Emergency Relief Manual and Guide

Federal Transit Administration

Emergency Relief Manual

Reference Manual for States & Transit Agencies on

Response and Recovery from Declared Disasters

and

FTA’s Emergency Relief Program

(49 U.S.C. 5324)

September 30, 2015  

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4. TITLE AND SUBTITLE
Emergency Relief Manual
Reference Manual for States & Transit Agencies on Response and Recovery from Declared
Disasters and FTA’s Emergency Relief Program (49 U.S.C. 5324)

5a. CONTRACT NUMBER
DTFT60-11-D-00002
5b. GRANT NUMBER

5c. PROGRAM ELEMENT NUMBER

6. AUTHOR(S)
Chandler, Kevin L.; Graves, Bonnie; McGinley, Laurel E.; Pieters, Brian C.; Ryman, Sarah;
Schildge, Adam; and Sutherland, Pamela J.

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

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13. SUPPLEMENTARY NOTES

14. ABSTRACT
This manual provides guidance to transit agencies that are planning for, responding to, or recovering from a federally-declared emergency or disaster. It
incorporates material from the 2013 update to Response and Recovery for Declared Emergencies and Disasters: A Resource Document for Transit
Agencies and builds upon it to include additional information about FTA’s Emergency Relief Program that was authorized by MAP-21. The manual describes
steps that transit agencies can take to be better prepared prior to an event as well as actions that can be taken post-event in order to receive FTA
assistance. It is intended to assist transit agencies by providing program eligibility information and requirements, while describing the process for applying
for Emergency Relief Program funding to facilitate transit agencies receiving reimbursement for response, restoration, repair, and resilience actions taken
related to the emergency or disaster.
15. SUBJECT TERMS
Federal Transit Administration, Office of Program Management, emergency response and recovery, disaster response and recovery, resilience

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Adam Schildge
PAGES
84
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i

Table of Contents

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Chapter 4: Federal Transit Administration Emergency Relief Program Policies and

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

56

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

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

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

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

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

List of Figures and Tables
Figure 3-1 Federal Transit Administration's Emergency Relief Program Process ......................19

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

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

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

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

ii 

Executive Summary
The Federal Transit Administration (FTA) is issuing this reference manual on Federal
emergency response assistance and disaster relief programs for transit agencies, state
departments of transportation, local government officials, metropolitan planning organizations,
and other entities responsible for operating, funding or directing public transportation in the
event of an emergency or disaster. The guide will help users identify the appropriate source of
Federal disaster relief funding, understand the kinds of activities that are eligible for
reimbursement, and provides instructions on applying for funding.
Chapter One explains the purpose of this manual and provides background on the relevant
Federal statutes guiding the Federal emergency response and disaster relief structure. It also
provides an overview of how FTA coordinates disaster relief efforts with the Federal Emergency
Management Agency (FEMA).
Chapter Two provides a series of disaster preparation strategies for transit agencies to consider
implementing well before a disaster appears imminent. This includes a selection of
recommended practices in the areas of planning, operations, contracts, and asset management
that will help a transit system better withstand and more quickly recover from a disaster.
Chapter Three includes an overview of key disaster response and recovery programs and
resources, including information on disaster relief programs available from FTA, FEMA, the
Federal Highway Administration (FHWA) and some non-Federal sources. This chapter provides
basic guidelines and instructions on identifying the appropriate program and applying for
funding.
Chapter Four presents detailed information about FTA’s Emergency Relief (ER) Program,
including an explanation of key program policies and requirements, such as applicant and
project eligibility, special conditions for emergency relief grants, and requirements associated
with floodplains and insurance. It also includes instructions on applying for waivers from FTA
requirements when necessary to support disaster response and recovery.
Finally, this manual provides resources in several appendices, including the ER Program Final
Rule, frequently asked questions, a glossary, and contact information for FTA, FEMA, and state
emergency management offices.
This reference manual has been produced by FTA’s Office of Program Management in
cooperation with FTA’s Office of Transit Safety and Oversight. The contents of the manual have
been developed in close coordination with FEMA, with which FTA coordinates extensively in the
event of a disaster affecting public transit systems.

iii 

Chapter 1: Introduction
1.1.

Background, Purpose and Scope

This manual contains important guidance for transit systems that have been affected by an
emergency or disaster, as well as information on emergency relief resources for agencies
preparing for a potential future emergency. This manual will be of particular use for agencies
that are seeking or have received funding under the Federal Transit Administration’s (FTA’s)
Emergency Relief (ER) Program.1 The information in this manual explains and expands upon
FTA’s final ER Program regulations as published at 49 Code of Federal Regulations (CFR) Part
602.
The FTA ER Program was authorized by Congress in 2012 under the Moving Ahead for
Progress in the 21st Century Act (MAP-21). Under the ER Program, FTA may make grants for
capital projects to protect, repair, or replace damaged assets, and for operating expenses
incurred while responding to a declared emergency or major disaster. In general, FTA will
reimburse expenses associated with evacuations and other emergency services, as well as the
capital and operating cost of responding to and recovering from a disaster that has affected a
transit agency’s own system and operations.
This manual serves two purposes. First, it is a resource document for transit agencies planning
for, responding to, or recovering from declared emergencies and disasters, including natural
disasters, acts of terrorism, and other catastrophic failures from external causes. Second, this
manual provides key guidance on resources available to transit agencies under FTA’s ER
Program, including information about costs eligible for reimbursement, program requirements,
and the application process. In reviewing available resources, this manual also discusses the
relationships between FTA’s ER Program and some Federal Emergency Management Agency
(FEMA) disaster relief programs.
This manual is intended for use by transit agencies, State and local agencies that oversee or
fund transit services, and private transit operators that are either affected by a declared
emergency or disaster or provide assistance to others affected by a declared emergency or
disaster. Although this manual contains information useful to transit agencies in advance of a
disaster, it does not provide comprehensive guidance on emergency preparedness or
emergency management, nor does it provide information for developing or executing
emergency response plans or procedures. FTA provides separate publications on emergency
preparedness and emergency management for transit agencies.2
Similarly, although this manual provides guidance for applicants and recipients of FTA ER
funds, it does not provide comprehensive guidance on FTA’s grant management procedures or
cross-cutting program requirements. This information can be found in other FTA publications,
including FTA.C.5010.1D, Grant Management Requirements, FTA.C.9030.1E, Urbanized Area
Formula Program: Program Guidance and Application Instructions, and FTA.C.9040.1G,
Formula Grants for Rural Areas: Program Guidance and Application Instructions.
1.2.

Statutory History, References, and Agreements

Federal resources for emergency and disaster relief are authorized by Congress through
several pieces of legislation and sections of statute. Of particular importance are the Robert
Stafford Act, which establishes FEMA’s disaster assistance programs as well as a national

1

This document incorporates and revises information previously published in FTA’s 2013 resource document, Response and
Recovery for Declared Emergencies and Disasters: A Resource for Transit Agencies, available here:
http://www.fta.dot.gov/documents/Response_and_Recovery_for_Declared_Emergencies_and_Disasters_062813.pdf.

2

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

4

framework for emergency response; and Section 5324 of Title 49, U.S. Code (U.S.C.), which
authorizes FTA’s ER Program. Implementation of the provisions of these laws is also informed
through formal agreements among Federal agencies as described below.
The Stafford Act
In 1988, the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C.
§§5121-5206) (Stafford Act) established the modern framework for the Federal government to
respond to disasters in support of State, tribal, and local governments; defined two levels of
adverse events - emergency and major disaster; and provided for the Federal Disaster Relief
Fund. This law establishes the process for requesting and obtaining Presidential emergency
and major disaster declarations, defines the type and scope of assistance available from the
Federal government, and sets the conditions for obtaining that assistance. FEMA, part of the
U.S. Department of Homeland Security (DHS), coordinates the response. Additional
information on the types of assistance available through FEMA under the Stafford Act is
available online from FEMA.3
Memorandum of Understanding (MOU) with DHS
In July 2007, the U.S. Department of Transportation (DOT) and DHS entered into an MOU that
recognizes that DHS has primary responsibility for transportation emergency preparedness and
response, and that DOT has a supporting role providing technical assistance. Specifically,
DHS, through FEMA, has the authority to provide grants for planning mass evacuations and to
coordinate all disaster assistance provided by the Federal government in support of State and
local government agencies and private organizations, including precautionary evacuations.
FEMA’s roles now include pre-positioning commodity transportation assets; moving
commodities, goods, equipment and emergency response personnel; and planning and
coordinating the evacuation of persons, including accounting for the needs of individuals with
household pets and service animals before, during, and after an evacuation. The DOT’s
supporting (technical assistance) roles include reporting damage to transportation infrastructure,
coordinating alternate transportation services, and coordinating the restoration and recovery of
the transportation infrastructure. As a component of DOT, FTA is governed by this MOU.
Moving Ahead for Progress in the 21st Century (MAP-21)
In 2012, MAP-21 established the authority for FTA to support public transportation agencies
after an emergency or major disaster. The ER Program (49 U.S.C. 5324) helps States and
public transportation systems pay for protecting, repairing, and/or replacing equipment and
facilities that may suffer or have suffered serious damage as a result of an emergency, including
natural disasters such as floods, hurricanes, and tornadoes. Eligible activities include capital
projects to protect, repair, reconstruct, or replace public transportation equipment and facilities
in danger of or having incurred serious damage as a result of an emergency. Operating costs
related to evacuation, rescue operations, temporary public transportation service; and
reestablishing, expanding or relocating public transportation route service before, during, or
after an emergency are also eligible activities. These eligible activities also extend to tribal
lands.
Under MAP-21, transit systems affected by a disaster may also utilize funds apportioned under
the Urbanized Area Formula Program (49 U.S.C. 5307) or the Formula Grants for Rural Area
Program (49 U.S.C. 5311) under the terms of the ER Program.

3

 FEMA has published “A Guide to the Disaster Declaration Process and Federal Disaster Assistance” online at 
https://www.fema.gov/media‐library/assets/documents/6094. 

5

Memorandum of Agreement (MOA) with FEMA
In March 2013, DOT and FEMA signed an MOA that outlines the roles of both agencies in
providing Federal assistance to repair and restore public transportation systems in those areas
that the President has declared a major emergency or disaster. Under this MOA, FEMA
maintains its primary Federal responsibility for emergency preparedness, response, and
recovery in major emergencies and disasters. However, in the event Congress appropriates
funds for FTA’s ER Program, FTA has the primary responsibility for reimbursing emergency
response and recovery costs after an emergency or disaster that affects public transit and for
helping to mitigate the impacts of future disasters.
Unified Federal Review (UFR) Memorandum of Understanding (MOU) for coordinated
environmental and historic preservation reviews in disaster recovery projects
The Sandy Recovery Improvement Act of 2013 (SRIA) amended the Robert T. Stafford Disaster
Relief and Emergency Assistance Act by adding Section 429, directing the Administration to
“establish an expedited and unified interagency review process to ensure compliance with
environmental and historic requirements under federal law relating to disaster recovery projects,
in order to expedite the recovery process, consistent with applicable law.” This process aims to
coordinate environmental and historic preservation reviews to expedite planning and decisionmaking for disaster recovery projects. This can improve the Federal government’s assistance to
States, local and tribal governments, communities, families, and individual citizens as they
recover from future presidentially declared disasters. Multiple Federal agencies involved in
disaster recovery, including DOT, FEMA, and others, entered into an MOU in July 2014 to
enhance their working relationship by committing to the use of existing and new tools to
expedite and unify the process for completing environmental and historic preservation reviews
required for disaster recovery projects, while maintaining the technical rigor and public
participation associated with those reviews.
1.3.

Emergencies, Disasters, and the Federal Response Framework

Under the Stafford Act, the Federal government is authorized to support national preparedness
for disasters, coordinate disaster management and response activities, and assist in recovery
efforts in the aftermath of a disaster. Different agencies, programs and authorities are
responsible for this mission. This section describes the key concepts underlying Federal
assistance, as well as the roles of Federal, State, and local entities in responding to and
recovering from an emergency or disaster.
Definition of “Declared Emergency” and “Declared Disaster”
Traditionally, the term “disaster” describes a large-scale adverse event that overwhelms the
resources of an affected community. The term “emergency” has multiple definitions, and
sometimes refers to an adverse event of a less extensive scope, duration, or impact than a
disaster. It is important to know that Federal programs may use these terms differently, as
described below.
The Stafford Act defines a federally declared “emergency” as:
“any occasion or instance for which, in the determination of the President, Federal
assistance is needed to supplement State and local efforts and capabilities to save lives
and to protect property and public health and safety, or to lessen or avert the threat of a
catastrophe in any part of the United States.”

6

The Stafford Act defines a federally declared “major disaster” as:
“any natural catastrophe…, or, regardless of cause, any fire, flood, or explosion, in any
part of the United States, which in the determination of the President causes damage of
sufficient severity and magnitude to warrant major disaster assistance under this Act to
supplement the efforts and available resources of States, local governments, and
disaster relief organizations in alleviating the damage, loss, hardship, or suffering
caused thereby.”
Section 5324 of Title 49, Chapter 53 (FTA’s ER Program), defines “emergency” as:
“a natural disaster affecting a wide area (such as a flood, hurricane, tidal wave,
earthquake, severe storm or landslide) or a catastrophic failure from any external cause,
as a result of which the governor of a state has declared an emergency and the
Secretary of Transportation has concurred; or the president has declared a major
disaster under the Stafford Act.”
Importantly, as used in this manual, a Federal or State declaration of an emergency or major
disaster allows a transit agency to obtain additional resources and reimbursement for their
participation in response and recovery. In the case of a State declaration, FTA must concur
with the State emergency declaration.
In the context of FTA’s ER Program, this manual may use the terms “emergency” and “disaster”
interchangeably to describe a declared event for which FTA may award funding. When referring
specifically to an “emergency” or “major disaster” under the terms of the Stafford Act, the
specific context will be identified.
Overall Federal Response Structure
Current Federal policy for all-hazards preparedness and disaster management originates from
Homeland Security Presidential Directive (HSPD) 5, “Management of Domestic Incidents,”4 and
Presidential Policy Directive/ PPD-8, “National Preparedness.”5 HSPD 5 sets Federal policy for
a structured national framework for disaster response at local, State, and Federal levels, and
directs the Secretary of Homeland Security to develop and administer the system. PPD-8 sets
Federal policy for preparing for national disasters and directs DHS to coordinate with other
Federal agencies to develop and implement all-hazards preparedness in the United States.
Per HSPD 5 and PPD-8, DHS is responsible for establishing a comprehensive, national, allhazards approach and guidance for preparing for and responding to major emergencies and
disasters. Issued in 2008 by DHS, and revised in May 2013, the National Response Framework
(NRF) provides the framework for Federal interaction with State, local, and tribal governments;
the private sector; and non-governmental organizations (NGOs) during major emergencies and
disasters. As a foundational document, it discusses resources available through the Stafford Act
and establishes responsibilities, operational processes, and protocols. The National Disaster
Recovery Framework, issued by DHS in 2011, provides similar information on roles,
responsibilities, and processes for disaster recovery.
DHS and many State governments organize their resources, as well as those of certain privatesector and NGOs, under 15 emergency support functions (ESFs) annexed to the NRF. These
ESFs may be selectively activated for both Stafford Act and non-Stafford Act declared
emergencies and disasters.

4
5

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

7

Generally funded by FEMA and led by DOT, Emergency Support Function # 1 – Transportation
(ESF 1) is an annex to the NRF that provides the structure for coordinating transportation
support for responses to declared disasters and emergencies. The scope of ESF 1 includes
movement restrictions, transportation safety, damage and impact assessments, and restoration
and recovery of transportation infrastructure. Implemented and accounted for at local, regional,
State and Federal planning levels, ESF 1 ensures appropriate execution of transportation
support for response and recovery for declared emergencies and disasters at all levels.
Also issued by DHS in 2008, per HSPD 5, the National Incident Management System (NIMS)
provides a consistent, coordinated, modular approach for Federal, State, and local governments
to work efficiently and effectively together in managing disasters based on the incident
command system (ICS). The NIMS also provides information on mutual aid and assistance
agreements for local governments, and ICS features the flexibility to assign ESF 1 and other
stakeholder resources according to their capabilities and response needs.6
The Transportation Security Administration (TSA) and the Federal Bureau of Investigation have
primary responsibility for countering a domestic terrorist attack. The TSA Administrator has
authority under 49 U.S.C. 114(g)7 to “coordinate” domestic transportation during an emergency
and to “carry out such other duties, and exercise other such powers” as the Secretary of
Homeland Security may prescribe. Such coordination has traditionally included the movement
and routing of trains and traffic on the interstates.
Disaster Relief Assistance
Both FEMA and FTA are authorized to award disaster relief assistance to public transit agencies
that have incurred emergency expenses as a result of a disaster. When and if funding is
available for FTA’s ER Program, FTA has the primary responsibility of awarding disaster relief
assistance. If funding is not available under FTA’s ER Program, FEMA has the authority to
award disaster relief assistance to affected transit agencies.
Additional information on disaster relief assistance is provided in Chapters 3 and 4 of this
manual.
Role of State Governments
As primary recipients of FEMA funds under Stafford Act programs, State governments are
responsible for ensuring that potential applicants are aware of the assistance programs;
assessing applicants’ eligibility for FEMA funds; providing technical advice to eligible applicants;
submitting necessary paperwork for grant awards; and notifying applicants that funds are
available.
States have significant resources to help local governments if they need assistance. These
resources include emergency management and homeland security agencies, State police,
health agencies, transportation agencies, incident management teams, specialized teams, and
the National Guard.
If a State needs additional resources to respond to an emergency, the State may request
assistance from other States through interstate mutual aid and assistance agreements such as
the Emergency Management Assistance Compact. If an emergency is beyond local and State
capabilities, the Governor can seek Federal assistance.
The State then collaborates with the impacted communities and the Federal government to
provide the help needed.

6

Additional information on ESF 1 is available at http://www.fema.gov/media-library-data/20130726-1913-250452201/final_esf_1_transportation_20130501.pdf.

7
The TSA was authorized under 49 U.S.C. Part 114. Subpart 114(g) delineates the TSA’s National Emergency Responsibilities.

8

Role of Metropolitan Planning Organizations (MPOs)
The role of MPOs in regional emergency response planning varies from region to region and
may include conducting vulnerability analyses on regional transportation facilities, analyzing
transportation networks for redundancies in moving large numbers of people, and analyzing
transportation networks for emergency route planning, including strategic gaps in the network
and services. In addition, MPOs are concerned with ensuring that emergency transportation
services are available to populations with special needs, such as the elderly, or those with
disabilities; residents of institutionalized settings; children; those from diverse cultures, including
individuals who have limited English proficiency or are non-English-speaking; or those who are
transportation disadvantaged.
Role of Local Governments
Local governments (e.g., counties, cities, towns) plan for and respond to emergencies every day
using their own resources. They also develop and rely on mutual aid and assistance
agreements with neighboring jurisdictions when they need additional resources. When local
jurisdictions cannot meet response needs with their own resources or with help from other local
jurisdictions, they may ask the State for assistance.

9

Chapter 2: Disaster Preparation Considerations for Transit Agencies
This chapter provides information and recommendations for practices that transit agencies may
consider implementing in advance of an emergency or disaster to reduce the impacts (including
costs and service disruptions) associated with disaster response.
As explained earlier, transit agencies are responsible for ensuring their preparedness in
advance of a disaster. In addition, a transit agency is generally the primary responder when a
disaster threatens to, or directly affects, its system or operations. The recommendations below
are categorized by the common business units to which they might apply, including planning
and preparedness, operations, contracting, and capital asset management.
2.1.

