@naplesnews.com> Sent:Wednesday, April 3, 2019 10:34 AM To:Teresa L. Cannon<Teresa.Cannon@collierclerk.com> Subject: RE: INTP-PL20190000062 -Vineyards PUD Please use caution when opening attachments, clicking links, or replying to this message. Attached is your proof. From:Teresa L. Cannon<Teresa.Cannon@collierclerk.com> Sent:Tuesday, April 02, 2019 8:54 AM To: NDN-Legals<legals@naplesnews.com> Subject: INTP-PL20190000062 -Vineyards PUD Legals, Please advertise the attached Display Ad w/Map on Friday,April 5, 2019.Thanks 1 161183 Teresa L. Cannon From: RodriguezWanda <Wanda.Rodriguez@colliercountyfl.gov> Sent: Wednesday, April 3, 2019 1:25 PM To: Teresa L. Cannon Cc: BosiMichael; CasanovaAlexandra Subject: RE: INTP-PL20190000062 - Vineyards PUD Looks good to me too. Wanda. Rodriguez, ACP, CP.M Office of the County Attorney (239) 252-8400 From: BosiMichael Sent:Wednesday, April 3, 2019 1:23 PM To:Teresa L.Cannon <Teresa.Cannon@collierclerk.com>; RodriguezWanda <Wanda.Rodriguez@colliercountyfl.gov>; CasanovaAlexandra <Alexandra.Casanova@colliercountyfl.gov> Subject: RE: INTP-PL20190000062 -Vineyards PUD Good to go,thanks everyone! mike From:Teresa L. Cannon<Teresa.Cannon@collierclerk.com> Sent:Wednesday, April 3, 2019 10:36 AM To: RodriguezWanda <Wanda.Rodriguez@colliercountyfl.gov>; BosiMichael <Michael.Bosi@colliercountyfl.gov>; CasanovaAlexandra <Alexandra.Casanova@colliercountyfl.gov> Subject: FW: INTP-PL20190000062 -Vineyards PUD Revised proof w/Map—please review Teresa Cannon BMR Senior Clerk II Office: 239-252-8411 11 Fax: 239-252-8408 Teresa.Cannon@CollierClerk.com Office of the Clerk of the Circuit Court &Comptroller of Collier County 3299 Tamiami Trail E, Suite#401 f``°�� •`� Naples, FL 34112-5746 www.CollierClerk.com From: NDN-Legals<legals@naplesnews.com> Sent:Wednesday, April 3, 2019 10:34 AM 1 161183 Teresa L. Cannon To: NDN-Legals Subject: RE: INTP-PL20190000062 -Vineyards PUD Lega Is, Proof for Ad#2263335 looks good, OK to run! Thanks Teresa Cannon BMR Senior Clerk II �s_`:n rot.wt Office: 239-252-8411 Fax: 239-252-8408 53 Teresa.Cannon@CollierClerk.com Office of the Clerk of the Circuit Court * &Comptroller of Collier County %�, L,Qo, 3299 Tamiami Trail E, Suite#401 � (ofTrr.` Naples, FL 34112-5746 www.CollierClerk.com From: NDN-Legals<legals@naplesnews.com> Sent:Wednesday, April 3, 2019 10:34 AM To:Teresa L. Cannon<Teresa.Cannon@collierclerk.com> Subject: RE: INTP-PL20190000062 -Vineyards PUD E Azrn: message: Please use caution when opening attachments, clicking links, or replying to this message. Attached is your proof. From:Teresa L. Cannon<Teresa.Cannon@collierclerk.com> Sent:Tuesday,April 02, 2019 8:54 AM To: NDN-Legals<legals@naplesnews.com> Subject: INTP-PL20190000062 -Vineyards PUD Legals, Please advertise the attached Display Ad w/Map on Friday,April 5, 2019.Thanks Teresa Cannon BMR Senior Clerk II Office: 239-252-8411 r' 6 Fax: 239-252-8408 Teresa.Cannon@CollierClerk.com Office of the Clerk of the Circuit Court &Comptroller of Collier County 3299 Tamiami Trail E, Suite#401 Naples, FL 34112-5746 www.CollierClerk.com 1 24A 1 FRIDAY,APRIL 5,2019 1 NAPLES DAILY NEWS 1 6 I 1 B 3 Notice of Official Interpretation NOTICE 01 Collier County Land Development,Code Ordinance Pursuant to Section 10.03.06.P of the Collier County Land Development Code(LDC),public notice is hereby given of Notice is hereby given that an official interpretation. County Hearing Examiner- RE:DIRECTOR DETERMINE WHETHER THERVINEYARDS TATION PUD AND THE PLANNING APPUESTING THE COLLIER ROVALS ALS FOR ZONING Hearing Examiner's Meeting THE GROVES AND THE ORCHARDS REQUIRE MULTIPLE ACCESS POINTS AT VANDERBILT BEACH 609/610, Naples FL 34104,tc ROAD AND AIRPORT-PULLING ROAD,THEREBY