Planning and Preparedness

Develop recordkeeping policy and protocols
Develop a policy and procedures to document hours of asset use as well as asset losses during
declared emergencies. Documentation is essential for recovery funding under the Stafford Act
and FTA’s ER Program.
Develop and train staff on emergency management plans
A transit agency’s emergency management plan should address various types and levels of
emergencies and disasters. It should also address coordination with local governments and
responders.
Plan elements should include key personnel contact lists; communications protocols; checklists
by functional area of actions to be taken; action timelines for before, during, and after an
emergency; and emergency and disaster response policies, protocols, and procedures.
Emergency management plans should also include protocols for parking and deploying bus and
rail fleets and support vehicles during emergencies. These activities include fueling buses and
support vehicles prior to emergency events; moving buses and support vehicles out of floodprone areas; splitting fleets between two or more locations to minimize loss and maximize
availability; and parking vehicles in structurally safe facilities where available.
Transit agencies should train staff and practice their emergency management plans to ensure
they will be effective when emergencies arise. Transit agencies should conduct periodic
training sufficient to ensure that all employees are familiar with the agencies’ emergency
management plans and their own and others’ responsibilities and duties. Transit agencies
should conduct training drills and exercises at the agency level, and should participate in local
and State emergency operations center (EOC) exercises. Internal drills should be sufficient so
that all employees can carry out their agency responsibilities. Through participation in local and
State EOC exercises, transit agencies can assess whether their employees understand the
relationships with community partners and passengers, including special-needs passengers.
Transit agencies should also participate in the development of after action reports (AARs) based
on their involvement and relationship with the local or regional organization responsible for the
AAR.
Most States have emergency management plans that establish a framework through which local
governments prepare for, respond to, and recover from disasters that affect the residents of
their jurisdictions. State plans normally address evacuations, sheltering, post-disaster response
and recovery, deployment of resources, communications, and warning systems, and they define
the responsibilities of local and State agencies and volunteer organizations. State plans
describe the basic strategies, assumptions, and mechanisms through which the States mobilize
resources and take actions to guide and support local emergency management. State plans

10

also normally call for annual exercises to determine the ability of State and local governments to
respond to emergencies. Transit agencies should participate in these exercises.
Additional information on the development and implementation of a security and emergency
preparedness plan is available from the American Public Transportation Association’s (APTA’s)
Recommended Practices program.8
Develop policies to address personal belongings, pets, and service animals
In an emergency, evacuees commonly want to bring their pets and personal belongings aboard
evacuation vehicles. Transit agencies should have policies in place to inform riders about what
they may carry with them when evacuating. Agencies with “no pet” rules must always allow
persons with disabilities to ride with their service animals.
Clarify staff responsibilities and duties
Transit agencies should clarify the responsibilities and duties of employees during emergencies.
If the responsibilities and duties are a mandatory part of a job, transit agencies should spell
them out in job descriptions. If voluntary, transit agencies should obtain commitments from
employees before assigning staff for emergency response and recovery actions. Transit
agencies should also encourage employees to make plans with their families so that during
emergencies the employees are free to perform the agency’s emergency response duties.
Develop fair employee compensation policies
Transit agencies should review and, as needed, amend their compensation policies to ensure
that they do not penalize employees who respond during declared emergencies and disasters.
For example, policies that do not include overtime pay for extended work hours during
emergency evacuations may realize short-term economic savings, but may negatively impact
employees’ willingness to respond in the future. As appropriate, compensation for employees
volunteering during declared emergencies and disasters may be negotiated in advance with
employee unions.
Add volunteers to bus operations
Transit agencies may consider allowing volunteer staff from other organizations to assist bus
operations in loading and unloading evacuees and in communicating with pick-up points,
shelters, and other locations during evacuations. If transit agencies allow volunteers from other
organizations, these volunteers should participate in training, drills, and exercises sufficient to
carry out their responsibilities. Transit agencies may also want to provide volunteers with
suitable attire (e.g., vests) to identify them to both transit employees and evacuees.
Provide employee support and assistance
Transit agencies should evaluate the types of support that may be most useful and practicable,
such as emergency shelter for family members, employee assistance programs, and day care.
Educate passengers
Transit agencies should provide passengers with both general preparedness information and
specific directions for how to access transportation services during an emergency or other
incident. Transit agencies should provide the information in formats suitable for the populations
they serve, including special needs passengers.

8

 Additional details on APTA’s recommendations for emergency response planning are available at 
http://www.apta.com/resources/standards/Documents/APTA‐SS‐SRM‐RP‐001‐09.pdf.  

11

Public information messages should be planned and coordinated with other local entities to
ensure that people have access to emergency relief and essential services during and after an
incident, not just access to and from transit stations or locations.
Backup communication systems
Transit agencies should prepare for disruptions in their communications systems by creating
redundancies such as hard copies of communications protocols and contact information and
backups of electronic versions of passenger records and manifests for scheduling and
dispatching during paratransit operations. Power outages may also limit telephone
communications, especially if they are routed through internal systems. Additional information
on Emergency Communication Strategies for Transit Agencies is available from APTA’s
Recommended Practices program.9
Coordinate and pre-plan evacuation of special populations
Working proactively with MPOs, local governments, and their local EOCs, transit agencies
should, as needed, develop a plan to assist with evacuations for special needs populations.
Special paratransit scheduling software can facilitate evacuation planning for these populations.
In addition, by working with community health and human service agencies, transit agencies
and/or other government entities responsible for emergency management can identify
individuals who need special transportation assistance at various locations and pre-establish
pick-up locations for transport of these groups.
Prior to emergencies, transit agencies should work in cooperation with the locally responsible
emergency management agency to create agreements and coordinate information sharing with
special needs facilities that have pre-planned destinations for their patients to facilities that can
provide specialized care. Transit agencies can also plan in advance the scheduling,
dispatching, and rider notification processes needed during an evacuation. Transit agencies
should also proactively develop a plan for the evacuation of passengers who require pick-up at
individual locations.
In regions that provide fixed-route transit, portions of the regions’ populations use Americans
with Disabilities Act (ADA) complementary paratransit systems. Transit agencies with ADA
paratransit systems should assess their system’s capacity to provide emergency evacuation to
paratransit users as well as other individuals with disabilities in the community.
As possible, transit agencies and/or other government entities responsible for emergency
management should work with local governments and non-government organizations to:
 Identify and address linguistic, institutional, cultural, economic, and historical barriers
that may prevent special needs populations from participating in the agencies’ planning
process;
 Identify areas with special needs populations (i.e., populations who may need additional
response assistance, such as those with disabilities; in institutionalized settings; who are
elderly; children; from diverse cultures; with limited English proficiency or are nonEnglish-speaking; or who are transportation disadvantaged);
 Partner with and provide emergency transportation plans and information to local socialservice, culture- and faith-based, and other nonprofit organizations so that these
organizations can educate their transit-dependent constituents on transportation
services available during emergencies; and

9

 Additional details on APTA’s recommendations for emergency communication strategies are available at 
http://www.apta.com/resources/standards/Documents/APTA‐SS‐SEM‐RP‐009‐09.pdf. 

12

 Share information with partner agencies and organizations on coordinating vehicles,
operators, dispatch, and technologies for passenger evacuation and transport.
For more information on communication with special populations, see Transit Cooperative
Research Program (TCRP) Report 150, “Communicating with Vulnerable Populations: A
Transportation and Emergency Management Toolkit.”10
2.2.

Operations

Pre-establish alternate and/or evacuation routes
For advance-notice emergencies (e.g., hurricanes, floods), transit agencies should, to the extent
possible, pre-establish alternate and/or evacuation routes and vehicle assignments to facilitate
quick response and expedite implementation of services, and to allow passengers, especially
transit-dependent passengers, to be aware of these services.
Identify pick-up point, shelter, and treatment center points of contact (POCs) and protocols
The logistics of getting people to and from pick-up points, shelters, and treatment centers during
emergencies may be challenging. Incomplete information or lack of a single POC for each
point, shelter, or center can lead to inefficiencies. Transit agencies that are responsible for
emergency evacuations should work with local first responders, EOCs, or other designated
emergency coordination centers to establish POCs for each point, shelter, or center for
accessing vehicles; coordinating arriving and departing vehicles; escorting passengers into
processing areas; and arranging for return trips.
Purchase and install batteries and electrical generators
In anticipation of loss of electrical power, transit agencies should purchase extra batteries for
portable radios and cell phones. Transit agencies should also purchase and install vehicular
chargers for both radios and cell phones.
Transit agencies should also purchase and install backup generators to allow critical emergency
functions to resume as quickly as possible following an emergency. Ideally, the generators
should power all transit facility functions. At a minimum, they should be able to power fueling
systems; radio communications; computerized scheduling and dispatching systems; and lights,
electrical outlets, and shop equipment to allow transit agencies to maintain service until normal
power is restored.
Fuel fleet and staff vehicles prior to an emergency when possible
To ensure that fleet and support vehicles are fueled prior to an emergency, transit agencies
should place fueling on the action checklists in their emergency response plans.
Recommendations for bus contingency fleets
Transit agencies may place buses in an inactive contingency fleet (stockpile) in preparation for
emergencies. However, transit agencies may not stockpile buses acquired with FTA funding
before they have reached the end of their minimum normal service life. Transit agencies must
store and maintain the buses in their contingency fleet, and must document them in a
contingency plan, updated as necessary, to support continuation of the fleet.
Consider fare suspension
Transit agencies should consider establishing no-fare policies and operational plans that could
be implemented as part of emergency evacuations. Fare-suspension policies facilitate vehicle

10

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

13

boarding, eliminate the money-handling and other security problems related to fare collection,
and are user-friendly to first-time users.
Coordinate with local human services organizations and schools
In conjunction with Federal, State, local, and tribal emergency management structures, transit
agencies should establish relationships with local human services and health care
organizations, schools, and other NGOs (e.g., Red Cross, Salvation Army) that have access to
transportation departments or other transportation resources (e.g., vehicles, drivers, fuel,
maintenance facilities) available for emergency response. Availability of accessible, smaller, or
specialized vehicles may be especially important.
Establish a Continuity of Operations Plan (COOP)
Transit agencies should consider establishing a continuity of operations plan (COOP) that
details how an agency will respond to an incident that may interrupt existing business or service
operations. In such cases, various levels of leadership or staff may not be able to carry out their
typical functions. A COOP can ensure that an agency has clearly defined backup procedures
that will enable an agency to continue to maintain and support its most critical functions.
Additional information on COOP planning is available under APTA’s recommended practices
program.11
2.3.

Contracts

Federal Contracting Provisions
Federal procurement standards established in 2 CFR Part 220.317-326 permit the use of a
noncompetitive procurement when the circumstances of an emergency (or public exigency)
would not permit a delay resulting from competitive solicitation. Accordingly, based on the
circumstances of a disaster, emergency preparation and response activities and temporary
repairs conducted immediately preceding, during or after a disaster may not be required to
conduct a competitive procurement or comply with relevant Federal contracting provisions.
It is very important to document the emergency or exigent circumstances at the time of the
procurement. Once the exigent or emergency circumstances no longer exist, agencies may
need to competitively bid those contracts.
In addition, under the regulations governing the ER Program, FTA may determine that Federal
contracting requirements generally do not apply for certain emergency response costs incurred
within a 45-day period after a declared disaster. FTA recognizes that timing is critical in the
aftermath of a disaster and some work may need to be procured under expedited contracting
procedures. However, recipients are advised that while immediate response and recovery costs
may be permitted to use an expedited procurement process, this extended 45-day waiver period
is not automatically granted.
In the event FTA has not proactively waived certain requirements, recipients are encouraged to
seek a waiver through the process outlined in 49 CFR part 601, as described in section 4.2.7
and as included in Appendix B.
Consider just-in-time contracts
Transit agencies should consider just-in-time contracts as a way to aid continuation of service
during emergencies. Agencies should consider including Federally required contract provisions

11

 Additional details on APTA’s recommendations for COOP planning are available at 
http://www.apta.com/resources/standards/Documents/APTA‐SS‐SEM‐S‐001‐08.pdf 

14

in these contracts in case they decide to submit these costs for subsequent Federal
reimbursement either after the emergency waiver period or in case a waiver is not granted.
Develop MOAs or mutual aid agreements
Transit agencies should develop MOAs or mutual aid agreements with other relevant
organizations and agencies in the same or adjoining communities or areas. These agreements
should formalize and authorize assistance during emergencies, including addressing financial
reimbursements to service providers.
2.4.

Capital Projects and Asset Management

Incorporate asset resilience in transit asset management planning
Transit agencies should consider current and future climate and weather-related hazards as
part of their transit asset management processes and procedures. The projected impacts of
climate change associated with greenhouse gases may include the increased frequency and
severity of hazards such as heavy rainfalls, coastal and riverine flooding, heat waves, extreme
cold, and wind events. These weather events and disasters may directly impact assets located
in vulnerable areas, and may affect how an agency identifies and prioritizes necessary hazard
mitigations, asset replacement schedules, or the expected useful service duration of capital
assets.
Consider climate-related hazards in capital project engineering and design
When designing major capital projects, transit agencies should consider potential hazards that
may affect an asset over the course of its anticipated useful lifetime, and they should develop
and evaluate potential mitigations that would reduce possible damage to the newly constructed
asset. Mitigations included in the initial design of new capital projects are typically much more
cost effective than those designed and built after a project is completed.
Develop and prioritize projects to harden assets to potential disasters
As part of transit asset management planning, transit agencies should develop a list of potential
hazard mitigation projects to physically protect existing assets from current and future
vulnerabilities. These projects should be evaluated and prioritized using a hazard mitigation
benefit cost analysis12 to achieve the greatest possible reduction in potential damages and
service interruptions based on the amount of capital funding that may become available. FTA is
aware that hazard mitigation projects must compete for funding with other needed investments,
and recommends that transit agencies carefully evaluate the benefits and costs of such projects
in order to properly understand the potential value of such projects when deciding what projects
to fund. At a minimum, agencies should consider the criticality of vulnerable assets to the overall
transit system, the vulnerability of such assets to various threats, and the costs associated with
protecting or replacing the asset.
Transit agencies should ensure that new transit facilities are designed to withstand natural
disasters and other emergencies, and to provide shelter for agency personnel. Transit agencies
should assess existing facilities to determine any practical proactive engineered retrofits and
administrative actions, and implement retrofits as practicable. The cost for physically protecting
transit facilities, also known as hardening, is an eligible expense in FTA grant applications.
From time to time, FTA may make funding available under the ER Program for projects that

12

For example, FTA developed a Hazard Mitigation Cost Effectiveness Tool for use by applicants for competitive resilience funding
in response to Hurricane Sandy. Background information on this tool can be found at http://www.fta.dot.gov/emergencyrelief.
Additional resources on this topic are available from FEMA at https://www.fema.gov/benefit-cost-analysis.

15

improve the resilience of transit systems, including hardening projects. Hardening projects may
also be eligible for funding under FEMA’s Hazard Mitigation Grant Program.

16

Chapter 3: Overview of Disaster Response and Recovery Funding and Resources
This chapter provides an overview of disaster response and recovery assistance available
through FTA, FEMA, and other sources. This assistance includes reimbursement for
emergency-related expenses, support for emergency transit service, and technical support in
responding to a disaster.
Regardless of the source of emergency assistance, it is very important that a transit agency
affected by a disaster keep clear and complete records of all resources spent and actions taken
during disaster response. Without adequate recordkeeping from the very start, a transit agency
may be unable to verify its eligible emergency-related expenditures. At a minimum, transit
agencies should maintain the following records:






Mutual aid agreements
Service or resource requests and funds/resources expended in providing requested
services. (Transit agencies should register service and resource requests with State
and local EOCs.)
Physical assets, personnel, and supplies used in the emergency
Damage assessments for vehicles, facilities, and equipment, and estimates or costs of
repair or replacement
Contracts and procurement documentation

The remainder of this section explains the multiple Federal programs that are available for
disaster relief and how they interrelate.
3.1.

Federal Transit Administration

Although the Stafford Act is the most familiar mechanism by which the Federal government
provides support to State and local governments, it is not the only one. Often, Federal
assistance does not require coordination by DHS and can be provided without a Presidential
major disaster or emergency declaration. In these instances, Federal departments and
agencies provide assistance to States, as well as directly to local jurisdictions, consistent with
their own authorities. This support is typically coordinated by the Federal agency with primary
jurisdiction rather than DHS.
In general, FTA has broad flexibility under its planning and capital funding programs for States,
metropolitan planning authorities, and transit agencies to spend FTA funds for emergency
preparedness and response planning and for capital security projects. FTA can also hire private
sector contractors to provide assistance to transit agencies in disaster areas to support transit
planning, operations and engineering, and project management.
Although Federal transit law at 49 U.S.C. 5334(b)(1)13 prohibits FTA from regulating transit
operations, the FTA may regulate the operation of federally funded transit systems (public
transportation grantees) for national defense purposes or in the event of a national or regional
emergency.
Emergency program authority
As established by MAP-21 and codified at 49 U.S.C. 5324, FTA has authority to develop and
implement an ER Program to provide financial assistance to public transportation systems,
including FTA grantees (grant recipients) and sub-grantees (subrecipients), in restoring public
transportation services and in repairing and reconstructing public transit assets to a state of
good repair following declared emergencies or disasters. In conjunction with repair and

13

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

17

reconstruction, FTA may award funding for projects that increase the resilience of transit
systems to future emergencies and disasters.
Before FTA can award disaster assistance under the ER Program, Congress must first
appropriate funding for the program. For example, Congress may appropriate funding as a
general appropriation to the program or as a supplemental appropriation tied to a specific
disaster. Should funding be available under the ER Program, FTA will be the primary Federal
agency responsible for reimbursing affected transit agencies. If sufficient funding is not
available under the ER Program, FEMA may provide disaster relief to affected transit agencies.
Grantees should contact their FTA Regional Office to determine whether FTA ER funds are
available and for information on how to proceed with requesting Federal disaster relief
assistance.
FTA funding may equal up to 80 percent of project costs for capital and operating projects. The
FTA Administrator has the authority to waive the non-Federal share, and FTA may also defer
the local share. FTA’s final rule, at 49 CFR Part 602, Emergency Relief, is reproduced in full in
Appendix A. The final rule includes grant eligibility requirements and application procedures
and explains pre-award authorities and the types of activities that are eligible for relief funding.
Transit operators impacted by a disaster or emergency should contact their FTA Regional Office
to determine whether ER funds are available. If FTA ER funds are available, grantees will work
with FTA, not FEMA, for reimbursement of emergency-related expenses. This process is
outlined in Figure 3-1. Grantees are advised that FTA and FEMA will ensure that emergency
assistance is not duplicated under either program.
If FTA ER funds are unavailable, grantees may pursue funding from FEMA and may also utilize
formula funds apportioned for the Section 5307 or Section 5311 programs for costs eligible
under the ER Program.14
If a grantee draws down formula funds to reimburse emergency expenses, these funds may not
be replaced or restored with ER funds if funding is subsequently made available under the ER
Program. However, FTA may allow a grantee to use any unexpended formula funds awarded
for emergency expenses for other purposes under the applicable formula program. FTA
recommends that grantees follow both FTA and FEMA procedures until it is clear whether
funding will be available for FTA’s ER program.
FTA also has an ER docket to allow waivers from administrative requirements during declared
emergencies and disasters. Appendix B describes procedures for FTA grantees and subgrantees in petitioning the FTA Administrator for temporary relief from the provisions of chapter
53 of Title 49, U.S.C., as well as any FTA policy statement, circular, guidance document, or rule,
as provided in 49 CFR Part 601, Subpart D.
Funds for emergency transportation services under FTA’s ER Program
Under FTA’s ER Program, grantees may be reimbursed for emergency transportation services.
This includes any temporary service that is outside the scope of an affected transit system’s
normal operations, including, but not limited to, evacuations; rescue operations; bus, rail or ferry
service to replace inoperable rail service or to detour around damaged areas; additional service
to accommodate an influx of passengers or evacuees; returning evacuees to their homes after
the disaster or emergency; and the net project costs related to reestablishing, expanding, or
relocating public transportation service before, during, or after an emergency or major disaster.

14

 Formula funds may be used for costs eligible under the ER Program, but continue to be subject to the program 
and grant requirements of the program under which they were apportioned, unless otherwise determined by FTA. 

18

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

19

Funds for capital equipment and facility replacement under FTA’s ER Program
For transit agencies whose vehicles, capital equipment, or facilities are damaged during a
declared emergency or disaster, FTA’s ER Program will fund capital projects undertaken for the
purpose of repairing, replacing or reconstructing seriously damaged public transportation
system elements, including rolling stock, equipment, and facilities and infrastructure as
necessary to restore the elements to a state of good repair.

3.2.

Federal Highway Administration

Section 125 of Title 23, U.S.C., authorizes the FHWA ER Program to provide funds for the
repair or reconstruction of Federal aid highways and roads on Federal lands that have suffered
serious damage as the result of natural disasters or catastrophic failures from external causes.
Overview of FHWA ER Program
Historically, Congress appropriates approximately $100 million annually to the FHWA ER
Program, and occasionally provides additional funds through supplemental appropriations.
Typically, an incident must cause at least $700,000 in eligible damages for the incident to
qualify for FHWA ER Program funding; damages less than that are generally considered to be
heavy maintenance or routine repairs, which are ineligible for the program. By policy, a
minimum of $5,000 per repair site is used to determine if sites are eligible for funding. By
statute, the FHWA ER Program funding is limited to the cost of repair or reconstruction of a
comparable facility. However, design and construction repairs should consider the long-term
resilience of the facility using a risk-based analysis to ensure the repairs are cost-effective and
reduce the potential for future losses.
The FHWA ER Program funds two categories of work: emergency repairs and permanent
repairs. Emergency repairs that restore essential travel, minimize the extent of damage, or
protect remaining facilities and are accomplished in the first 180 days after the incident occurs
are reimbursed at 100 percent Federal share. The 180-day limit may be extended if a State
cannot access a site to evaluate damages and the cost of repairs. Permanent repairs to
Interstates are reimbursed at a 90-percent Federal share; permanent repairs to all other
Federal-aid roads are reimbursed at an 80-percent Federal share. State Departments of
Transportation must submit a notice of intent to request ER Program funds to their FHWA
Division Office located in their State to begin the application process. States must submit an
application for FHWA ER Program funding within two calendar years of the date of the disaster.
The application should include a comprehensive list of all project sites and repair costs.
Funds for Transit Services
In some cases, transit services may be eligible for reimbursement under the FHWA ER
Program. For example, if a road or bridge has been damaged or destroyed by a disaster, and a
temporary structure or alternate route is not practical as a temporary connection, additional
detoured or temporary ferry or other transit services may be eligible for reimbursement under
FHWA's ER Program.
Eligible costs under such a scenario could include the cost of the ferryboat or transit vehicle,
less salvage value; reasonable rental fee for the ferryboat or transit vehicle; maintenance and
operation of the temporary ferry or transit service; and docking and loading facilities.
When multiple Federal disaster funding programs are in effect, FTA coordinates closely with
FHWA and FEMA to ensure eligibility of activities and to avoid duplication of resources. Transit
systems are advised to contact their FTA Regional Office to determine whether funding may be

20

available under the FTA ER Program before seeking funding through the FHWA ER Program. If
FTA funding is not anticipated, FTA may be available to assist transit systems in seeking
funding under the FHWA ER Program.
For additional information, please consult FHWA’s Emergency Relief Manual, which provides
guidance for transit agencies on applying for emergency relief funds from FHWA
(http://www.fhwa.dot.gov/reports/erm/er.pdf).
3.3.

Federal Emergency Management Agency

FEMA is authorized under the Stafford Act to make funding for emergency- and disaster-related
activities available through three major grant programs: Individual Assistance; Public
Assistance (PA); and Hazard Mitigation Assistance. FEMA is responsible for educating States,
the primary recipients of grant funding under the programs, about the programs and the
procedures for applying for funds.
Under the Stafford Act, FEMA coordinates Federal assistance to supplement State and local
government response to declared emergencies and disasters. The NRF outlines the progress
of events leading to a response by local, State, and Federal resources, as shown in Figure 3-2.

EMAC: Emergency Management Assistance Compact 
EOC: Emergency Operations Center 

Figure 3-2 Overview of Stafford Act Support to States
(Source: http://www.fema.gov/pdf/emergency/nrf/nrf-stafford.pdf)
Under the Stafford Act, States can request assistance from FEMA to provide emergency transit
services to assist a community or regional area to recover from the effects of a disaster. In

21

addition, FEMA assistance is available to transit agencies to help replace or repair vehicles,
equipment, and facilities that are damaged or destroyed during a disaster, only if FTA does not
have funds available.
Funds for emergency transportation services under the Stafford Act
FEMA assistance is available for reimbursement of costs associated with evacuations and other
emergency transportation needs. In addition, FEMA can directly provide (through contract or
mission assignment) temporary public transportation services to meet emergency needs and
provide transportation to government offices, employment centers, and other places, as
necessary, to enable the community to resume its normal pattern of life as soon as possible.
However, emergency public transportation service is intended to supplement, not replace, predisaster transportation facilities that remain operable after a major disaster. FEMA funding for
such transportation is discontinued as soon as the emergency needs are met. Stafford Act
assistance is generally provided at a 75 percent Federal share.
Funds for capital equipment and facility replacement under the Stafford Act
For transit agencies whose vehicles, capital equipment, or facilities are damaged during a
declared emergency or disaster, the PA program under the Stafford Act makes provisions for
Federal reimbursement for permanent work, including repairs, restoration, or replacement of the
damaged assets. Stafford Act assistance is generally provided at a 75-percent Federal share.
3.4.

State, Regional, and Local Resources

During Presidentially-declared emergencies and disasters, funds available through Stafford Act
programs flow from FEMA to affected States, then grantees. The States identify potentially
eligible projects; identify the local cost share (up to 25 percent); notify sub-grantees that funds
are available; and disburse the funds.
Transit agencies may receive FEMA funds directly from States or through lower-tier
organizations or agencies, such as regional emergency management coordinating
organizations, depending upon State and jurisdictional agreements.
Transit agencies that receive funds under Stafford Act programs are accountable to States for
use of the funds. They must provide documentation and personnel to work with FEMA and the
State in assessing damages, completing application processes, and identifying all damages to
the State and FEMA for reimbursement.
3.5.

Non-governmental and Nonprofit Organizations

APTA
APTA coordinates information about the availability of buses during declared emergencies and
disasters. Through this coordination, available transit buses from cooperating transit agencies
can be available nationwide to supplement emergency transit services.
FTA partnered with APTA to develop the Emergency Response and Preparedness Program
(ERPP), an online “mutual aid” tool (http://www.aptaerpp.com/) to assist transit systems and
industry entities in accessing resources to prepare for or respond to an emergency or disaster.
Community Transportation Association of America (CTAA)
CTAA staff and members of its peer network may provide hands-on assistance in reestablishing
disrupted transit service and providing consultants to transit agencies on a short-term basis. In
addition, Community Transportation Lending Services, Inc.
(http://web1.ctaa.org/webmodules/webarticles/anmviewer.asp?a=53&z=36) may provide shortterm financing for transit agencies affected by declared emergencies or disasters.

22

American Bus Association
The American Bus Association provides coordination and assistance for intercity evacuations,
as transit buses may be limited by fuel availability and range.

23

Chapter 4: Federal Transit Administration Emergency Relief Program Policies and
Requirements
This chapter provides detailed guidance for transit agencies seeking or receiving funding under
FTA’s ER Program.
4.1.

Program Overview

The ER Program was established to allow FTA to make grants to public transportation systems
for costs associated with preparing for, responding to, or recovering from, declared emergencies
or disasters.
The policies and requirements that apply to recipients of ER funds are in some ways different
than those that apply under other FTA grant programs. In some cases, when permitted under
both law and program regulations, FTA may waive certain requirements or, if necessary,
establish additional requirements for recipients of ER funding. Additional requirements may
include increased milestone or financial reporting, reporting of insurance proceeds, enhanced
project oversight, or other conditions that FTA determines are necessary. Any variation from
the standard requirements listed in this manual will be published at the time funding is allocated
in response to a declared emergency or disaster, and may be incorporated as part of the special
conditions for a grant made under the ER Program. Any special requirements will be published
as early as possible to ensure that affected recipients are able to retain eligibility for costs
incurred as a result of a disaster. This section of the manual provides standard guidance that
applies to the ER Program as a whole.
The guidance provided in this chapter applies for funding allocated through the FTA ER
Program, as well as for funds apportioned under 49 U.S.C. 5307 and 49 U.S.C. 5311 and
awarded for ER under 49 U.S.C. 5324(d).
4.1.1

Eligible Recipients

Eligible recipients of FTA ER funding are entities that receive Federal transit funding directly
from FTA, whether as a State, a designated recipient of 5307 Program funding, or as a direct
recipient of program funds. Eligible recipients are typically States, local government authorities
and public transit systems. Eligible recipients may apply for FTA ER Program funds on behalf of
themselves and any subrecipients.
Eligible subrecipients are entities that provide public transportation service, but do not receive
funding directly from FTA. Eligible subrecipients may receive FTA ER funds as a subrecipient of
an eligible recipient. Potential subrecipients should contact the appropriate FTA Regional Office
for assistance in determining whether a direct FTA recipient in their geographic area may be
willing to apply on their behalf.
All recipients or subrecipients must be located in geographic areas for which an emergency or
disaster has been declared (as defined in 49 U.S.C. 5324 and 49 CFR Part 602) in order to
apply for FTA ER Program funds. A process for evaluating recipient eligibility is included in
Figure 4-1.

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

Program Recipient Eligibility

4.1.2

Application Process and Allocation of Emergency Relief Funding

In the event of an emergency or major disaster affecting public transportation systems, FTA will
consult with the affected transit systems to determine the scope and extent of damage or the
existence of other eligible costs. If a presidential or State declaration of an emergency or major

25

disaster is in effect, the affected transit systems may be eligible for reimbursement of eligible ER
costs through FTA’s ER Program.
Overview of the Allocation Process
The availability of ER assistance under FTA’s ER Program is contingent upon a Congressional
appropriation of funding to the program on a general basis or for a specific disaster. Affected
transit systems should contact their respective FTA Regional Office to determine whether ER
Program funds are available. If funds are limited or unavailable, the Regional Office may
facilitate communication with other funding agencies. Please refer to Appendix D for FTA
Regional Office contact information.
If eligible ER costs have been identified, and funding is available for the ER Program, FTA will
make ER funding available to affected transit systems by soliciting funding requests from
affected transit systems.
FTA will clearly identify what application requirements and supporting documentation is needed.
FTA may require specific information to support that costs were incurred within the 45 day
period following the emergency or major disaster, such as contracts, requests for proposals, or
items to support force account costs. The type of documentation required will be identified in the
specific solicitation of funding requests.
If necessary, FTA may prioritize the types of projects to which funding is made available. The
prioritization of funding may be based on the overall amount and character of eligible expenses,
estimated damages, availability of program funds, and type of relief most needed.
Preliminary Field Survey
The first step in applying for FTA ER Program assistance is for the applicant to complete a
preliminary field survey and submit a damage assessment report to FTA in accordance with 49
CFR 602.17. Transit systems requesting ER funding are required to complete a preliminary field
survey to determine the general type and extent of damages sustained as the result of an
emergency or major disaster, and to submit this information to FTA as a damage assessment
report. The field survey and damage assessments are intended to summarize the extent of
damages caused by a disaster, and are not detailed cost estimates for subsequent repair
projects. The field survey and damage assessment will be used to ascertain the extent of
damage to transit infrastructure and the need to allocate ER funding in response to the
emergency. Applicants have 60 days from the onset of the incident period to complete their
preliminary field surveys and submit their damage assessment reports.
The preliminary field survey should be made as soon as it is practical and safe to do so after an
incident. If a Federal declaration is anticipated, transit agencies should contact their FTA
Regional Office to coordinate their efforts with other local and State agencies and FEMA to
reduce duplication of effort and to ensure that information is included in the joint FEMA-State
preliminary damage assessments that inform the Federal declaration process. If the availability
of FTA ER funding is not known in the immediate aftermath of the disaster, the transit agency
should work closely with both FEMA and FTA to ensure the broadest eligibility for potential
reimbursement.
Preliminary field surveys are usually accomplished using a boots-on-the-ground approach,
wherein the applicant’s personnel (or contractors) walk around the damaged site to record their
observations in written notes and photographs and/or videos. Another approach is the
“windshield” or “dashboard” method, during which an applicant’s personnel (or contractors) drive
around the impacted area, usually two people to a vehicle, so that one person can take notes
and pictures while the other drives. Aerial inspections can be used to estimate initial damages

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followed by more detailed inspections, particularly if a geographic area is not immediately
accessible after the event.
Regional FTA personnel participate in preliminary field surveys, to the extent practicable, when
the applicant requests technical assistance or if the Regional Office determines FTA personnel
should participate in the inspection process.
Damage Assessment Report
After the preliminary field survey is complete, potential recipients are required to submit a
damage assessment report to FTA. The damage assessment report will document the
damages observed in the field and summarize the overall impact of the disaster for FTA, which
will then determine whether public transportation assets sustained serious damage as a result
of the emergency or disaster. Damage assessments should be organized by grant recipient,
subrecipient, or, in the case of large complex recipients, by operating unit. A geographic
breakdown by State or political subdivision may also be appropriate.
FTA does not require that applicants use a standard format for the damage assessment report.
However, each report should contain, at a minimum, the following information:
1. Specific location, type of facility or equipment, nature and extent of damage
2. The most feasible and practical method of repair or replacement
3. A preliminary cost estimate to restore, replace, or reconstruct the damaged
system/element, including any temporary repairs to return the system/element to
operation or reduce further damage before permanent repairs are completed.
4. A description of potential environmental and historic impacts from the disaster or as a
result of the proposed repair or replacement
5. Photographs showing the type and extent of damages and/or sketch maps depicting the
damaged areas
If available, the following information may also be included in the damage assessment report:
1. Recommended resilience projects to protect equipment and facilities from future

emergencies or major disasters

2. Evaluation of reasonable alternatives (including change of location, addition of
resilience/mitigation elements, and any other reasonable alternatives) for any damaged
transit facility that has previously been damaged and repaired or replaced as a result of
an emergency or major disaster.
In addition to FTA Regional Office personnel, FEMA and FHWA personnel who are familiar with
the field survey process may provide additional guidance and support in completing the surveys
and the damage assessment reports. Damage assessment reports should be submitted to the
FTA Regional Administrator by email, using the contact information available on FTA’s website.
Allocation and Award Process
After the applicant has submitted the damage assessment report to the appropriate FTA
Regional Office, and has been notified that funding is available, either through an official notice
or a letter of allocation, the applicant may then submit an application for recovery funding
through FTA’s electronic award management system. A grant application in FTA’s electronic
award management system must include detailed information about each eligible project activity
and expense, as well as information indicating that all applicable FTA and cross-cutting Federal
requirements have been met.

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The FTA Regional Office may provide technical assistance to applicants in the preparation of
grant applications. FTA personnel will review submitted grant applications for the eligibility of
the submitted expenses and the consistency of the application with applicable rules and
requirements. The timeline for review and approval of a grant application is dependent upon the
scope and complexity of the proposed activities and expenses and the applicant’s previous
familiarity with the grant application process.
After FTA approval and obligation, and the recipient’s execution of the grant agreement, the
recipient may draw down funding for reimbursement of eligible expenses using FTA’s electronic
payment system.
Grant Reporting Requirements
Unless otherwise specified in the grant, FTA’s standard quarterly reporting requirements will
apply. Grantees will be required to submit a quarterly Federal Financial Report (FFR) and a
detailed milestone progress report identifying all activities undertaken in the previous quarter for
each project. Under certain circumstances, more frequent reporting may be required.
4.1.3

Eligible Projects and Costs

ER Program funds may be used to repair, replace, or reconstruct public transportation assets
that are in danger of being damaged, or have been seriously damaged by an emergency or
disaster, and to reimburse affected transit systems for eligible operating costs. Specific
information on eligible and ineligible expenses is addressed below.
FTA will not award ER funding for costs that have been reimbursed by another Federal agency,
that have been funded through insurance proceeds, or that are already funded in an existing
FTA grant. See Section 4.3 of this chapter for additional guidance on the allocation and
treatment of insurance proceeds.
The categories of projects that are eligible for funding under FTA’s ER Program include:
Emergency Operations
Emergency operations include temporary services carried out by public transportation providers
that fall outside the scope of their normal operations, and may be undertaken to prepare for or
respond to an emergency or disaster. The costs of emergency operations are considered
operating expenses.
Examples of emergency operations include:
i.

evacuations

ii.

rescue operations

iii.

temporary bus, ferry, or rail service to replace an inoperable service or to detour around
damaged areas

iv.

temporary service to accommodate increased numbers of passengers or evacuees
resulting from the event

v.

returning evacuees to their homes after the emergency or disaster

vi.

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

vii.

relocating rolling stock or spare parts necessary for system operation from a threatened
or impacted area to a safer area to protect it from (additional) damage.

Emergency Protective Measures

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Emergency protective measures are capital expenses incurred immediately before, during, or
after an emergency to protect public health and safety or property. These projects lessen or
eliminate an immediate threat to public health or safety, or eliminate or lessen the immediate
threat of significant damage or additional damage to the applicant’s real property or other assets
in a cost-effective manner.
Examples of emergency protective measures include, but are not limited to, the capital costs
associated with:
i.

Emergency communications – In some cases, regular means of communications used
by a public transportation agency might be damaged by the emergency or major disaster
such that the agency cannot carry out its duties to respond to the disaster and/or provide
essential community services. A temporary communication system might be needed to
supplement the portion of the communication system that remains operable to facilitate
the agency’s emergency operations. Only measures that are taken to supplement the
inoperable portions of the system are eligible for reimbursement; the emergency system
should not expand beyond the capabilities of the existing (but temporarily inoperable)
system.

ii.

Security forces – Additional police and security personnel may be needed at public
transportation facilities in the disaster area to keep people safe and/or to protect transit
assets.

iii.

Sandbagging – Sandbags might be filled and placed in a manner to protect an
applicant’s assets.

iv.