REQUIRING THE PIPERS GROVE SUBDIVISION TO PROVIDE ACCESS TO THE ORCHARDS SUBDIVISION THROUGH OLD GROVES ROAD TO AIRPORT- PETITION NO. BDE-PL201' PULLING ROAD. - FOUNDATION, INC. REM OVER THE MAXIMUM 20 THE LAND DEVELOPMENT Project 433.6 FEET FROM THE PF Location MEAN HIGH WATER LINE, > Vanderbilt Beach RD xi AND OBSERVATION DECK Ti O ad crave,RD COUNTRY CLUB COM ft, Xi VINEYARDS Z VINEYARDS BOARDWALK ON TRACT c gUNIT THREE -- ADDITION r —1 AUDUBON BOULEVARD, AF 0i •z cVANDERBILT DRIVE, IN SE o v 25 EAST, .COLLIER COUNTY, z a The Collier County Zoning Director has been requested to render an official interpretation for the Vineyards PUD (, regarding required access points and availability for all development within the Vineyards PUD to be able to utilize all required access points. PROJECT Within the request for the Official Interpretation,you raise five points: 'LOCATION 1. The Vineyards PID governs the property in question.The original ordinance is 85-15,and it has been amended .;w /� several times. There was a substantial PUD amendment approved by the BOCC in 1991. Ordinance 91-75 \ states the following on page 46, Miscellaneous: "Access to the project shall be restricted to those access . points shown on Exhibits A-1 and A-2 hereto,provided that the location of the access to commercial parcels . shall be approved by the County Engineer." Exhibits A-1 and A-2 from Ordinance 91-75 are enclosed as Exhibit 3.Those exhibits clearly show that all communities west of Livingston Road are supposed to have access to both Vanderbilt Beach Road and '', Airport-Pulling Road. 2. Within the Piper Grove planned subdivision approval,a memorandum form the Transportation planning staffr%t • stated that the subdivision site plan provides.interconnection to the adjacent tract to the east (i.e, The t Orchards). 3. The Site Development Plan for the Orchards reviewed by the CCPC contained a memorandum which stated, "access to the proposed subdivision is from Vanderbilt Beach Road....And Airport-Pulling road..." 4. Within the plat for Piper's Grove One,within the general notes,the plat states,"Old Groves Road is subject to w an easement in Favor of Procacci Bros.Sales Corporation,a Pennsylvania corporation, their successors and assigns,an owner of a contiguous tract consisting of approximately 84 acres to the east of Piper's Grove for vehicular and pedestrian access and egress,pursuant to a Declaration of Restrictions recorded at O.R.Book 1898, • Pages 2308-2318,of the Public Records of Collier County,Florida." All interested arties are inv 5. References a Declaration of Easement,recorded on December 29, 1993,within O.R.Book 1898,Page 2308, p Collier County, Florida Public Records. The easement as indicated in point four, used in presentation befoi provides for access in favor of Tract B, C and D (the Orchards) to Airport-Pulling Road through"Old Groves Road". permanent part of the record As you have indicated within your first point of the Official Interpretation, the Vineyards PUD is the controlling Co ies of staff re ort are ave regulatory document for the Orchards,Piper's Grove One and Piper's Grove Two. From review of the Original PUD p p (Ordinance 85-15)and subsequent amendments(Ord.91-75 and Ord.95-62),the PUD is devoid of specific commitments can be reviewed at the Collie that all access points must be made available to each development tract within the PUD.Within the Master Plans for the various iterations of the PUD,an interconnected street system is provided for,but there is no provision that permits Zoning Division, Zoning Ser% - or restricts the placement of gates within the internal PUD. This lack of information designating the location of gates Naples, FL. is