Bracing/shoring damaged structures – Structures that are damaged as a result of the
emergency or major disaster may need to be temporarily secured by physical means to
protect them from further damage and to protect public welfare. In some instances,
demolition of severely damaged or destroyed buildings or structures might be necessary
if they pose an immediate threat to public health and safety.

v.

Debris removal – Debris typically includes trees, limbs, other vegetative materials, sand,
mud, silt, rocks, gravel, etc., as well as damaged building materials. Debris removal
generally is limited to the extent that is required to minimize damage, protect facilities, or
restore essential services. Removal of debris from a public transportation provider’s
property that resulted from the incident and is considered a health and safety hazard
may also be eligible for funding.

vi.

Dewatering – If an asset is inundated by water as a result of a qualifying event, the costs
associated with removing the water from the asset may be eligible for funding.

vii.

Removal of health and safety hazards – Conditions resulting from the emergency or
major disaster could pose a threat to public health and safety, requiring public
transportation agencies to remove or assist with removing them.

Emergency Repairs
Emergency repairs are capital projects that are undertaken within a short time period after an
emergency to minimize the extent of damage, restore service, or ensure that service can
continue until such time as necessary permanent repairs can be made. Emergency repairs may
be temporary measures that are intended to last from a period of weeks to several years and
can include permanent repairs implemented within a short timeframe.
Emergency repairs typically require little preliminary engineering or engineering reviews. The
scope of emergency repairs is generally limited to the extent necessary to allow a safe
resumption of regular service. Emergency repairs can be constructed using an agency’s own
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labor forces, without the requirement for a force account plan, or with emergency contract labor,
equipment, and materials.
Emergency repairs are generally eligible for reimbursement under pre-award authority.
Emergency repairs do not require inclusion in the Metropolitan Transportation Improvement
Program (TIP) or the Statewide Transportation Improvement Program (STIP), unless they
include substantial functional, locational, or capacity changes.
In some cases, it may be most effective to accomplish some permanent repairs while
completing emergency repairs. An example might be a washout of a section of track where
constructing a detour would be more costly and time-consuming than repairing the track. In this
case, the repair, if limited to repair or replacement of what previously existed without
incorporating any resilience measures or other upgrades (i.e., one-for-one replacement), would
be considered equivalent to an emergency repair.
The cost of materials, equipment, contractor resources, and an agency’s own labor forces
associated with accomplishing emergency repairs and emergency protective measures
generally is eligible for funding under FTA’s ER Program.
In some cases, responding to an emergency might overwhelm the capabilities or resources of
an affected transit agency, and additional resources might be required. In such cases, the
affected transit agency may choose to activate an existing MOA with another transit agency to
request assistance. The process whereby one transit agency provides support to another
agency during an emergency or major disaster is commonly called mutual aid. If an affected
transit system owner requests and receives mutual aid through an existing agreement with
another transit system owner, the requesting agency should pay the providing agency for the
assistance provided according to the terms and conditions set forth in the MOA. The requesting
agency then can seek reimbursement for this assistance through FTA’s ER Program.
Permanent repairs
Permanent repairs are capital projects that are undertaken after an emergency or major disaster
to permanently repair, replace, or reconstruct seriously damaged public transportation system
elements, including rolling stock, equipment, facilities, infrastructure, and other assets to a
satisfactory operable condition.
FTA understands that it may not always be feasible or advisable to replace damaged assets
with identical facilities, vehicles, or equipment. As a result, projects to repair, replace, or
reconstruct assets may include improvements and upgrades as necessary to meet current
safety and design standards, including the ADA, or that will reduce the risk of similar damage
from future disasters.
Specifically, recipients may replace damaged or destroyed vehicles, equipment, and facilities
with new assets; relocate assets at risk of future damage, and for which repair at the current
location is not practical or feasible; replace obsolete equipment with equipment that is fully
compliant with current safety and design standards, including existing agency-specific
operational specifications; and incorporate cost-effective resilience measures into replacement
and repair projects.
Permanent repairs are generally eligible for reimbursement under pre-award authority.
Expenses for permanent repairs that are incurred within one year of the date of a declared
disaster do not need to be included in the TIP and STIP, unless they include changes to the
function, location or capacity of the underlying infrastructure.

30

Force account labor costs for permanent repairs are eligible for reimbursement if the affected
agency develops a force account plan in accordance with the requirements of FTA Circular
5010.
Transit agencies are encouraged to consider current and future conditions and hazards when
identifying and scoping disaster recovery projects. For example, it may be both cost-effective
and resilient to replace flood-damaged equipment with elevated or waterproof equipment.
Funding awarded for recovery expenses may not be used for functionally independent resilience
projects or to alter the function or capacity of the original infrastructure without prior FTA
approval. Funding for larger-scale resilience improvements or standalone resilience projects is
discussed under “resilience projects” below. A recipient is encouraged to contact FTA if the
eligibility of an improvement for recovery funding is unclear.
Permanent repairs may also include repairs undertaken as a result of damages that were not
identified in the immediate aftermath of an emergency (latent damages). For example, exposure
to salt water may cause damages that are only identified months after the initial exposure.
Resilience projects
Resilience projects are capital projects, or functionally independent elements of capital projects,
that are designed and built specifically to address existing and future vulnerabilities to a public
transportation facility or system as a result of a probable occurrence or recurrence of an
emergency or major disaster in the geographic area where the public transportation system is
located. For example, a functionally independent resilience element of a capital project might
consist of a floodwall constructed as part of a rebuilt facility. Resilience projects may incorporate
consideration of projected changes in development patterns, demographics, or climate change
and extreme weather patterns.
The availability of funding for resilience projects will be determined on an incident-by-incident
basis. Unlike repair and recovery projects, unless otherwise provided, resilience projects are not
eligible for reimbursement under pre-award authority in the aftermath of a disaster. Once
authorized for reimbursement, resilience projects must be included in the TIP and STIP prior to
incurring costs.
A grantee should contact their FTA Regional Office if they are unsure whether a resilience
improvement should be considered part of a permanent repair project, and therefore eligible for
pre-award authority, or as a functionally independent resilience project.
Force account labor costs for resilience projects are eligible for reimbursement if the affected
agency develops a force account plan in accordance with the requirements of FTA Circular
5010.
Potential grantees are advised that if funding for resilience projects is made available, FTA may
require prior approval of resilience projects before a grantee may begin incurring costs. FTA
reserves the right to request additional documentation and justification for the approval of
resilience projects.
Spare parts
It is common for transit agencies to maintain a stock of spare parts and other maintenance
items that are needed to keep the public transportation system operating. Spare parts that are
the property of an affected transit system and held in the normal course of business and are
damaged or destroyed are eligible for funding under the FTA ER Program. In the event that a
transit agency has utilized its existing supplies to respond to a major emergency or disaster, the
agency may apply for reimbursement through the ER Program to replace these items.

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4.1.4

Ineligible Expenses

The following categories of expenses are not eligible for reimbursement under the ER Program:
Heavy maintenance
Heavy maintenance includes work that would usually be done by a public transit agency to
repair damage normally expected from seasonal and occasionally unnatural conditions or
occurrences, such as snow removal, debris removal from seasonal thunderstorms, and major
repairs required as a result of deferred maintenance. Heavy maintenance may include work
required as a direct result of a disaster, but that can reasonably be accommodated by a transit
system’s routine maintenance, emergency or contingency program, and does not rise to the
level of serious damage.
If the total extent of repairs and other work associated with a disaster exceeds the definition of
heavy maintenance, FTA will not exclude individual costs from eligibility for reimbursement. The
threshold for heavy maintenance will be determined case by case based on the scale and scope
of repairs and other work required, relative to the agency’s annual maintenance and
contingency budget.
Project costs for which the recipient has received funding from another source
FTA funds may not be used to reimburse project costs for which a transit system has received
funding from another Federal agency or from payments from insurance policies. If a transit
system has requested or sought funding from another Federal agency, FTA will confirm that the
transit system has withdrawn the request prior to payment before approving a grant award. If a
transit system has submitted an insurance claim or has requested or received reimbursement
from an insurance policy, FTA may withhold funding until such payments have been applied to
eligible expenses, as necessary, to determine the amount of remaining unfunded recovery
expenses.
Except for FTA-Approved Resilience Projects, Projects that change the function of the original
infrastructure
Projects that change the function of the original infrastructure and that FTA has not approved in
advance as resilience projects are not eligible for funding through the FTA ER Program. For
example, an affected transit system may not use ER funds to convert a damaged light rail
system into a bus rapid transit system, or to convert a passenger facility into a maintenance
facility.
Although FTA ER Program funds cannot be used for these types of projects, other formula
funds may be used in conjunction with FTA ER Program funds to alter the function of damaged
infrastructure. For example, FTA ER Program funds could be used to replace damaged or
destroyed diesel buses with liquid natural gas buses, and formula funds could be used to
convert a fueling facility from diesel to liquid natural gas to accommodate the replacement
buses. Potential recipients are strongly advised to consult with their FTA Regional Office if a
repair project is likely to have an impact on the function of the original infrastructure.
Projects for which funds were obligated in an FTA grant prior to the declared emergency or
major disaster
If FTA grant funds were obligated to a project prior to the occurrence of an emergency or major
disaster, those funds may not be supplanted with ER Program funds; however, ER funds may
be used to fund recovery expenses associated with the project that were incurred as a result of
the emergency or major disaster.

32

Reimbursements for lost revenue due to service disruptions caused by an emergency or major
disaster
FTA will not reimburse affected transit operators for lost revenue as a result of suspended
operations, inoperable assets, or ensuing reduced ridership due to an emergency or major
disaster. Lost revenue does not qualify as either an eligible operating expense or as a
temporary or permanent repair project.
Project costs associated with replacement or replenishment of damaged or lost material that is
not the property of the affected applicant and not incorporated into a public transportation
system, such as stockpiled materials or items awaiting installation.
When transit agencies hire contractors to implement capital improvement projects, the
contractors may maintain an on-site stockpile of materials needed to complete the project.
Likewise, the contractor may have equipment on-site to install the stockpiled material and
otherwise construct the project. These materials and equipment are the property of the
contractor, and should be covered under a contractor’s private insurance policy. Accordingly,
FTA will not reimburse a transit agency for damaged or lost materials that have not yet been
incorporated into the public transportation system.
Catastrophic failures from internal causes
Some catastrophic failures may not be the result of an external cause such as an emergency or
major disaster, but rather may result from an internal cause such as lack of proper maintenance,
progressive deterioration, or a design flaw. Closures of system elements because of imminent
danger of collapse and/or repairs to system elements because of internal causes of failure are
not eligible for grant funding through the FTA ER Program.
Other project costs FTA determines are not appropriate for the FTA ER Program
In the process of working with a transit agency affected by an emergency or disaster to assess
damages and eligible emergency operating expenses, FTA may identify specific project costs
that are not appropriate for reimbursement through FTA’s ER Program.
4.2.

Program Policies and Grant Requirements

This section addresses key policies for FTA’s ER Program, as well as specific requirements that
apply to recipients of funding under this program.
4.2.1

Pre-Award Authority

Pre-award authority allows eligible recipients to respond to critical needs in preparation for an
impending disaster or for disaster response and recovery, and allows those expenses to be
eligible for reimbursement before funding is approved through the FTA ER Program. Grantees
do not require prior approval from FTA to incur costs under pre-award authority, but are advised
that pre-award authority does not guarantee the eligibility of the expenses incurred nor the
eventual reimbursement of those costs under FTA’s ER Program.
Costs incurred under pre-award authority must comply with all applicable Federal and FTAspecific requirements, and are always incurred at the potential recipient’s own risk. Eligible
costs incurred under pre-award authority may be reimbursable under the FTA ER Program,
subject to availability of funds.
Pre-award authority will be effective on the first day of the incident period, or may be utilized in
advance of an event under the conditions specified below.
Pre-Award Authority in Advance of an Event

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Actions taken by public transportation agencies to protect assets in advance of a serious
weather event can have substantial financial benefits. For example, moving rolling stock to
higher ground to protect it from storm surges can save millions of dollars. Further, actions taken
during a weather event and in its immediate aftermath, including debris removal and
dewatering, can prevent further damage to public transportation assets. It is in FTA’s and the
Federal taxpayer’s interest to reimburse the cost of these activities.
Public transportation agencies are an integral part of the communities they serve, and these
agencies will often assist with evacuations, rescue operations, and transportation of utility
workers and other first responders, often without regard to the expense of those services. In
addition, reestablishing public transportation service after an emergency or major disaster may
cause a public transportation agency to incur extraordinary costs that are not in the agency’s
budget.
If a weather event occurs with adequate warning so that protective measures can be
implemented, pre-award authority for emergency operations and emergency protective
measures undertaken in advance of the event may be reimbursable if:
a. The Governor of the State declares a state of emergency and requests concurrence
from the U.S. Secretary of Transportation, or requests an emergency declaration from
the President in advance of the event;
b. The Governor takes appropriate action under State law and directs implementation of
the State Emergency Plan;
c. The activities undertaken by the transit agency are required in anticipation of the impacts
of the event; and
d. Assistance for a pre-disaster emergency declaration is limited to emergency protective
measures and emergency operations.
Additional Considerations for the Use of Pre-Award Authority
Affected transit systems may seek reimbursement of eligible emergency expenses under the
terms of FTA’s ER Program from funds apportioned under FTA’s Section 5307 Urbanized Area
Formula Program or FTA’s Section 5311 Formula Grants for Rural Areas Program. Certain
emergency expenses may also be eligible under the terms of the formula program for which the
funding was originally apportioned.
If a transit system intends to request reimbursement of emergency-related expenses under the
terms of FTA’s ER Program, regardless of the source of funds, the guidance in this manual
applies. If a transit system intends to request reimbursement under the terms of one of FTA’s
formula programs, the policies in effect for the formula program will apply.
If a grantee draws down formula funds to reimburse emergency expenses, these funds may not
be replaced or restored with ER funds if funding is subsequently made available under the ER
Program. However, FTA may allow a grantee to use any unexpended formula funds awarded
for emergency expenses for other purposes under the applicable formula program.
Pre-award authority may be limited to a maximum amount determined by FTA based on
estimates of immediate financial need, the results of field surveys, available FTA ER Program
funds, and other criteria to be determined.
If FTA awards funds to the applicant for the project, the amount of expenses incurred under preaward authority must be reported as part of the grantee’s initial FFR in FTA’s electronic grants
management system.
4.2.2

Federal/Local Cost Sharing
34

FTA’s Section 5324 generally requires applicants to match FTA ER Program funding with a
minimum local cost share. Unless otherwise specified, the following cost sharing requirements
will be in effect:
a. FTA will fund up to 80 percent of any eligible expenses for operating and capital projects
reimbursed with FTA ER Program funds.
b. FTA will fund up to 80 percent of the net project cost for capital projects and up to 50
percent of the net project cost for operating projects when FTA formula funds are used
(Sections 5307 or 5311).
The Secretary is authorized to waive, in whole or part, the non-Federal share. For this reason,
FTA may set a different local cost share percentage for ER Program funds based on the
circumstances of a particular disaster, and will notify potential recipients of the applicable
matching rate prior to allocating funds.
The affected transit system must certify that it has or will promptly have available the
proportionate amount of local share as project costs are incurred or become due, except to the
extent that FTA determines in writing that the local share may be deferred.
The local cost share may be provided from an undistributed cash surplus, a replacement or
depreciation cash fund or reserve, or new capital. In addition, Community Development Block
Grant (CDBG) funds may be used as the non-Federal share when such funds are available for
transportation purposes. Local funds that are spent on eligible expenses under pre-award
authority, including CDBG funds, may count towards the local cost share requirement on a
subsequent grant.
Transportation Development Credits may be used as a local match; however, grant applicants
are advised that this may reduce the overall funding available for ER projects, because FTA
funds must be applied to 100 percent of the net project cost.
In addition to the above, sources for the local match may include:
a. Cash from non-Federal sources other than revenues from providing public transportation
services
b. Non-farebox revenues from the operation of public transportation service
c. Amounts received under a service agreement with a State or local social service agency
or private social service organization
d. Amounts appropriated or otherwise made available to a department or agency of the
government (other than the DOT) that are eligible to be expended for transportation
e. In-kind contributions integral to the project such as real estate property needed to carry
out the scope of the approved project
Additional sources of local match may be used subject to specific requirements. Consult FTA
Circular 9030.1, Urbanized Area Formula Program: Program Guidance and Application
Instructions, for additional information.
4.2.3

Floodplain Management

All FTA ER Program recipients must comply with Executive Order 11988, as amended,
Floodplain Management. To ensure compliance, FTA’s Emergency Relief Rule specifically
states, “recipients shall not use grant funds for any activity in an area delineated as a ‘special
flood hazard area’ or equivalent…[unless,] prior to seeking FTA funding for such action, the
recipient designs or modifies its actions in order to minimize potential harm to or within the
floodplain.” See 49 CFR 602.15. Further, recipients are advised that FTA is in the process of
35

updating its guidance on floodplain management applicable to all FTA programs in accordance
with Executive Order 13690, Establishing a Federal Flood Risk Management Standard. Any
changes to FTA requirements based on that Executive Order will be incorporated in a
subsequent version of this manual, but may take effect before a subsequent version is released.
A Special Flood Hazard Area (SFHA) is an area that is subject to a 1-percent or greater chance
of flooding in any given year, and therefore is often misleadingly referred to as the 100-year
flood zone. SFHAs are mapped in zones commonly designated as Zone A or AE (in the 1percent-annual-chance floodplain), or Zone V or VE (an area in the 1-percent-annual-chance
floodplain with additional hazards from velocity wave action) on flood hazard maps. However,
other flood zone designations are also used to designate SFHAs.
Grant recipients must use the best available information as identified by FEMA to determine
whether a project is located in an SFHA. Best available information includes Advisory Base
Flood Elevations, preliminary or final Flood Insurance Rate Maps (FIRMs), or Flood Insurance
Studies. Flood information is available through FEMA’s website www.fema.gov. Most flood
maps are available electronically through FEMA’s Map Service Center website
www.msc.fema.gov and through www.floodsmart.gov. Applicants who are uncertain about the
flood zone designation where their project is located can contact their State Floodplain Manager
or FEMA Regional Office to obtain assistance and additional information (see Appendices E and
F).
If FTA and the applicant mutually determine that FEMA information is unavailable or
insufficiently detailed, the applicant may use other Federal, State, or local data as best available
information to comply with Executive Order 11988, as amended by EO 13690. The best
available information will be used to establish the Base Flood Elevation (BFE), which is the
elevation floodwater is expected to reach during the 1-percent-annual-chance flood. The BFE is
used to establish reconstruction requirements such as a project’s minimum elevation. If a BFE
from an interim, preliminary, or non-FEMA source is lower than the BFE on the current FIRM,
the BFE on the current FIRM applies. At its discretion, or as required by future policy, guidance
or regulations, FTA may require higher minimum elevations than the published BFE for
Emergency Relief projects.
Some State and local building codes require higher minimum elevations than FEMA requires. If
the State or locality where the applicant’s project is located has adopted higher minimum
elevation requirements, the higher of the competing minimums applies. This also applies if a
local government authority, such as a transit agency, has adopted a higher minimum elevation.
4.2.4

National Environmental Policy Act Review Process

Prior to awarding FTA funding, FTA is required to consider a project’s potential impacts on the
environment. These environmental reviews are conducted under the National Environmental
Policy Act Review Process (NEPA) and related Federal environmental laws, such as the
National Historic Preservation Act, regulations, and executive orders. The amount of resources
required to complete this process (time, documentation, consultant services, etc.) will vary
depending on the type of project and its potential to impact the human and natural environment.
Many emergency relief activities will qualify for an expedited review as a categorical exclusion,
as described below.
This section identifies and briefly describes various levels of environmental review that may
apply to a project.
C-List Categorical Exclusion (CE) (23 CFR 771.118(c))

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Projects that historically do not result in significant environmental impacts may qualify as a CE
and would require little to no documentation as described further in 23 CFR 771.118. Examples
of this type of project are buying a bus or construction of transit facilities primarily within the
transportation right-of-way.
The actions related to transportation facilities damaged by a qualifying emergency or major
disaster are listed in 23 CFR 771.118(11), and include:
A. Emergency repairs accomplished under 49 U.S.C. 5324
B. Repair, reconstruction, restoration, retrofitting, or replacement of any road, highway,
bridge, tunnel, or transit facility (such as a ferry dock or bus transfer station), including
ancillary transportation facilities (such as pedestrian/bicycle paths and bike lanes), that
are in operation or under construction when damaged and the action:
a. Occurs within the existing right-of-way and in a manner that substantially conforms to
the pre-existing design, function, and location of the original (which may include
upgrades to meet existing codes and standards, as well as upgrades to address
conditions that have changed since the original construction); and
b. Is commenced within a 2-year period beginning on the date of the declaration.
FTA Regional Offices can advise applicants further on projects that meet the requirements for
FTA’s categorical exclusions from NEPA.
It is important to note that projects that are categorically excluded from FTA’s NEPA review
process might not be excluded from other required reviews or from reviews by other Federal
agencies if FTA funds will be supplemented by funds from other Federal disaster relief
programs. The Environmental and Historic Preservation (EHP) reviews must be completed by
the funding agency or through the Unified Federal Review (UFR) process, whichever is
applicable, before a project can be funded. Each Federal agency that takes an action in relation
to a project (e.g. to issue an approval or provide funding) may need to demonstrate compliance
with applicable environmental and historic preservation requirements. The UFR process has
been set up to help coordinate those reviews in the most efficient manner. Applicants can
request additional information from the FTA Regional Office, which can provide technical
assistance and help coordinate any required EHP (or UFR) reviews.
D-List Documented Categorical Exclusion (DCE) (23 CFR 771.118(d))
Certain actions that do not meet the requirements for a c-list CE in 23 CFR 771.118(c) may still
meet the criteria for a CE as demonstrated by limited documentation on the environmental
impacts of the project. Examples of this type of project may include, but are not limited to, real
property acquisition or construction of transit facilities with features located primarily outside of
the transportation right-of-way.
Environmental Assessment (EA) and Environmental Impact Statement (EIS)
For actions that do not qualify as CEs and do not clearly require the preparation of an EIS,
preparation of an EA is normally required. This level of environmental review provides the public
an opportunity to comment and will ultimately determine whether or not the project will result in
any significant impacts. If the analysis in an EA concludes that the project will result in
significant impacts, or if from the early planning stages it is determined that the size and scope
of the project will result in significant impacts, an EIS will be required. Most grantees typically
need to enlist consultant services when preparing an EA or EIS.

37

Grantees should consult with FTA early in the grant application process, and prior to expending
funds for a planned project for which Federal funds are requested, to confirm the appropriate
level of environmental review.
Further detail and explanation on the different levels of environmental review can be found in 23
CFR 771, FTA’s Environmental Impact and Related Procedures. Grantees must receive
confirmation that their proposed FTA-funded project has complied with the policies and
procedures provided in 23 CFR 771 before FTA can approve the grant application and obligate
funds.
4.2.5

Metropolitan & Statewide Planning Requirements

While most projects that receive funding from FTA must be listed on the TIP and STIP prior to
incurring costs, Federal planning regulations at 23 CFR 450.324(c)(5) make an exception for
emergency relief projects. FTA has interpreted this exception to apply to emergency repairs and
permanent repair costs incurred within one year of the date of the declared disaster. However, if
an emergency or permanent repair project involves functional, locational, or capacity changes, it
must be included in the TIP/STIP prior to incurring costs.
Resilience projects must be included in the TIP/STIP prior to incurring costs.

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

Type of Project 

Required to be in 
TIP/STIP 

Eligible for Pre‐Award 
Authority 

Emergency  Repair (no functional, 
location, capacity change) 
Emergency Repair (with functional, 
location or capacity change) 
Permanent Repair within 12 months 
(no functional, location, capacity 
change) 
Permanent Repair within 12 months 
(with functional, location,  
or capacity change) 
Permanent Repair ‐ after 12 months 
Resiliency/Enhancement Project 

NO 

YES 

YES 

YES, with prior approval by 
FTA 
YES 

NO 

YES 

YES, with prior approval by 
FTA 

YES 
YES 

YES 
NO, unless otherwise 
authorized 

4.2.6

Special Grant Conditions

As permitted under statute or regulation, FTA reserves the right to impose special grant
conditions on ER grants.
For example, FTA may require:
1. More frequent submissions of Federal financial reports
2. More frequent submissions of milestone progress reporting

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3. Drawdown limitations or advance notification requirements on drawdowns over a certain
amount
4. Other requirements as determined necessary by FTA
Such requirements will be incorporated into the grant agreement, and may be applied using a
risk-based evaluation method based on characteristics of the grantee or the projects being
funded.
4.2.7

Part 601 and 602 Waivers of Requirements/Emergency Relief Docket

Under 49 CFR Part 602.15(b), the FTA Administrator shall determine the terms and conditions
for Emergency Relief grants based on the circumstances of a specific emergency or major
disaster for which funding is available under the Emergency Relief Program.
In general, projects funded under the Emergency Relief Program shall be subject to the
requirements of chapter 53 of title 49, United States Code, as well as cross-cutting
requirements, including but not limited to those outlined in FTA's Master Agreement.
These requirements allow for limited exceptions to procurement and planning requirements for
activities undertaken in response to an emergency. Specifically, non-competitive procurement
practices are authorized in emergency circumstances when the amount of time required for a
competitive procurement would not allow for a timely response. This includes emergency
preparation and response activities and temporary repairs undertaken immediately preceding,
during or immediately after an emergency. Additionally, as discussed in sections 4.1.3 and
4.2.5, certain emergency response and repair activities are not required to be included in the
Metropolitan and Statewide Transportation Improvement Programs (TIP and STIP).
However, the FTA Administrator may determine that certain requirements associated with public
transportation programs are inapplicable as necessary and appropriate for emergency repairs,
permanent repairs, emergency protective measures and emergency operating expenses that
are incurred within 45 days of the emergency or major disaster, or longer as determined by
FTA. If the FTA Administrator determines any requirement is inapplicable, the determination
shall apply to all eligible activities undertaken with funds authorized under 49 U.S.C. 5324 within
the 45-day period, as well as funds authorized under 49 U.S.C. 5307 and 5311 and used for
eligible emergency relief activities.
In addition to any FTA determination regarding terms and conditions applicable to Emergency
Relief grants within or after the 45 day period after a disaster, FTA may waive Chapter 53
requirements if the requirement(s) limit an applicant’s ability to respond to an emergency or
major disaster. FTA has established an ER docket that allows applicants and/or recipients to
request waivers for temporary relief from administrative requirements in response to declared
emergencies and disasters. Applicants may petition FTA for temporary relief from Chapter 53
requirements as well as the provisions of any FTA policy statement, circular, guidance
document, or rule by following the procedures described in 49 CFR Part 601, Subpart D, which
is included in this document as Appendix B.
The applicant should specify if the petition for relief is one-time or ongoing, and if ongoing
identify the time period for which the relief is requested. The time period may not exceed 3
months; however, additional time may be requested through a second petition for relief.
Applicants should not proceed with projects assuming that requests for waivers will be granted.

39

In particular, applicants requesting waivers from complying with Federal procurement
requirements should not assume that these waivers will be authorized.
4.3.

Policies Regarding Insurance

This section provides detailed guidance on FTA policies regarding insurance, including the
requirement that certain assets be insured against flood hazards, and how reimbursements
received from insurance policies must be applied when FTA is providing disaster relief
assistance.
4.3.1

Requirements for Insuring Assets in the Floodplain

In accordance with the Flood Disaster Protection Act of 1973 and FTA’s Master Agreement,
transit buildings located in an SFHA must be insured against flood damage. Section 102 of the
Flood Disaster Protection Act of 1973 (42 U.S.C. 4012a(a)) provides that Federal agencies may
not provide any financial assistance for the acquisition, construction, reconstruction, repair, or
improvement of a building in an SFHA unless the recipient has first acquired flood insurance to
cover the buildings and contents constructed or repaired with Federal funds, in an amount at
least equal to the Federal investment (less land cost) or to the maximum limit of coverage made
available under the National Flood Insurance Act of 1968, whichever is less.
 “Building” means, for insurance purposes, a structure with two or more outside rigid
walls and a fully secured roof that is affixed to a permanent site. This includes
manufactured or modular office trailers that are built on a permanent chassis,
transported to a site in one or more sections, and affixed to a permanent foundation.
 “Contents coverage” means, for insurance purposes, personal property within a building,
including fixtures, machinery, equipment, and supplies. In addition to the costs to repair
or replace, contents insurance coverage shall include the cost of debris removal and the
reasonable cost of removal of contents to minimize damage.
 National Flood Insurance Program (NFIP) Limits. Current NFIP limits are $500,000 for
buildings and $500,000 for contents. This means grantees must insure buildings and
contents to an amount at least equal to the Federal investment (less land cost), or
$500,000 for each building and $500,000 for the contents of each building, whichever is
less.
Transit facilities to which this applies are buildings located in SFHAs and include maintenance
facilities, storage facilities, and above-ground stations and terminals. Where transit facilities
include above and below-ground components, the flood insurance requirement applies when at
least 51 percent of the cash value of the facility, less land value, is above ground.
Flood insurance is not required for underground subway stations, track, tunnels, ferry docks, or
for any transit facilities located outside of an SFHA.
 Uninsured buildings in SFHAs. FTA will provide assistance for uninsured transit facilities
that have previously received Federal funding only after the maximum limit of coverage
made available under the NFIP or the amount of Federal investment in the property prior
to the emergency, whichever is less, is subtracted from the total cost to repair or rebuild.
 Obtain and maintain. Grant recipients must obtain and maintain flood insurance on
those buildings and contents for which FTA has provided funds.

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4.3.2

Treatment of Insurance Proceeds

Under existing FTA guidance in Circular 5010.1D, if a grantee receives insurance proceeds
when project property has been lost or damaged by fire, casualty, or natural disaster, the
grantee agrees to:
(a) Apply those proceeds to the cost of replacing the damaged or destroyed project property
taken out of service up to the amount equivalent to the remaining Federal interest in the
asset (listed below are two examples of the application of insurance proceeds), or
(b) Return to FTA an amount equal to the remaining Federal interest in the lost, damaged,
or destroyed project property.
For projects where FTA awards funding under the ER Program, if a grantee receives insurance
proceeds when project property has been lost or damaged as a result of a declared disaster, the
grantee agrees to:
(a) Apply the insurance proceeds attributable to the lost asset to the net project cost of
repairing or replacing that asset, with the resulting net project cost eligible for
reimbursement under the ER Program at the applicable Federal share, or
(b) Return to FTA an amount equal to the remaining Federal interest in the lost,
damaged, or destroyed project property.
If insurance proceeds are insufficient to cover the costs of disaster recovery work, and FTA ER
Program funding is unavailable or insufficient, a transit agency may pursue FEMA funding for
specific projects under FEMA’s disaster assistance policies. Affected agencies are advised that
FEMA will only allocate funding for eligible disaster relief expenses in excess of reasonably
anticipated insurance proceeds and funds available from other sources. In circumstances when
FTA ER funding is available but insufficient, grantees are advised to inform both FEMA and FTA
immediately of their intention to pursue funding from both agencies.
Application of Insurance Proceeds:
Example 1:
Insurance Proceeds Greater than the Remaining Federal Interest in the Damaged or Destroyed
Property.
A transit asset with a replacement value of $6,000 has been damaged or destroyed. The
remaining Federal interest in the damaged or destroyed property is $1,800. The grantee receives
insurance proceeds in the amount of $2,500. If FTA awards funds for the repair or replacement of
the damaged or destroyed asset through the ER Program, the full $2,500 must be used to reduce
the net project cost of that award.

An damaged asset with a replacement
cost of $6,000, with remaining Federal
interest of $1,800, and insurance
proceeds in the amount of $2,500 is
calculated as follows:

Repair/Replacement Project:

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$6,000

Insurance Proceeds
Net Project Cost:
FTA ER Program Grant
Grantee Local Share

($2,500)
$3,500
$2,800
$700

Under the scenario above, the grantee must apply the entire $2,500 received towards the net
project cost of repairing or replacing the asset. The resulting net project cost is $3,500. The
Federal share of an ER Program award, at an 80% Federal share, would be $2,800, with a local
share of $700.
If the grantee does not receive ER funds for the repair or replacement, the provisions of FTA
Circular 5010 will apply, which means that $1,800 of the insurance proceeds must be used either
for the repair or replacement of the asset or must be returned to FTA. The remaining $700 in
insurance proceeds may be used locally or as local share for other FTA grants.
Example 2:
Insurance Proceeds Less than the Remaining Federal Interest in the Damaged or Destroyed
Property.
A transit asset with a replacement value of $6,000 has been damaged or destroyed. The
remaining Federal interest in the damaged or destroyed property is $1,800. The grantee receives
insurance proceeds in the amount of only $500.
If FTA awards an ER Program grant for the repair or replacement of the asset, the grantee is
required to apply an amount no less than the remaining Federal interest towards reducing the
net project cost of the repair or replacement project. Because the insurance proceeds are
insufficient for the remaining Federal interest, the recipient must also contribute $1,300 in nonFederal funds towards reducing the net project cost.

A damaged asset with a replacement cost of $6,000, with
remaining Federal interest of $1,800 and insurance proceeds
in the amount of $500 is calculated as follows:
Repair/Replacement Project:
Value of Remaining Federal Interest
Insurance Proceeds
Local Funds
Net Project Cost:
FTA ER Program Grant
Grantee Local Share

$6,000
($1,800)
($500)
($1,300)
$4,200
$3,360
$840

Under the scenario above, the net project cost for repairing or replacing the asset must be
reduced by $1,800, resulting in a net project cost of $4,200. The Federal share of an ER
Program award would be $3,360 with an additional local share of $840. When combined with
the $1,300 required to reimburse the remaining Federal interest, the total local funding required
for the project would be $2,140.

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If the grantee does not receive ER funds for the repair or replacement, the provisions of FTA
Circular 5010 will apply. The amount of the remaining Federal interest, including both insurance
proceeds and additional local funds, must be used either for the repair or replacement of the asset,
or must be returned to FTA.
Example 3:
In the event FTA waives the Federal interest in the damaged/destroyed asset:
Agency X receives an insurance payment of $5 million under a limited insurance policy for a
damaged station that will cost $10 million to repair. The remaining $5 million not covered by
insurance is eligible for FTA assistance at an 80-percent share. FTA may fund 80 percent of the
total project cost prior to the receipt of the insurance payment. At the time the payment is
received, Agency X must reimburse FTA for 80 percent of the amount applied to the project, so
that FTA’s participation in the project will not exceed $4 million.
4.3.3

Policy on Unallocated Insurance Proceeds

Some disasters will result in substantial damage to transit assets such that the insurance
companies will settle claims based on policy maximums or settlement agreements, which are
not attributable, in whole or in part, to specific assets that were damaged. As a result, FTA has
established a policy guiding the application of these insurance proceeds to eligible transit
projects.
An appropriate share of any insurance proceeds received by a grantee must be applied to the
repair, reconstruction, or restoration of transit assets for which FTA provides financial
assistance under the FTA ER Program.
Implementation. If a grantee receives insurance proceeds that are directly attributable to
specific assets, the provisions of section 4.3.2 of this chapter will apply. A grantee that receives
an insurance settlement for damage to both transit and non-transit assets, or receives a
settlement that does not include amounts attributable to specific assets, will be required to work
with FTA as outlined in the steps below. FTA will review the allocation and application of
insurance proceeds through standard oversight meetings and reviews.
Step One:
If a grantee receives an insurance settlement for transit assets only, but for which specific
assets are not identified, Step One is not required, and FTA will begin with Step Two.
When a grantee has both transit and non-transit insured losses, FTA will work with the grantee
to identify the share of the insurance settlement attributable to transit losses. The insurance
settlement must be allocated to eligible FTA ER projects in the proportion that insured losses
eligible under FTA’s ER Program bear to total insured losses, including those ineligible for
assistance under the ER Program.
EXAMPLE:
Based on a review of damage assessments and estimates of the cost of rebuilding, FTA
determines that Agency Y suffered $100 million in insurable losses due to a hurricane.
Insurable losses included transit assets ($70 million), non-transit assets ($20 million),
and revenue loss associated with both transit operations ($5 million) and non-transit
operations ($5 million). Of the $100 million in assessed insurable damage, only the $70
million for transit assets (70%) is eligible for the ER Program. Hence, if the grantee
receives a lump sum insurance settlement of $50 million, FTA will require that no less
than 70% of the settlement ($35 million) be applied to projects eligible under the ER

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Program. The grantee may allocate the remaining $15 million without obligation to FTA,
including as a local share for FTA grants.
FTA will work with the grantee and other appropriate agencies, including FEMA if applicable, to
identify the share of damage attributable to transit and non-transit losses. Documentation of
insured losses may include insurance claims; documentation of the insurance settlement; the
grantee’s insurance policy documents; damage assessments prepared in cooperation with FTA,
FEMA, or another Federal agency; FEMA project worksheets; or other satisfactory
documentation of the extent of insured damage.
FTA and the grantee will document the amount of insurance proceeds attributable to transit
losses, and this information must be attached to any ER grant awarded after the insurance
proceeds are received.
Step Two:
FTA and the grantee will work together to identify specific transit projects to which the insurance
proceeds will be applied.
FTA will allow a grantee flexibility in identifying the specific project(s) to which the insurance
proceeds will be applied. Possible alternatives include:
(1) Assigning an equal portion of the attributable insurance proceeds to all transit recovery
projects. For example, if the grantee has documented $100 million in damages and had
an insurance policy for $50 million, FTA would reduce the Federal participation in each
project by 50 percent;
(2) Assigning the attributable insurance proceeds equally to a defined set of transit recovery
projects. For example, if the grantee has received $7 million in insurance proceeds, the
grantee may elect to apply $1 million each to seven projects; or
(3) Assigning the attributable insurance proceeds to one or more individual transit recovery
projects. For example, if the grantee receives $20 million in insurance proceeds and
two projects will cost $20 million, the grantee may apply all of the insurance proceeds to
those two projects, and FTA will not participate in those projects.
FTA will consider alternative approaches upon request.
A grantee must be aware that if it chooses to fund a recovery project entirely from insurance
proceeds without FTA assistance, that recovery project would only be eligible for future FTA
assistance (e.g., for cost overruns) provided that all Federal requirements are met prior to
incurring costs on the project. In this case, FTA will require additional documentation of how the
attributable insurance proceeds are used.
Once insurance proceeds are applied to a specific transit recovery project, FTA will deduct the
amount of the applied insurance proceeds from the net project cost and account for this in the
recovery grant. The application of transit-attributable insurance proceeds to recovery projects
will be documented by FTA as an attachment to any ER grant to which insurance proceeds are
applied. If the insurance proceeds are applied to a disaster relief project for which FTA has
already awarded funds, the grantee must reimburse FTA for the resulting difference in the
Federal cost share.
If the amount of insurance proceeds attributable to transit losses is greater than the remaining
unfunded cost of disaster recovery projects, FTA will reduce the grantee’s emergency relief
allocation so that the ER allocation plus the attributable insurance proceeds are equal to the
total estimated cost of disaster recovery. FTA will not allocate recovery funding in an amount
greater than the total cost of disaster recovery less insurance proceeds attributable to transit

44

losses, as determined in Step One. FTA may only allocate funding for resilience improvements
in excess of the estimated total cost of disaster recovery, including insurance proceeds.
A grantee may request that FTA update the total estimated cost of disaster recovery. In this
case, the grantee must provide documentation and an explanation of increased recovery costs,
or previously unknown damage.
4.4.