common to most PUDs,as the internal streets are private and maintained by appropriate homeowners'associations. Further according to the subdivision plat, Old Groves Road is a private road. Further, there is no Community Examiner's Development District for the Vineyards,therefore,there are no public or quasi-public roads. The easement referenced The Hearingdee within O.R.Book 1898,Page 2308,Collier County,Florida Public Records,in favor of Procacci Bros.Sales Corporation, Any person who decides to e a Pennsylvania corporation,their successors and assi an owner of a contiguous tract consisting of approximately 84 acres to the east of Piper's Grove for vehicular and pedestrian access and egress,is a private easement between two parties. will need a record of the pn The requested official interpretation seeks affirmation that either the Vineyards PUD or Collier County Land may need to ensure that a vl Development Code(LDC)requires that the Orchards community is provided access through Old Grooves Road and which record includes the te: from review of both documents,there is no such commitment or requirement. While the Vineyards PUD and Master Plan depicts the roadways within the development,both are silent to the location of gates and a commitment that all IS based. development within the PUD will be provided access to all the depicted roadways. Within 30 days of publication of the public notice,any affected property owner or aggrieved or adversely affected If you are a person with a d party may appeal the interpretation to the Board of Zoning Appeals(BZA). An affected property owner is defined as an owner of property within 300 feet of the property lines o the land for which the interpretation is effective An order to participate in this pre aggrieved or adversely affected party is defined as any person or group of persons which will suffer an adverse effect to the provision of certain as to an interest protected or furthered by the Collier County Growth Management Plan or Land Development Code.A Facilities Management Divisic request for appeal must be filed in writing and must state the basis for the appeal and include any pertinent information, exhibits,or other back-up information in support of the appeal. The appeal must be accompanied by a 51,000.00 101, Naples, Florida 34112-5: application and processing fee(If payment is in the form of a check,it should be made out to the Collier County Board of Commissioners.) An appeal can be hand delivered or mailed to my attention at the address provided. Please do not to the meeting. hesitate to contact me should you have any further questions on this matter. The interpretation file and other pertinent information related to this interpretation are kept on file and may be reviewed Mark Strain, at the Growth Management Division,Planning and Regulation building at 2800 North Horseshoe Drive,Naples,FL 34104.Please contact the staff member below at(239)252-6819 to set up an appointment if you wish to review the file. Chief Hearing Examiner Mike Bosh,AICP,Director, Planning and Zoning Department Collier County,.Florida aomsm ._,:R ''"t4.0'. TICE _HEAR » OTICE �;.. rt - } ce is. -Herebygiven that p pr3l.. ,, - I •be he • I•-, I is ¢ a . n that County Hearing Examiner (HE)Q at 9 � i , April ,.