Recipient Oversight and Reviews

FTA oversees a continuing and broad-based oversight program that is described below.
Recipients of funding under FTA’s ER Program may be subject to the following oversight
activities.
Triennial / State Management Review
FTA performs a triennial or State management review at least once every 3 years to evaluate
the performance of each recipient of FTA funds. FTA must ensure that the recipient is carrying
out its program in compliance with Federal statutory and administrative requirements. Triennial
and State management reviews of recipient performance allow FTA to determine if the recipient
is complying with the certifications it has made. Most recipients of FTA ER funds are subject to
a triennial or State management review, which include special guidance on funding received
under the ER program.
Specialized Reviews
FTA may also conduct procurement, financial management, civil rights, drug and alcohol,
safety, security, project management oversight, and other compliance reviews and audits, in
addition to the triennial or State management review. When FTA evaluations or independent
audits identify compliance deficiencies, FTA provides technical assistance to the recipient to
facilitate compliance with Federal requirements. FTA may reduce or withdraw financial
assistance as a result of review findings or withhold further grants until the grantee comes into
compliance.
Single Audit Act
The Single Audit Act of 1984, as amended in 1996 (31 U.S.C. 7501 et seq.), and 2 CFR 200
subpart F – Audit Requirements provide audit requirements for ensuring that funds granted by
the Federal government to non-Federal entities are expended properly.
All non-Federal entities that expend $750,000 or more in Federal awards in a non-Federal
entity’s fiscal year are required to obtain an annual audit in accordance with the Single Audit Act
Amendments of 1996, (31 U.S.C. 7502), 2 CFR 200 subpart F – Audit Requirements, the OMB
Circular Compliance Supplement and Government Auditing Standards. A single audit is
intended to provide a cost-effective audit for non-Federal entities in that one audit is conducted
in lieu of multiple audits of individual programs.
Additional Oversight Activities
As permitted by statute (49 U.S.C. 5324(d)(1)), FTA will determine the terms and conditions that
apply to grants awarded under the ER Program. Accordingly, FTA may institute additional
oversight requirements in addition to the standard oversight program described in this section.
For example, these may consist of grantee or project-specific risk assessments used to inform
FTA’s management and oversight of ER funding or the requirement to utilize independent
integrity monitors.

45

Appendices – References and Resource Documents 

A. Emergency Relief Program Final Rule: 49 CFR Part 602—Emergency Relief
§ 602.1 Purpose.
This part establishes the procedures and eligibility requirements for the administration of
emergency relief funds for emergency public transportation services, and the protection,
replacement, repair or reconstruction of public transportation equipment and facilities which are
found to have suffered or are in danger of suffering serious damage resulting from a natural
disaster affecting a wide area or a catastrophic failure from an external cause.
§ 602.3 Applicability.
This part applies to entities that provide public transportation services and that are impacted by
emergencies and major disasters.
§ 602.5 Definitions.
The following definitions apply to this part:
Affected recipient. A recipient or subrecipient that operates public transportation service in an
area impacted by an emergency or major disaster.
Applicant. An entity that operates or allocates funds to an entity to operate public transportation
service and that applies for a grant under 49 U.S.C. 5324.
Building. For insurance purposes, a structure with two or more outside rigid walls and a fully
secured roof, that is affixed to a permanent site. This includes manufactured or modular office
trailers that are built on a permanent chassis, transported to a site in one or more sections, and
affixed to a permanent foundation.
Catastrophic failure. The sudden failure of a major element or segment of the public
transportation system due to an external cause. The failure must not be primarily attributable to
gradual and progressive deterioration, lack of proper maintenance or a design flaw.
Contents coverage. For insurance purposes, contents are personal property within a building,
including fixtures, machinery, equipment and supplies. In addition to the costs to repair or
replace, contents insurance coverage shall include the cost of debris removal and the
reasonable cost of removal of contents to minimize damage.
Emergency. A natural disaster affecting a wide area (such as a flood, hurricane, tidal wave,
earthquake, severe storm or landslide) or a catastrophic failure from any external cause, as a
result of which:
(1) The Governor of a State has declared an emergency and the Secretary of Transportation
has concurred; or

46

(2) The President has declared a major disaster under the Robert T. Stafford Disaster Relief
and Emergency Assistance Act (42 U.S.C. 5170).
Emergency operations. The net project cost of temporary service that is outside the scope of an
affected recipient's normal operations, including but not limited to: evacuations; rescue
operations; bus, ferry, or rail service to replace inoperable service or to detour around damaged
areas; additional service to accommodate an influx of passengers or evacuees; returning
evacuees to their homes after the disaster or emergency; and the net project costs related to
reestablishing, expanding, or relocating public transportation service before, during, or after an
emergency or major disaster.
Emergency protective measures. (1) Projects undertaken immediately before, during or
following the emergency or major disaster for the purpose of protecting public health and safety
or for protecting property. Such projects:
(i) Eliminate or lessen immediate threats to public health or safety; or
(ii) Eliminate or lessen immediate threats of significant damage or additional damage to an
affected recipient's property through measures that are cost effective.
(2) Examples of such projects include, but are not limited to:
(i) Moving rolling stock in order to protect it from damage, e.g., to higher ground in order to
protect it from storm surges;
(ii) Emergency communications;
(iii) Security measures;
(iv) Sandbagging;
(v) Bracing/shoring damaged structures;
(vi) Debris removal;
(vii) Dewatering; and
(viii) Removal of health and safety hazards.
Emergency repairs. Capital projects undertaken following the emergency or major disaster, until
such time as permanent repairs can be undertaken, for the purpose of:
(1) Minimizing the extent of the damage,
(2) Restoring service, or
(3) Ensuring service can continue to be provided until permanent repairs are made.

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External cause. An outside force or phenomenon that is separate from the damaged element
and not primarily the result of existing conditions.
Heavy maintenance. Work usually done by a recipient or subrecipient in repairing damage
normally expected from seasonal and occasionally unusual natural conditions or occurrences,
such as routine snow removal, debris removal from seasonal thunderstorms, or heavy repairs
necessitated by excessive deferred maintenance. This may include work required as a direct
result of a disaster, but which can reasonably be accommodated by a recipient or subrecipient's
routine maintenance, emergency or contingency program.
Incident period. The time interval during which the emergency-causing incident occurs. FTA will
not approve pre-award authority for projects unless the damage to be alleviated resulted from
the emergency-causing incident during the incident period or was incurred in anticipation of that
incident. For each Stafford Act incident, FTA will adopt the incident period established by FEMA.
Major disaster. Any natural catastrophe (including any hurricane, tornado, storm, high water,
wind-driven water, tidal wave, tsunami, earthquake, volcanic eruption, landslide, mudslide,
snowstorm, or drought), or, regardless of cause, any fire, flood, or explosion, in any part of the
United States, which in the determination of the President causes damage of sufficient severity
and magnitude to warrant major disaster assistance under the Stafford Act to supplement the
efforts and available resources of States, local governments, and disaster relief organizations in
alleviating the damage, loss, hardship, or suffering caused thereby. 42 U.S.C. 5122.
Net project cost. The part of a project that reasonably cannot be financed from revenues. 49
U.S.C. 5302.
Permanent repairs. Capital projects undertaken following the emergency or major disaster for
the purpose of repairing, replacing or reconstructing seriously damaged public transportation
system elements, including rolling stock, equipment, facilities and infrastructure, as necessary to
restore the elements to a state of good repair.
Recipient. An entity that operates public transportation service and receives Federal transit
funds directly from FTA.
Resilience. The ability to anticipate, prepare for, and adapt to changing conditions and
withstand, respond to, and recover rapidly from disruptions such as significant multi-hazard
threats with minimum damage to social well-being, the economy, and the environment.
Resilience project. A project designed and built to address existing and future vulnerabilities to a
public transportation facility or system due to a probable occurrence or recurrence of an
emergency or major disaster in the geographic area in which the public transportation system is
located, and which may include the consideration of projected changes in development
patterns, demographics, or climate change and extreme weather patterns. A resilience project
may be a stand-alone project or may be completed at the same time as permanent repairs.
Serious damage. Heavy, major or unusual damage to a public transportation facility which
severely impairs the safety or usefulness of the facility. Serious damage must be beyond the
scope of heavy maintenance.

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State. A State of the United States, the District of Columbia, Puerto Rico, the Northern Mariana
Islands, Guam, American Samoa, and the Virgin Islands.
Subrecipient. An entity that operates public transportation service and receives FTA funding
through a recipient.
§ 602.7 Policy.
(a) The Emergency Relief Program is intended to aid recipients and subrecipients in restoring
public transportation service and in repairing and reconstructing public transportation assets to a
state of good repair as expeditiously as possible following an emergency or major disaster.
(b) Emergency relief funds are not intended to supplant other Federal funds for the correction of
preexisting, non-disaster related deficiencies.
(c) Following an emergency, affected recipients may include projects that increase the resilience
of affected public transportation systems to protect the systems from the effects of future
emergencies and major disasters.
(d) The expenditure of emergency relief funds for emergency repair shall be in such a manner
so as to reduce, to the greatest extent feasible, the cost of permanent restoration work
completed after the emergency or major disaster.
(e) Emergency relief funds, or funds made available under 49 U.S.C. 5307 (Urbanized Area
Formula Program) or 49 U.S.C. 5311 (Rural Area Formula Program) awarded for emergency
relief purposes shall not duplicate assistance under another Federal program or compensation
from insurance or any other source. Partial compensation for a loss by other sources will not
preclude FTA emergency relief fund assistance for the part of such loss not compensated
otherwise. Any compensation for damages or insurance proceeds for repair or replacement of
the public transit equipment or facility must be used upon receipt to reduce FTA's emergency
relief fund participation in the project.
(1) If a recipient receives insurance proceeds that are directly attributable to specific assets, the
recipient must:
(i) Apply those proceeds to the cost of replacing or repairing the damaged or destroyed project
property; or
(ii) Return to FTA an amount equal to the remaining Federal interest in the lost, damaged, or
destroyed project property.
(2) If under the terms of its policy a recipient receives insurance proceeds that are not
attributable to specific assets, such as blanket, lump-sum, or unallocated proceeds, FTA, in
consultation with the recipient, will determine the portion of such proceeds that the recipient
must attribute to transit assets.
(3) Any insurance proceeds not attributable to transit assets may be used for other purposes
without obligation to FTA, including as local share for FTA grants.

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(f) The Flood Disaster Protection Act of 1973 (42 U.S.C. 4001 et seq.) provides that Federal
agencies may not provide any financial assistance for the acquisition, construction,
reconstruction, repair, or improvement of a building in a special flood hazard area (100-year
flood zone) unless the recipient has first acquired flood insurance to cover the buildings and
contents constructed or repaired with Federal funds, in an amount at least equal to the Federal
investment (less land cost) or to the maximum limit of coverage made available under the
National Flood Insurance Act of 1968, whichever is less.
(1) Transit facilities to which this paragraph (f) applies are buildings located in special flood
hazard areas and include but are not limited to maintenance facilities, storage facilities, aboveground stations and terminals, and manufactured or modular office trailers.
(2) Flood insurance is not required for underground subway stations, track, tunnels, ferry docks,
or to any transit facilities located outside of a special flood hazard area.
(g) Recipients must obtain and maintain flood insurance on those buildings and contents for
which FTA has provided funds.
§ 602.9 Federal share.
(a) A grant, contract, or other agreement for emergency operations, emergency protective
measures, emergency repairs, permanent repairs and resilience projects under 49 U.S.C. 5324
shall be for up to 80 percent of the net project cost.
(b) A grant made available under 49 U.S.C. 5307 or 49 U.S.C. 5311 to address an emergency
shall be for up to 80 percent of the net project cost for capital projects, and up to 50 percent of
the net project cost for operations projects.
(c) The FTA Administrator may waive, in whole or part, the non-Federal share required under
paragraphs (a) and (b) of this section.
§ 602.11 Pre-award authority.
(a) Except as provided in paragraph (c) of this section, pre-award authority for the Emergency
Relief Program shall be effective beginning on the first day of the incident period, subject to the
appropriation of Emergency Relief Program funds.
(b) Recipients may use section 5307 or section 5311 formula funds to address an emergency,
and, except as provided in paragraph (c) of this section, pre-award authority shall be effective
beginning on the first day of the incident period of the emergency or major disaster.
(c) For expected weather events, pre-award authority for evacuations and activities to protect
public transportation vehicles, equipment and facilities, shall be effective in advance of the event
under the following conditions:
(1) The Governor of a State declares a state of emergency and requests concurrence by the
Secretary of Transportation or makes a request to the President for an emergency declaration,
in advance or anticipation of the impact of an incident that threatens such damage as could
result in a major disaster;

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(2) The Governor takes appropriate action under State law and directs execution of the State
emergency plan;
(3) The activities are required in anticipation of the event; and
(4) Assistance for a pre-disaster emergency declaration is limited to Emergency Protective
Measures and Emergency Operations.
(d) Pre-award authority shall be subject to a maximum amount determined by FTA based on
estimates of immediate financial need, preliminary damage assessments, available Emergency
Relief funds and other criteria to be determined in response to a particular event.
(e) Pre-award authority is not a legal or implied commitment that the subject project will be
approved for FTA assistance or that FTA will obligate Federal funds. Furthermore, it is not a
legal or implied commitment that all activities undertaken by the applicant will be eligible for
inclusion in the project(s).
(f) Except as provided in § 602.15, all FTA statutory, procedural, and contractual requirements
must be met.
(g) The recipient must take no action that prejudices the legal and administrative findings that
the FTA Regional Administrator must make in order to approve a project.
(h) The Federal amount of any future FTA assistance awarded to the recipient for the project will
be determined on the basis of the overall scope of activities and the prevailing statutory
provisions with respect to the Federal/non-Federal match ratio at the time the funds are
obligated.
(i) When FTA subsequently awards a grant for the project, the Financial Status Report in FTA's
electronic grants management system must indicate the use of pre-award authority.
§ 602.13 Eligible activities.
(a) An affected recipient may apply for emergency relief funds on behalf of itself as well as
affected subrecipients.
(b) Eligible uses of Emergency Relief funds include:
(1) Emergency operations;
(2) Emergency protective measures;
(3) Emergency repairs;
(4) Permanent repairs;
(5) Actual engineering and construction costs on approved projects;

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(6) Repair or replacement of spare parts that are the property of an affected recipient or
subrecipient and held in the normal course of business that are damaged or destroyed; and
(7) Resilience projects.
(c) Ineligible uses of Emergency Relief funds include:
(1) Heavy maintenance;
(2) Project costs for which the recipient has received funding from another Federal agency;
(3) Project costs for which the recipient has received funding through payments from insurance
policies;
(4) Except for resilience projects that have been approved in advance, projects that change the
function of the original infrastructure;
(5) Projects for which funds were obligated in an FTA grant prior to the declared emergency or
major disaster;
(6) Reimbursements for lost revenue due to service disruptions caused by an emergency or
major disaster;
(7) Project costs associated with the replacement or replenishment of damaged or lost material
that are not the property of the affected recipient and not incorporated into a public
transportation system such as stockpiled materials or items awaiting installation; and
(8) Other project costs FTA determines are not appropriate for the Emergency Relief Program.
§ 602.15 Grant requirements.
(a) Funding available under the Emergency Relief program is subject to the terms and
conditions FTA determines are necessary.
(b) The FTA Administrator shall determine the terms and conditions based on the circumstances
of a specific emergency or major disaster for which funding is available under the Emergency
Relief Program.
(1) In general, projects funded under the Emergency Relief Program shall be subject to the
requirements of chapter 53 of title 49, United States Code, as well as cross-cutting
requirements, including but not limited to those outlined in FTA's Master Agreement.
(2) The FTA Administrator may determine that certain requirements associated with public
transportation programs are inapplicable as necessary and appropriate for emergency repairs,
permanent repairs, emergency protective measures and emergency operating expenses that
are incurred within 45 days of the emergency or major disaster, or longer as determined by
FTA. If the FTA Administrator determines any requirement is inapplicable, the determination
shall apply to all eligible activities undertaken with funds authorized under 49 U.S.C. 5324 within

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the 45-day period, as well as funds authorized under 49 U.S.C. 5307 and 5311 and used for
eligible emergency relief activities.
(3) FTA shall publish a notice on its Web site and in the emergency relief docket established
under 49 CFR part 601 regarding the grant requirements for a particular emergency or major
disaster.
(c) In the event an affected recipient or subrecipient believes an FTA requirement limits its
ability to respond to the emergency or major disaster, the recipient or subrecipient may request
that the requirement be waived in accordance with the emergency relief docket process as
outlined in 49 CFR part 601, subpart D. Applicants should not proceed on projects assuming
that requests for such waivers will be granted.
(d) In accordance with Executive Order 11988, Floodplain Management, recipients shall not use
grant funds for any activity in an area delineated as a special flood hazard area or equivalent, as
labeled in the Federal Emergency Management Agency's (FEMA) Flood Insurance Rate Maps
(FIRMs). If there are no alternatives but to locate the action in a floodplain, prior to seeking FTA
funding for such action, the recipient shall design or modify its actions in order to minimize
potential harm to or within the floodplain.
(1) Except as otherwise provided in this subparagraph, recipients shall use the “best available
information” as identified by FEMA, which includes advisory data (such as Advisory Base Flood
Elevations (ABFEs)), preliminary and final Flood Insurance Rate Maps, or Flood Insurance
Studies (FISs).
(2) If FEMA data is mutually determined by FTA and the recipient to be unavailable or
insufficiently detailed, other Federal, State, or local data may be used as “best available
information” in accordance with Executive Order 11988.
(3) The final determination on “best available information” shall be used to establish such
reconstruction requirements as a project's minimum elevation.
(4) Where higher minimum elevations are required by either State or locally adopted building
codes or standards, the higher of the State or local minimums would apply.
(5) A base flood elevation from an interim or preliminary or non-FEMA source may not be used
if it is lower than the current FIRM.
(6) Recipients shall also consider the best available data on sea-level rise, storm surge,
scouring and erosion before rebuilding.
§ 602.17 Application procedures.
(a) As soon as practical after an emergency, major disaster or catastrophic failure, affected
recipients shall make a preliminary field survey, working cooperatively with the appropriate FTA
Regional Administrator and other governmental agencies with jurisdiction over affected public
transportation systems. The preliminary field survey should be coordinated with the Federal
Emergency Management Agency, if applicable, to eliminate duplication of effort. The purpose of
this survey is to determine the general nature and extent of damage to eligible public
transportation systems.
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(1) The affected recipient shall prepare a damage assessment report. The purpose of the
damage assessment report is to provide a factual basis for the FTA Regional Administrator's
finding that serious damage to one or more public transportation systems has been caused by a
natural disaster affecting a wide area, or a catastrophic failure. As appropriate, the damage
assessment report should include by political subdivision or other generally recognized
administrative or geographic boundaries—
(i) The specific location, type of facility or equipment, nature and extent of damage;
(ii) The most feasible and practical method of repair or replacement;
(iii) A preliminary estimate of cost of restoration, replacement, or reconstruction for damaged
systems in each jurisdiction.
(iv) Potential environmental and historic impacts;
(v) Photographs showing the kinds and extent of damage and sketch maps detailing the
damaged areas;
(vi) Recommended resilience projects to protect equipment and facilities from future
emergencies or major disasters; and
(vii) An evaluation of reasonable alternatives, including change of location, addition of
resilience/mitigation elements, and any other alternative the recipient considered, for any
damaged transit facility that has been previously repaired or reconstructed as a result of an
emergency or major disaster.
(2) Unless unusual circumstances prevail, the initial damage assessment report should be
prepared within 60 days following the emergency, major disaster, or catastrophic failure.
Affected recipients should update damage assessment reports as appropriate.
(3) For large disasters where extensive damage to public transportation systems is readily
evident, the FTA Regional Administrator may approve an application for assistance prior to
submission of the damage assessment report. In these cases, the applicant shall prepare and
submit to the FTA Regional Administrator an abbreviated or preliminary damage assessment
report, summarizing eligible repair costs by jurisdiction, after the damage inspections have been
completed.
(b) Before funds can be made available, a grant application for emergency relief funds must be
made to, and approved by, the appropriate FTA Regional Administrator. The application shall
include:
(1) A copy of the damage assessment report, as appropriate;
(2) A list of projects, as documented in the damage assessment report, identifying emergency
operations, emergency protective measures, and emergency repairs completed as well as
permanent repairs needed to repair, reconstruct or replace the seriously damaged or destroyed
rolling stock, equipment, facilities, and infrastructure to a state of good repair; and