�019, in`� arty r -miner Hearing Examiner's Meetina Room,at 2800 North Horseshoe Drive. Room Heaitrll'aEx- Meetina 1611B3 Bailll rwE1 NaplesNews.com Published Daily Naples,FL 34110 Affidavit of Publication State of Florida Counties of Collier and Lee Before the undersigned they serve as the authority, personally appeared Natalie Zollar who on oath says that she serves as Inside Sales Manager of the Naples Daily News, a daily newspaper published at Naples, in Collier County, Florida;distributed in Collier and Lee counties of Florida;that the attached copy of the advertising was published in said newspaper on dates listed.Affiant further says that the said Naples Daily News is a newspaper published at Na- ples,in said Collier County, Florida,and that the said newspaper has heretofore been continuously published in said Collier County, Florida; distributed in Collier and Lee counties of Florida, each day and has been entered as second class mail matter at the post office in Naples, in said Collier County, Florida,for a period of one year next preceding the first publication of the attached copy of advertisement; and affiant further says that he has neither paid nor promised any person, or corporation any discount, rebate, commission or refund for the purpose of securing this advertisement for publication in the said newspaper. Customer Ad Number Copyline P.O.# BCC/ZONING DEPARTMENT 2263335 INTP-PL20190000062 4500190197 Pub Dates April 5,2019 (Sign ture of affiant) I —_ KAROLEKANGAS I f F1. Nolxy Pudk-Stateo1FloAda Sworn to and subscribed before me CommhslonAGG 126041 •.;q �, My Comm.Bp*Ju129.2021 This April 05,2019 ,4a 04,f• p I 9aadk1am g61Nuomirawymat AlYler (Signature of affiant) 24A I FRIDAY,APRIL 5,2019 I DAILY NEWS Nati«wf(Nddlmerernatim,nf NOTICE OF PUBLIC HEARING ftisro County cod i ..meet Orde(L.. ' Pun uamm8«nun IO.V306.PofhcCollinCu,nW WJUvelopmrntC,JcILlxa.publanotaenhereby gmm,r Notice is hereby given that a public hearing will be held by the Collier B 3 RUINd"temfWtOn. County Hearing Examiner(HEX)at 9:00 A.M.,April 25,2019,in the RE INTP-2019-PL-0062,OFFICIAL INTERPRETATION REQUESTING THE COLLIER COUNTY ZONING Hearing DIRECTOR DETERMINE WHETHER THE VINEYARDS PUD AND THE PLANNING APPROVALS FOR Heag Examiner's Meeting Room,at 2800 North Horseshoe Drive,Room THE GROVES AND THE ORCHARDS REQUIRE MULTIPLE ACCESS POINTS AT VANDERBILT BEACH 609/610,Naples FL 34104,to consider ROAD AND AIRPORT-PULLING ROAD,THEREBY REQUIRING THE PIPERS GROVE SUBDIVISION TO PROVIDE ACCESS TO THE ORCHARDS SUBDIVISION THROUGH OLD GROVES ROAD TO AIRPORT- PETITION NO. BDE-PL20170000557 - AUDUBON COUNTRY CLUB PULLING ROAD. FOUNDATION, INC. REQUESTS A DOCK FACILITY EXTENSION OVER THE MAXIMUM 20 FEET ALLOWED BY SECTION 5.03.06 OF Project THE LAND DEVELOPMENT CODE, FOR A TOTAL PROTRUSION OF Location 433.6 FEET FROM THE PROPERTY LINE AND 66 FEET FROM THE s vanderblRBBcchRD _A MEAN HIGH WATER LINE,TO ACCOMMODATE A NEW BOARDWALK - AND OBSERVATION DECK FOR THE BENEFIT OF THE AUDUBON a oRo„e..Ro COUNTRY CLUB COMMUNITY WHICH WILL ACCESS THE S .Naas,. BOARDWALK ON TRACT A OF THE AUDUBON COUNTRY CLUB, c y UNIT THREE-ADDITION SUBDIVISION, LOCATED SOUTHWEST OF AUDUBON BOULEVARD,APPROXIMATELY ONE HALF MILE WEST OF z VANDERBILT DRIVE, IN SECTION 8,TOWNSHIP 48 SOUTH, RANGE o c 0 25 EAST,COLLIER COUNTY,FLORIDA. z The Collier County Zoning Director has been request.to render an offc.interpretation IV,the Vineyards PUD regarding aspired aspired acc ss points and avail...My.for all d v,4oprmmt wok.he V'ineysda POU to be able to utdiec all required amen points PROJECT Within the request for the Oaeni Interpretation.pm roue fin alW s. LOCATION -S L The Vmey.rd,PID governs the property iv 4u n The�oeginal ordnance n 8515,and It ha,been amended several times There was aa8mbstantial PUS amendment approved by the BOCC to 1991.Ordinance 91.15 poies h.r E l,ibiu A-I a d'AMirccdlaveous."Aram to the prolcl andl be mtrctN to hen.amen ntss own fie 2 Hetero.provided hat he Iaeavoe of he amen Io eomme«w par,b shell Exhibits cod A-2 from store Road are 3 aresupe ed oN as Eahh,t I both Vanderbilt oilman ckarly showRoad n d all , ?` weer of betepton Road n«mPpuud to have acorn to both VccderbJr Beach Road and Aar n-ry tkoPq Road. 2. rated b Piper Grove la arisbe pion ao,,ter a me tis,,t th form the t 'cis'oath.p�t its me Orchards). 3. the aubdivi sore Ne plan pinnae mtennm«tion to rhe aAaacmr an m the t Ise.The -b 3.The SiteaDevdopment Plan for the Oohards mom.by he CCPC contained a memorandum which stated. j t u, the proposed suhdivon is from Vanderbilt Beach Road....And Airport-Pulling road.." ay �"N, 4.Within the plat for Piper'swithinGrose One.within the general a,notthe plat states,'Old Grove u sub.,to v -4\(/' an easement or PromBina.sales Corporation.a Pennsylvania mryun..herr atw..mu oand .owner of a contiguous tract counting of approx..*84 acro to he east of Pmeri Grove for =In macular and ped and earns.pursuant to a S«lassoo of Restnetrou recorded at O.R Book 1898. Paggeses 2308-2118 of the Public Rends of Cnaer,Cony.Fln%N,', 8 All interestedparties are invited to 9.RQerenm•.,y, Fl n of F Pobi,o rwrtdM�n D«avh«29.1991.within OR.Book 1898,Pae tea,, appear and be heard.All materials Collier c„nty, Foram P,mk•Records The ret inewte W� four used in presentation before the Hearing Examiner will become a provides ves oad access m Ivor of Tnn R c and D the Orchards)to Airport-Puffing Road tarot*'OM permanent part of the record. A.you have indicted within lour lint point of the(Mani Int watt. h V,ney.ds PUD the cont Ili lases d«uent for the Omhads P, cine,(retired Pi`T Copies of staff report are available one weekprior to the hearing.The file (OOrd,cc,oe83-111 and subsequent amende,ostc(Ord 91-75 and Ord r9.5421.the UD idvo'of rpo,Itoog dmU� P Pthe g that all access paints must be made available to mach development tract within the PUO Wbhm the Muter Plans for canobe Division,viewed at Zoning Collier County Growth 2800 North Horseshoe Department, rhes;1,7ununfrhcPOD,,.mterc�nn«twlnn,tsy.remapp dMfnnh,nthereunn,r0.2',h„vr ata Zoning Services Section, North Drive, u rhe p emrnt of Earn within the femme PUD Thu lacy of inrrm,uon designating the I«pion of gats Naples,FL. t PUDs,as the Wend streets are private and maintained by a prohoma+wnen'aaonnwvs. F.nhe a«urding w he mbdi.a,.,n PI,L Old cmvn Road n,private,o,R F.nh,,,Kara a m Coammu.ity The HearingExaminer's decision becomes final on the date rendered. Deve,+pment District for he lam.t herefore,hers are no pubbe or qis hint. mads.The easement reference within(R.Book 1898.age DOS rather County Florida POE Remade in lint.of Pnuuy Bon Sala Corporation Any person who decides to appeal any decision of the Hearing Examiner a Pennsylvania corporation.their rumentnnand anign,an owner efamul,g,,,a tract moaning of approasmatdy gel will need a record of the proceedings pertainingthereto and therefore, be east ofPperi Limn for vehicular and P es and car=tea pmatcuam.vt btnum two parts p g Hie,egttnred official rpret.n.eek.affirm..that other the Vineyard,POD r rah«rotor.1 and may need to ensure that a verbatim record of the proceedings is made, Development Code(LUC)requires that the Onh,rds mmmuntn n paraded access through old Grooves Road and which record includes the testimonyto evidence uponwhich appeal from review of both documents,there u no such mmmtment or iequ,emenr. While theVineyardsm PI iE and Maras the Plan depicts the roadways within hlouu e development,both arc silent to the on of gate and a mmament that all IS based. development wihme PUD will Scbe provided to all the depend madwals Within SO days of publication of the puha notice any off«ted property owner or,wrest or adversely affected If you are a person with a disability who needs any accommodation in party may appeal the mtcryrention to the Board of Zoning Appeals(BZA) An alb d