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(3) Supporting documentation showing other sources of funding available, including insurance
policies, agreements with other Federal agencies, and any other source of funds available to
address the damage resulting from the emergency or major disaster.
(c) Applications for emergency operations must include the dates, hours, number of vehicles,
and total fare revenues received for the emergency service. Only net project costs may be
reimbursed.
(d) Applicants that receive funding from another Federal agency for operating expenses and
also seek funding from FTA for operating expenses must include:
(1) A copy of the agreement with the other Federal agency, including the scope of the
agreement, the amount funded, and the dates the other agency funded operating costs; and
(2) The scope of service and dates for which the applicant is seeking FTA funding.
(e) Applicants that receive funding from another Federal agency for emergency or permanent
repairs or emergency protective measures and also seek funding from FTA for emergency or
permanent repairs or emergency protective measures must include:
(1) A copy of the agreement with the other Federal agency, including the scope of the
agreement and the amount funded; and
(2) A list of projects included in the other agency's application or equivalent document.
(f) Applicants are responsible for preparing and submitting a grant application. The FTA regional
office may provide technical assistance to the applicant in preparation of a program of projects.
This work may involve joint site inspections to view damage and reach tentative agreement on
the type of permanent repairs the applicant will undertake. Project information should be kept to
a minimum, but should be sufficient to identify the approved disaster or catastrophe and to
permit a determination of the eligibility of proposed work. If the appropriate FTA Regional
Administrator determines the damage assessment report is of sufficient detail to meet these
criteria, additional project information need not be submitted.
(g) The appropriate FTA Regional Administrator's approval of the grant application constitutes a
finding of eligibility under 49 U.S.C. 5324.

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B. 49 CFR Part 601, Subpart D—Emergency Procedures for Public Transportation
Systems
Authority: 49 U.S.C. 5141 and 5334; 49 CFR §1.51.
Source: 72 Federal Register (FR) 912, Jan. 9, 2007, unless otherwise noted.
§ 601.40 Applicability
This part prescribes procedures that apply to FTA grantees and sub-grantees when the
President has declared a national or regional emergency, when a State Governor has declared
a state of emergency, when the Mayor of the District of Columbia has declared a state of
emergency, or in anticipation of such declarations.
§ 601.41 Petitions for relief
In the case of a national or regional emergency or disaster, or in anticipation of such a
disaster, any FTA grantee or sub-grantee may petition the Administrator for temporary relief
from the provisions of any policy statement, circular, guidance document or rule.
§ 601.42 Emergency relief docket
(a) By January 31st of each year, FTA shall establish an Emergency Relief Docket in the
publicly accessible DOT Docket Management System (DMS) (http://dms.dot.gov).
(b) FTA shall publish a notice in the Federal Register identifying, by docket number, the
Emergency Relief Docket for that calendar year. A notice shall also be published in the
previous year's Emergency Relief Docket identifying the new docket number.
(c) If the Administrator, or his/her designee, determines that an emergency event has
occurred, or in anticipation of such an event, FTA shall place a message on its web page
(http://www.fta.dot.gov) indicating the Emergency Relief Docket has been opened and
including the docket number.
§ 601.43 Opening the docket
(a) The Emergency Relief Docket shall be opened within two business days of an
emergency or disaster declaration in which it appears FTA grantees or sub-grantees are
or will be impacted.
(b) In cases in which emergencies can be anticipated, such as hurricanes, FTA shall open
the docket and place the message on the FTA web page in advance of the event.
(c) In the event a grantee or sub-grantee believes the Emergency Relief Docket should be
opened and it has not been opened, that grantee or sub-grantee may submit a petition in
duplicate to the Administrator, via U.S. mail, to: Federal Transit Administration, 400 Seventh
Street, SW., Washington, DC 20590; via telephone, at: (202) 366–4043; or via fax, at (202)
366–3472, requesting opening of the Docket for that emergency and including the information

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in §601.45. The Administrator in his/her sole discretion shall determine the need for opening
the Emergency Relief Docket.
§ 601.44 Posting to the docket
(a) All petitions for relief must be posted in the docket in order to receive consideration by FTA.
(b) The docket is publicly accessible and can be accessed 24 hours a day, seven days a week,
via the Internet at the docket facility's Web site at http://dms.dot.gov. Petitions may also be
submitted by U.S. mail or by hand delivery to the DOT Docket Management Facility, Room
PL–401 (Plaza Level), 400 7th Street, SW, Washington, DC 20590.
(c) In the event a grantee or sub-grantee needs to request immediate relief and does not
have access to electronic means to request that relief, the grantee or sub-grantee may
contact any FTA regional office or FTA headquarters and request that FTA staff submit the
petition on their behalf.
(d) Any grantee or sub-grantee submitting petitions for relief or comments to the docket must
include the agency name (Federal Transit Administration) and that calendar year's docket
number. Grantees and sub-grantees making submissions by mail or hand delivery should
submit two copies.
§ 601.45 Required information
A petition for relief under this section shall:
(a) Identify the grantee or sub-grantee and its geographic location;
(b) Specifically address how an FTA requirement in a policy statement, circular, or agency
guidance will limit a grantee's or sub-grantee's ability to respond to an emergency or disaster;
(c) Identify the policy statement, circular, guidance document and/or rule from which the
grantee or sub-grantee seeks relief; and
(d) Specify if the petition for relief is one-time or ongoing, and if ongoing identify the time period
for which the relief is requested. The time period may not exceed three months; however,
additional time may be requested through a second petition for relief.
§ 601.46 Processing of petitions
(a) A petition for relief will be conditionally granted for a period of three (3) business days from
the date it is submitted to the Emergency Relief Docket.
(b) FTA will review the petition after the expiration of the three business days and review any
comments submitted thereto. FTA may contact the grantee or sub-grantee that submitted the
request for relief, or any party that submits comments to the docket, to obtain more information
prior to making a decision.
(c) FTA shall then post a decision to the Emergency Relief Docket. FTA's decision will be
based on whether the petition meets the criteria for use of these emergency procedures,
the substance of the request, and the comments submitted regarding the petition.

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(d) If FTA fails to post a response to the request for relief to the docket within three business
days, the grantee or sub-grantee may assume its petition is granted until and unless FTA
states otherwise.
§ 601.47 Review Procedures
(a) FTA reserves the right to reopen any docket and reconsider any decision made pursuant to
these emergency procedures based upon its own initiative, based upon information or
comments received subsequent to the three business day comment period, or at the request of
a grantee or sub-grantee upon denial of a request for relief. FTA shall notify the grantee or
sub-grantee if it plans to reconsider a decision.
(b) FTA decision letters, either granting or denying a petition, shall be posted in the appropriate
Emergency Relief Docket and shall reference the document number of the petition to which it
relates.

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C. Frequently Asked Questions
During disaster response and recovery, transit agencies primarily transport response and
recovery personnel and support the evacuation of affected populations, including individuals
with access and functional needs, children, and household pets and service animals. Transit
agencies also manage transportation assets in coordination with federal, state, and local
emergency operations centers and support transportation service restoration following a
disaster.
Answers to some frequently asked questions are organized and presented under the
following topics:
C1.
C2.
C3.
C4.
C5.
C6.
C1.

Information for transit agencies directly impacted

Restoration or addition of services

Funding eligibility and reimbursement

Assistance for evacuees

Assistance for special needs populations – ADA paratransit

Charter service requirements

Information for Transit Agencies Directly Impacted

1. Following a declared emergency or disaster, do transit agencies need to
document damage to vehicles and facilities?
Yes. Transit agencies should document the condition of the vehicles and facilities against
the agencies’ written inventories. Transit agencies can contact their regional FTA office for
further information.
2. Following a declared emergency or disaster, can impacted transit agencies
borrow vehicles from other FTA grantees without obtaining FTA
determinations that the vehicles are for incidental use? Whose insurance
covers the vehicle?
Yes. FTA considers the loan of vehicles for this use to be a permissible “incidental use.”
Transit agencies and other entities involved in borrowing and lending of vehicles should
communicate with their insurance companies to determine insurance coverage. FTA
encourages transit agencies to reach agreements with other public and private agencies
that may have vehicles the agencies can borrow for emergency evacuations, in advance
of emergencies. Transit agencies may contact APTA, which, through funding from FTA,
is facilitating these agreements.
3. If offices are damaged or destroyed, can transit agencies use FTA capital funds to
establish temporary facilities and acquire office equipment?
Yes. Transit agencies can use FTA capital formula funds to pay for the cost of leasing
office space and furnishings. However, these costs may also be eligible for FTA ER
Program funding or FEMA reimbursement. Transit agencies should contact their FTA
regional office if they wish to use capital formula funds to pay for leasing costs or if they
intend to apply for funding under FTA’s ER Program. Transit agencies should also contact
their state emergency management office and FEMA to seek reimbursement for funds
spent on leasing office space and furnishings.

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4. If transit agencies are unable to provide service as a result of a declared
emergency or disaster, can the agencies still use FTA funds to pay eligible
salaries of staff that are not working?
No. Salaries of employees who are engaged in work to restore service are eligible for FTA
reimbursement as a normal operating expense. However, if a transit agency is not
providing service, then the transit agency may not use FTA funds to pay employees who
are not engaged in activities related to restoring service. However, these out-of-work
employees may be eligible for Disaster Unemployment Assistance (see question 5 below).
5. What can transit agencies do to assist employees who are out of work as a result of
the declared emergency or disaster?
Transit employees who lose their jobs as a result of a disaster, or who still have their jobs
but are unable to work and not drawing paychecks, may apply for Disaster Unemployment
Assistance (DUA). DUA provides weekly benefits to persons who are unemployed and not
eligible for regular unemployment insurance compensation. Transit agencies should
advise their out-of-work employees to call 1-800-621-FEMA or the local unemployment
office for information. If transit employees are labor union members, they may also contact
their union representatives to determine if additional assistance is available from the
unions.
6. If a transit agency is unable to provide normal service levels or has had to change
service routes following a declared emergency or disaster, what should the
agency do to stay in good standing with FTA with respect to funding?
FTA will not take punitive actions against transit agencies that are unable to provide
normal service because of a declared emergency or disaster.
7. What happens if a transit agency can no longer carry out the purposes of an
open grant? What happens to the funds the grantee has already spent?
FTA will not take punitive actions against grantees that can no longer carry out the
purposes of an open grant because of a declared emergency or disaster. FTA will help
grantees determine opportunities to change the grants for other eligible purposes.
Grantees should contact their regional FTA office to discuss possible options.
C2.

Restoration or addition of services

1. What do transit agencies need to do to add new routes to assist relocated
residents?
Transit agencies may add new routes to assist relocated residents at their discretion.
Transit agencies that receive funds through their state department of transportation should
coordinate their plans to change service with their state transit office or local government, as
appropriate.
2. Can transit agencies provide service outside their normal service area in order to
help affected people access local community services (e.g., medical offices,
churches, social service agencies, grocery stores)?
Yes. Transit agencies should contact their local transportation authorities about temporary
changes in service areas to meet the needs of evacuees and relocated residents.

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3. Can transit agencies keep a contingency fleet of vehicles to use in case of
emergencies or disasters?
Yes. Transit agencies may place buses in an inactive contingency fleet (stockpile) in
preparation for emergencies. However, transit agencies may not stockpile buses before
they have reached the end of their minimum normal service life. Transit agencies must
store and maintain buses in a contingency fleet, and must document them in a
contingency plan, updated as necessary, to support the continuation of the fleet.
FTA may request information about a contingency fleet during application reviews. FTA
may also review contingency plans during triennial reviews required for the Urbanized Area
Formula Program. FTA will consider any buses not supported by a contingency plan as
part of the active fleet. Because buses in a contingency fleet are not part of an active fleet,
they do not count in the calculation of spare ratio.
C3.

Funding Eligibility and Reimbursement

1. Following a declared emergency or disaster, how does an impacted transit agency
get its damaged fleet and facilities replaced? Will FTA or FEMA pay?
A transit agency may apply to FTA for ER Program funding, if available. If funding is not
available under FTA’s ER program, FEMA’s Public Assistance Program may be able to
assist in replacing damaged or destroyed property. Transit agencies should work with the
state department of transportation (SDOT) or emergency management agency (EMA) per
the state’s disaster recovery plan. Transit agencies should also contact their insurance
companies regarding coverage.
2. If a transit agency takes part in disaster response, how does the agency request
and receive support or reimbursement for their efforts?
If funding is available under the FTA ER Program, FTA may award funding for
emergency operating expenses. If FTA ER funding is not available, a transit agency
should contact state emergency management officials, which establish the process for
disaster reimbursement applications, in coordination with FEMA. Reimbursements are
eligible if the disaster is Presidentially-declared.
3. Who is eligible for ER funding?
Eligible recipients of FTA ER funding are entities that receive Federal transit funding directly
from FTA, whether as a State, a designated recipient of 5307 Program funding, or as a
direct recipient of other program funds. Eligible recipients are typically States and public
transit systems. Eligible recipients may apply for FTA ER Program funds on behalf of
themselves and any subrecipients.
4. Are emergency repairs required to be included in the TIP/STIP?
No, emergency or permanent repairs undertaken within one year of the date of a declared
disaster do not need to be included in the TIP/STIP unless they involve substantial
functional, locational, or capacity changes. Resilience projects must be included in the
TIP/STIP.
5. Can a transit agency be reimbursed for transit passes that it provides to
evacuees?
State emergency management offices manage FEMA reimbursements. Transit agencies
should contact their state emergency management offices to determine whether these

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offices will consider the reimbursement of bus passes. Appendix F contains state

emergency contacts links. See question 3 in section B4 for additional information.

6. Are other resources available to pay for transit passes?
Transit agencies should contact human resource partners in their communities to identify
other opportunities for purchasing bus tokens or transit passes. The Federal Interagency
Coordinating Council on Access and Mobility has identified 37 federal programs that will pay
for gas, bus tokens, and transit passes. In most cases, decisions are made at the state or
local level.
C4.

Assistance for Evacuees

1. How can transit agencies help to meet the transportation needs of local
evacuees?
FTA encourages transit agencies to work with local government officials and human
service agencies to identify individuals who need transportation services.
2. How does a transit agency implement a transit pass program with evacuation
shelters?
Transit agencies may simply give individuals with evacuation shelter identification free
access to the fixed routes within the transit system. Transit agencies that want to give
paper passes or tokens may consider establishing distribution desks at shelters. Transit
agencies should contact their state emergency management office and FEMA regional
office to apply for reimbursement of transit passes as an eligible expense.
3. Does federal law require transit agencies to charge fares for transportation
services or assistance during declared emergencies or disasters?
Federal law does not require transit agencies to charge fares.
C5.

Assistance for Special Needs Populations – ADA Paratransit

1. How do transit agencies manage the increase in service requests for ADA
complementary demand response service for individuals who cannot use the fixed
route system?
FTA encourages transit agencies to take a leadership role in convening a meeting of all
human services and transportation providers in the community or area to identify the
resources available to address the transportation needs of evacuees who require
specialized transportation services. Potential transportation providers may include
schools, senior centers, head start programs, health centers, churches, and other
organizations that have vehicles typically used for transporting specific populations.
Transportation resources can be matched at the types and levels of need identified by
shelters and other social service agencies to provide a coordinated plan.
2. If an individual seeks paratransit service but doesn’t have identification or
verification of ADA eligibility, should transit agencies provide the service?
FTA encourages transit agencies to provide service to all evacuees who request paratransit
service, even if the individuals don’t have identification or documentation that they are
eligible. Transit agencies can comply with federal requirements by granting visitor status for
a reasonable time, which may exceed the 21 days provided for in the DOT ADA regulation.
If an evacuee permanently relocates, use of the local eligibility process is appropriate to
determine long-term eligibility for ADA services.

62

3. If a transit agency provides fixed route service via new routes to serve affected
persons, do ADA paratransit requirements apply to the new routes? What if the
transit agency doesn’t have the additional capacity to provide ADA paratransit on
the new routes?
ADA paratransit requirements will apply to the new routes. However, FTA recognizes
that the sudden influx of evacuees who need ADA paratransit service may place
additional demands on a paratransit system, possibly resulting in unavoidable trip
denials, long waits, or an inability to provide next-day service. In determining whether an
ADA paratransit system is experiencing significant trip denials, missed trips, untimely
pickups, or long trip times, FTA will consider whether these incidents are due to
circumstances outside of the transit agency’s control.
4. Will transit agencies be reimbursed by FTA or FEMA for extraordinary
paratransit expenses?
Maybe. Transit agencies should keep records of transportation services provided to
evacuees and the cost of these services. Transit agencies should contact their state
emergency management office to make the office aware of their expenses.
5. How can transit agencies identify individuals who require transportation
assistance before an emergency arises?
Transit agencies can work with local government agencies and human services providers
in advance of an emergency to obtain registries where individuals have voluntarily
identified themselves as requiring transportation assistance. Transit agencies may also
explore shared data use agreements with human services agencies to continue identifying
those individuals who will require transportation assistance.
6. How can transit agencies help individuals who require transportation assistance as
an emergency occurs?
During an emergency, FTA encourages transit agencies to work quickly to notify individuals
who require transportation assistance of the time and place of pickup and to dispatch
drivers in vehicles, including accessible vehicles. Transit agencies may also consider
launching an emergency hotline regarding transportation evacuation information as well as
posting information on websites and social media.
C6.