propeny owner u defined order to participateproceeding you are entitled,at no cost to you, r of property within MO feet of the property Lina of the land for which the nor retatain u effective An in this roestanc agsru rd`r adversely affected partto defined as any person o 6 p of persona winch will.suffer an adman effect to the provision of certain assistance.Please contact the Collier County n m int pmt«ted sir funheredyhy me meatier .cnmlyy Growth Maugemmt Plan or Ind DoxWPmmt Code A Facilities Management Division located at 3335 Tamiami Trail East,Suite eqq tfm sopor motet ruemwmm6 andm,n.r t tmbasla fn'he appeal must be dcavyp" byaSt5005, g ahbits or rah«bwk-up inrrsulan m mppnn of lam aped.Thr appeal must b au�,mp.nlea br a sl noel ao 101,Naples,Florida 34112-5356,(239)252-8380,at least two days prior apbcatrouandpci At,afpm«(Ifpaymentu,irheform e,ach to vshouldbemade our t,,theCnhs P1cOUBose he Hato o contact me should deahM anyfurhv«Mor,uiod an�rts tion at he addrev pronate.Please do Hol to the meeting. you questions tint The mterpmation ale and other penment mfrm..related to MN imr.pneatinn are kept n fik and may be'.viewed Mark Strain, at he Growth Management emstn Planning and Regulation budding at 7800 North Ilyoecosc Dave Naples FL 14104.Pleasemntnt he staff member below at 0391252-6819 to an up an appointnmt a you wash to renew the file. Chief Hearing Examiner ^illtMP;,nrp;'r,nwn, Collier County,Florida NOTICE OF PUBLIC HEARING NOTICE OF PUBLIC HEARING Notice is hereby given that a public hearing will be held by the Collier Notice is hereby given that a public hearing will be held by the Collier County Hearing Examiner(HEX)at 9:00 A.M.,April 25,2019,in the County Hearing Examiner(HEX)at 9:00 A.M.,April 25,2019,in the Hearing Examiner's Meeting Room,at 2800 North Horseshoe Drive,Room Hearing Examiner's Meeting Room,at 2800 North Horseshoe Drive, 609/610,Naples Fl 34104,to consider: Room 609/610,Naples Fl 34104,to consider: PETITION NO. BDE-PL20150001366-VILLAGES AT STELLA MARIS PETITION NO.BD-PL20180001843-GODFREY AND PATRICIA MASTER ASSOCIATION, INC. REQUEST A 10 FOOT BOAT DOCK TURNER REQUEST A 57.5-FOOT BOAT DOCK EXTENSION OVER EXTENSION OVER THE MAXIMUM 20 FEET LIMIT IN SECTION 5.03.06 THE MAXIMUM 20 FEET ALLOWED BY SECTION 5.03.06 OF THE OF THE LAND DEVELOPMENT CODE FOR A TOTAL PROTRUSION LAND DEVELOPMENT CODE,FOR A TOTAL PROTRUSION OF 77.5 OF UP TO 30 FEET TO ACCOMMODATE A MAXIMUM 68 SLIP MULTI- FEET,FOR A BOAT DOCK FACILITY WITH ONE BOAT SLIP AND FAMILY DOCKING FACILITY FOR THE BENEFIT OF THE VILLAGES AT A KAYAK PLATFORM LOCATED AT 26 DOLPHIN CIRCLE,ON THE STELLA MARIS CONDOMINIUM UNITS WITHIN TRACTS M-1 AND WEST SIDE OF DOLPHIN CIRCLE,NORTH OF PELICAN STREET M-2 OF STELLA MARIS, LOCATED IN PORT OF THE ISLANDS, ON WEST,IN SECTION 31,TOWNSHIP 51 SOUTH,RANGE 26 EAST, THE WEST SIDE OF CAV DRIVE, JUST SOUTH OF TAMIAMI TRAIL COLLIER COUNTY,FLORIDA. EAST(U.S.41)IN SECTION 9,TOWNSHIP 52 SOUTH,RANGE 28 EAST, COLLIER COUNTY,FLORIDA. f- Project s Rp Location m Stela Maris R Tcr �� Tk am/' PROJECT TRC--E�, LOCATION • Om eres I All interested parties are invited to appear and be heard. All materials All interested parties are invited to appear and be heard.All materials used in presentation before the Hearing Examiner will become a used in presentation before the Hearing Examiner will become a Permanent part of the record. permanent part of the record. Copies of staff report are available one week prior to the hearing. Copies of staff report are available one week prior to the hearing.The file The file can be reviewed at the Collier County Growth Management can be reviewed at the Collier County Growth Management Department, Department,Zoning Division,Zoning Services Section,2800 North Zoning Division,Zoning Services Section,2800 North Horseshoe Drive, Horseshoe Drive,Naples,FL. Naples,FL. The Hearing Examiner's decision becomes final on the date The Hearing Examiner's decision becomes final on the date rendered. rendered.Any person who decides to appeal any decision of the Any person who decides to appeal any decision of the Hearing Examiner Hearing Examiner will need a record of the proceedings pertaining will need a record of the proceedings pertaining thereto and therefore, thereto and therefore,may need to ensure that a verbatim record may need to ensure that a verbatim record of the proceedings is made, which record includes the testimony to evidence upon which the appeal of the proceedings is made,which record includes the testimony to is based. evidence upon which the appeal is based. If you are a person with a disability who needs any accommodation in If you are a person with a disability who needs any accommodation In order to participate in this proceeding,you are entitled,at no cost to you, order to participate in this proceeding,you are entitled,at no cost to to the provision of certain assistance.Please contact the Collier County you,to the provision of certain assistance. Please contact the Collier Facilities Management Division located at 3335 Tamiami Trail East,Suite County Facilities Management Division located at 3335 Tamiami Trail 101,Naples,Florida 34112-5356,(239)252-8380,at least two days prior East,Suite 101,Naples,Florida 34112-5356,(239)252-8380,at least to the meeting. two days prior to the meeting. Mark Strain, Mark Strain, Chief Hearing Examiner Chief Hearing Examiner Collier County,Florida Collier County,Florida 161184 OFFICE OF THE ATTORNEY GENERAL : ' Efl I John Guard - f Chief Deputy Attorney General sl PL-01 The Capitol OF FW; Tallahassee,FL 32399-1050 ASHLEY MOODY Phone(850)245-0104 ATTORNEY GENERAL http://www.myforidalegal.com STATE OF FLORIDA RECEIVED December 5,2019 DEC, 1 0 2019 Honorable William McDaniel,Jr. OFFICESOF OF c�,uR cAu► 3299 Tamiami Trail East, Suite 303 800 COUNTY COMMI�IOKERS Naples,Florida 34112 Dear Mr. McDaniel, Governor DeSantis appointed Attorney General Ashley Moody as Chair of the Statewide Task Force on Opioid Abuse. Among other things, the task force is charged with developing a statewide strategy to address this crisis.As part of the task force,we are seeking your input on the programs that you are deploying in your subdivisions. We are also seeking your input on what programs would most effectively abate the opioid crisis in your community. As you are also aware, there are settlement negotiations ongoing in the opioid litigation. We would like to develop the statewide strategy in advance of any settlement. Accordingly, I will host a meeting on January 9,2020 from 3-5PM at the Office of the Attorney General (located in the BM() Harris Plaza), 501 E. Kennedy Blvd., 2nd Floor, Innovative Conference Area, Tampa, FL 33602 to have an open-table discussion, along with other interested parties, to collaboratively identify your community's input. In an effort to have an organized and productive meeting,please send your recommendations, requests or anticipated input, in writing to our staff prior to the meeting.Given space limitations,we are asking for one representative and one counsel per subdivision. If you intend to bring any additional people, please contact Rachel Kamoutsas at Rachel.Kamoutsas@MyFloridaLegal.com.Please RSVP and include your written input to Rachel by close of business January 1,2020. Thank you for your attention in this matter. Sinc rely, )101111 J n Guard • ief Deputy Attorney General lorida Office of Attorney General Ashley Moody