Charter Service Requirements

1. During a declared emergency or disaster, must all transit service be “open door”?
For example, does providing service to a group of shelter residents to a specific
location trigger the charter rule?
Transit agencies may take actions, such as providing service for evacuations, returning
evacuees from shelters to their homes, transporting utility workers, and providing service to
shelter residents, as long as these actions are directly related to an emergency declared by
the President, governor, or mayor, or are directly related to an emergency requiring
immediate action prior to a formal declaration. Transit agencies may provide such services
for up to 45 days. If the declared emergency lasts more than 45 days, transit agencies
must follow the procedures set out in 49 CFR Part 601, Subpart D – Emergency
Procedures for Public Transportation Systems (see Appendix B).

63

D. FTA Regional Office Contact Information
FTA Regional Offices. FTA regional contact information is available at

http://www.fta.dot.gov/12926.html.

FTA Region I
Connecticut, Maine, Massachusetts, New Hampshire, New Jersey, Rhode Island,
Vermont
Federal Transit Administration Transportation Systems Center Kendall Square
55 Broadway, Suite 920
Cambridge, MA 02142-1093
Phone (617) 494-2055
Fax (617) 494-2865
FTA Region II
New Jersey, New York

Federal Transit Administration

One Bowling Green, Room 429

New York, NY 10004-1415

Phone (212) 668-2170

Fax (212) 668-2136

FTA Region III
Delaware, Maryland, Pennsylvania, Virginia, West Virginia, and District of Columbia
Federal Transit Administration
1760 Market Street, Suite 500
Philadelphia, PA 19103-4124
Phone (215) 656-7100
Fax (215) 656-7260
FTA Region IV
Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina, South Carolina,
Tennessee
Federal Transit Administration
230 Peachtree, NW Suite 800
Atlanta, GA 30303
Phone (404) 865-5600
Fax (404) 865-5606
FTA Region V
Illinois, Indiana, Ohio, Michigan, Minnesota, Wisconsin

Federal Transit Administration

200 W Adams Street

Suite 320

Chicago, IL 60606

Phone (312) 353-2789

Fax (312) 886-0351

64

FTA Region VI

Arkansas, Louisiana, New Mexico, Oklahoma, Texas

Federal Transit Administration

819 Taylor Street, Room 8A36

Fort Worth, TX 76102

Phone (817) 978-0550

Fax (817) 978-0575

FTA Region VII

Iowa, Kansas, Missouri, Nebraska

Federal Transit Administration

901 Locust Street, Suite 404

Kansas City, MO 64106

Phone (816) 329-3920

Fax (816) 329-3921

FTA Region VIII

Colorado, Montana, Wyoming, North Dakota, South Dakota, Utah

Federal Transit Administration

12300 W Dakota Avenue

Suite 310

Lakewood, CO 80228-2583

Phone (720) 963-3300

Fax (720) 963-3333

FTA Region IX

Arizona, California, Nevada

Federal Transit Administration

201 Mission Street, Suite 1650

San Francisco, CA 94105-1839

Phone (415) 744-3133

Fax (415) 744-2726

FTA Region X

Alaska, Idaho, Oregon, Washington

Federal Transit Administration

Jackson Federal Building

915 Second Avenue, Suite 3142

Seattle, WA 98174-1002

Phone (206) 220-7954

Fax (206) 220-7959

65

E. FEMA Regional Office Contact Information
Region 1
Connecticut, Maine, Massachusetts, New
Hampshire, Rhode Island, Vermont
Federal Emergency Management Agency
99 High Street, 6th Floor
Boston, MA 02110-2320 (617) 956-7501
Region 2
New Jersey, New York, Puerto Rico, Virgin Islands
Federal Emergency Management Agency
26 Federal Plaza, Room 1337
New York, NY 10278-0002 (212) 225-7209
Region 3
Delaware, District of Columbia, Maryland,
Pennsylvania, Virginia, West Virginia Federal Emergency Management Agency One
Independence Mall, 6th Floor
615 Chestnut Street
Philadelphia, PA 19106-4404 (215) 931-5608
Region 4
Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina, South Carolina, Tennessee
Federal Emergency Management Agency
3003 Chamblee-Tucker Road
Atlanta, GA 30341 (770) 220-5200
Region 5
Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin
Federal Emergency Management Agency
536 South Clark Street, 6th Floor
Chicago, IL 60605 (312) 408-5500
Region 6
Arkansas, Louisiana, New Mexico, Oklahoma, Texas
Federal Emergency Management Agency
Federal Regional Center
800 N. Loop 288
Denton, TX 76201-3698 (940) 898-5104
Region 7
Iowa, Kansas, Missouri, Nebraska
Federal Emergency Management Agency
9221 Ward Parkway, Suite 300
Kansas City, MO 64114 (816) 283-7061

66

Region 8
Colorado, Montana, North Dakota, South
Dakota, Utah, Wyoming
Federal Emergency Management Agency
Denver Federal Center
Building 710, Box 25267
Denver, CO 80225-0267 (303) 235-4812
Region 9
American Samoa, Arizona, California, Guam, Hawaii, Nevada, Commonwealth of the Northern
Mariana Islands, Federated States of Micronesia, Republic of the Marshall Islands
Federal Emergency Management Agency
1111 Broadway, Suite 1200
Oakland, CA 94607-4052 (510) 627-7100
Region 10
Alaska, Idaho, Oregon, Washington
Federal Emergency Management Agency
Federal Regional Center
130 228th Street, S.W. Bothell, WA 98021-9796
(425) 487-4600

67

F. State Emergency Contact Information
FEMA state offices and agencies of emergency management are available at

https://www.fema.gov/state-offices-and-agencies-emergency-management.

Alabama Emergency Management Agency

5898 County Road 41

P.O. Drawer 2160

Clanton, Alabama 35046-2160 (205) 280-2200

(205) 280-2495 FAX
ema.alabama.gov/
Alaska Division of Homeland Security and Emergency Management
P.O. Box 5750

Fort Richardson, Alaska 99505-5750 (907) 428-7000

(907) 428-7009 FAX
http://www.ready.alaska.gov/

American Samoa Territorial Emergency Management Coordination (TEMCO) American
Samoa Government
P.O. Box 1086

Pago Pago, American Samoa 96799

(011) (684) 699-6415
(011) (684) 699-6414 FAX
Arizona Division of Emergency Management

5636 E. McDowell Road

Phoenix, Arizona 85008-3495

(800) 411-2336 | (602) 244-0504
(602) 464-6356 FAX
www.dem.azdema.gov
Arkansas Department of Emergency Management

Bldg. # 9501

Camp Joseph T. Robinson

North Little Rock, Arkansas 72199-9600

(501) 683-6700
(501) 683-7890 FAX
www.adem.arkansas.gov/
California Emergency Management Agency

3650 Schriever Ave.

Mather, California 95655

(916) 845-8506
(916) 845-8511 (FAX)
www.calema.ca.gov
Colorado Division of Homeland Security and Emergency Management
Department of Public Safety
9195 East Mineral Avenue

68

Suite 200
Centennial, Colorado 80112
(720) 852-6600
(720) 852-6750 Fax
http://www.dhsem.state.co.us/ or www.coemergency.com
Connecticut Office of Emergency Management
Department of Emergency Management and Homeland Security
25 Sigourney Street 6th floor
Hartford, Connecticut 06106-5042
(860) 256-0800
(860) 256-0815 FAX
www.ct.gov/demhs/
Delaware Emergency Management Agency
165 Brick Store Landing Road
Smyrna, Delaware 19977
(302) 659-3362
(302) 659-6855 FAX
www.dema.delaware.gov
District of Columbia Emergency Management Agency
2720 Martin Luther King, Jr. Avenue, S.E.
Second Floor
Washington, D.C. 20032
(202) 727-6161
(202) 673-2290 FAX
dcema.dc.gov
Florida Division of Emergency Management
2555 Shumard Oak Boulevard
Tallahassee, Florida 32399-2100
(850) 413-9969
(850) 488-1016 FAX
http://www.floridadisaster.org
Georgia Emergency Management Agency
935 East Confederate Ave SE
P.O. Box 18055
Atlanta, Georgia 30316-0055
(404) 635-7000
(404) 635-7205 FAX
http://www.gema.ga.gov
Guam Homeland Security/Office of Civil Defense
221B Chalan Palasyo
Agana Heights, Guam 96910
(671) 475-9600
(671) 477-3727 FAX
http://ghs.guam.gov/

69

Hawaii State Civil Defense
3949 Diamond Head Road
Honolulu, Hawaii 96816-4495
(808) 733-4300
(808) 733-4287 FAX
www.scd.hawaii.gov
Idaho Bureau of Homeland Security
4040 Guard Street, Bldg. 600
Boise, Idaho 83705-5004
(208) 422-3040
(208) 422-3044 FAX
www.bhs.idaho.gov/
Illinois Emergency Management Agency
2200 S. Dirksen Parkway
Springfield, Illinois 62703
(217) 782-2700
(217) 557-1978 FAX www.state.il.us/iema
Indiana Department of Homeland Security
Indiana Government Center South
302 West Washington Street, Room E208
Indianapolis, Indiana 46204-2767
(317) 232-3986
(317) 232-3895 FAX
http://www.in.gov/dhs/emermgtngpgm.htm
Indiana State Emergency Management Agency
302 West Washington Street
Room E-208 A
Indianapolis, Indiana 46204-2767
(317) 232-3986
(317) 232-3895 FAX
www.ai.org/sema/index.html
Iowa Homeland Security & Emergency Management Division
7105 NW 70th Ave, Camp Dodge
Building W-4
Johnston, Iowa 50131
(515) 725-3231
(515) 281-3260 FAX
www.iowahomelandsecurity.org
Kansas Division of Emergency Management
2800 S.W. Topeka Boulevard
Topeka, Kansas 66611-1287
(785) 274-1409
(785) 274-1426 FAX
www.kansastag.gov/kdem_default.asp

70

Kentucky Emergency Management
EOC Building
100 Minuteman Parkway Bldg. 100
Frankfort, Kentucky 40601-6168
(502) 607-1682 or (800) 255-2587
(502) 607-1614 FAX
www.kyem.ky.gov/
Louisiana Office of Emergency Preparedness
7667 Independence Boulevard
Baton Rouge, Louisiana 70806
(225) 925-7500
(225) 925-7501 FAX
www.gohsep.la.gov
Maine Emergency Management Agency
#72 State House Station
45 Commerce Drive, Suite #2
Augusta, Maine 043330072 (207) 624-4400
(207) 287-3180 (FAX)
www.maine.gov/mema
CNMI Emergency Management Office
Office of the Governor
Commonwealth of the Northern Mariana Islands
P.O. Box 10007
Saipan, Mariana Islands
96950 (670) 322-9529
(670) 322-7743 FAX
http://cnmihsem.gov.mp/
National Disaster Management Office
Office of the Chief Secretary
P.O. Box 15
Majuro, Republic of the Marshall Islands 96960-0015
(011) (692) 625-5181
(011) (692) 625-6896 FAX
Maryland Emergency Management Agency
Camp Fretterd Military Reservation
5401 Rue Saint Lo Drive
Reisterstown, Maryland
21136 (410) 517-3600
(877) 636-2872 Toll-Free
(410) 517-3610 FAX
www.mema.state.md.us/

71

Massachusetts Emergency Management Agency
400 Worcester Road
Framingham, Massachusetts
01702-5399 (508) 820-2000
(508) 820-2030 FAX
www.state.ma.us/mema
Homeland Security and Emergency Management Division
Michigan Dept. of State Police
4000 Collins Road
Lansing, Michigan 48909-8136
(517) 333-5042
(517) 333-4987 FAX
www.michigan.gov/emhsd
National Disaster Control Officer
Federated States of Micronesia
P.O. Box PS-53
Kolonia, Pohnpei – Micronesia 96941
(011) (691) 320-8815
(001) (691) 320-2785 FAX
Minnesota Homeland Security and Emergency Management Division
Minnesota Department of Public Safety
444 Cedar Street, Suite 223
St. Paul, MN 55101-6223
(651) 201-7400
(651) 296-0459 FAX
www.hsem.state.mn.us
Mississippi Emergency Management Agency
P.O. Box 5644
Pearl, MS 39288-5644
(601) 933-6362
(800) 442-6362 Toll Free
(601) 933-6800 FAX
www.msema.org
Missouri Emergency Management Agency
2302 Militia Drive
P.O. Box 116
Jefferson City, Missouri 65102
(573) 526-9100
(573) 634-7966 FAX
sema.dps.mo.gov

72

Montana Division of Disaster & Emergency Services
1956 Mt Majo Street
PO Box 4789
Fort Harrison, Montana 59636-4789
(406) 324-4777
(406) 324-4790 FAX
http://montanadma.org/disaster-and-emergency-services
Nebraska Emergency Management Agency
1300 Military Road
Lincoln, Nebraska 68508-1090
(402) 471-7421
(402) 471-7433 FAX
www.nema.ne.gov
Nevada Division of Emergency Management
2478 Fairview Drive
Carson City, Nevada 89701
(775) 687-0300
(775) 687-0330 FAX
www.dem.state.nv.us/
New Hampshire Governor's Office of Emergency Management
State Office Park South
33 Hazen Drive
Concord, New Hampshire
03305 (603) 271-2231
(603) 271-3609 FAX
www.nh.gov/safety/divisions/bem
New Jersey State Police
New Jersey Office of Emergency Management
P.O. Box 7068, River Rd.

West Trenton, New Jersey 08628-0068

(609) 538-6050 Monday-Friday

(609) 963-6900 Emergency

(609) 963-6208 Mitigation

(609) 882-2000 Ext. 6214 State Training Officer

(609) 671-0160 FAX

www.ready.nj.gov
New Mexico Department of Homeland Security and Emergency Management (DHSEM)
13 Bataan Boulevard
P.O. Box 27111
Santa Fe, New Mexico 87502
(505) 476-9600/(505) 476-9635 Emergency
(505) 476-9695 FAX
www.nmdhsem.org/

73

New York State Emergency Management Office
1220 Washington Avenue
Building 22, Suite 101
Albany, New York 12226-2251
(518) 292-2275
(518) 322-4978 FAX
www.dhses.ny.gov/oem/
North Carolina Division of Emergency Management
1636 Gold Star Drive
4713 Mail Service Center
Raleigh, NC 27607-3371
(919) 825-2500
(800) 858-0368 24-hour operations
www.ncem.org/
North Dakota Department of Emergency Services
P.O. Box 5511
Bismarck, North Dakota 58506-5511
(701) 328-8100
(701) 328-8181 FAX
www.nd.gov/des
Ohio Emergency Management Agency
2855 West Dublin-Granville Road
Columbus, Ohio 43235-2206
(614) 889-7150
(614) 889-7183 FAX
http://ema.ohio.gov
Oklahoma Department of Emergency Management
2401 Lincoln Blvd Suite C51
Oklahoma City, Oklahoma 73105
(405) 521-2481
(405) 521-4053 FAX
http://www.ok.gov/OEM/
Oregon Emergency Management
Oregon Military Department
3225 State St
Salem, Oregon 97301
(503) 378-2911
(503) 373-7833 FAX
www.oregon.gov/OMD/OEM/index.shtml

74

Palau NEMO Coordinator

Office of the President

P.O. Box 100
Koror, Republic of Palau 96940
(011) (680) 488-2422
(011) (680) 488-3312
Pennsylvania Emergency Management Agency
2605 Interstate Drive
Harrisburg, PA 17110-9463
(717) 651-2001
(717) 651-2040 FAX
www.pema.state.pa.us/
Puerto Rico Emergency Management Agency
P.O. Box 966597
San Juan, Puerto Rico 00906-6597 (787) 724-0124
(787) 725-4244 FAX
http://www2.pr.gov/Directorios/Pages/InfoAgencia.aspx?PRIFA=021
Rhode Island Emergency Management Agency
645 New London Ave
Cranston, Rhode Island 02920-3003
(401) 946-9996
(401) 944-1891 FAX
www.riema.ri.gov
South Carolina Emergency Management Division
2779 Fish Hatchery Road
West Columbia, South Carolina 29172
(803) 737-8500
(803) 737-8570 FAX
www.scemd.org/
South Dakota Division of Emergency Management
118 West Capitol
Pierre, South Dakota 57501
(605) 773-3231
(605) 773-3580 FAX
www.oem.sd.gov
Tennessee Emergency Management Agency
3041 Sidco Drive
Nashville, Tennessee 37204-1502
(615) 741-0001
(615) 242-9635 FAX
www.tnema.org
Texas Division of Emergency Management
5805 N. Lamar
P.O. Box 4087

75

Austin, Texas 78773-0220
(512) 424-2138
(512) 424-2444 or 7160 FAX
www.txdps.state.tx.us/dem/
Utah Division of Emergency Management
1110 State Office Building
P.O. Box 141710
Salt Lake City, Utah 84114-1710
(801) 538-3400
(801) 538-3770 FAX
http://publicsafety.utah.gov/emergencymanagement/
Vermont Emergency Management Agency
Department of Public Safety
Waterbury State Complex
103 South Main Street
Waterbury, Vermont 05671-2101
(802) 244-8721 or (800) 347-0488
(802) 244-8655 FAX
http://dps.vermont.gov/demhs

Virgin Islands Territorial Emergency Management – VITEMA
2-C Contant, A-Q Building
Virgin Islands 00820
(340) 774-2244
(340) 774-1491
Virginia Department of Emergency Management
10501 Trade Court
Richmond, VA 23236-3713
(804) 897-6500
(804) 897-6556 FAX
www.vaemergency.gov/

State of Washington Emergency Management Division
Building 20, M/S: TA-20
Camp Murray, Washington 98430-5122
(253) 512-7000
(800) 562-6108
(253) 512-7200 FAX
www.emd.wa.gov/

76

West Virginia Office of Emergency Services
Building 1, Room EB-80
1900 Kanawha Boulevard, East
Charleston, West Virginia 25305-0360
(304) 558-5380
(304) 344-4538 FAX
http://www.dhsem.wv.gov/Pages/default.aspx
Wisconsin Emergency Management
2400 Wright Street
P.O. Box 7865
Madison, Wisconsin 53707-7865
(608) 242-3232
(608) 242-3247 FAX
emergencymanagement.wi.gov/

Wyoming Office of Homeland Security
5500 Bishop Blvd
East Door
Cheyenne, Wyoming 82002 (307) 777-4663
(307) 777-4321 after hours
(307) 635-6017 FAX
wyohomelandsecurity.state.wy.us

77

G. Glossary of Common Emergency Relief Terms
Regulatory definitions applicable for the FTA Emergency Relief Program are found in Appendix
A, and in 49 CFR subpart 602.5.
Other common emergency relief terms are defined below. These definitions were taken from the
following sources:
• DHS Risk Lexicon. September 2008. U.S. Department of Homeland Security.
Available at http://www.dhs.gov/xlibrary/assets/dhs_risk_lexicon.pdf
• An Introduction to All-Hazards Preparedness for Transit Agencies. May 2010. Federal
Transit Administration. Available at http://transit-safety.fta.dot.gov/publications/
DocumentInfo.aspx?DocID=1122
• National Disaster Recovery Framework. September 2011. Federal Emergency
Management Agency. Available at http://www.fema.gov/pdf/recoveryframework/ndrf.pdf
• National Incident Management System. December 2008. U.S. Department of
Homeland Security. Available at http://www.fema.gov/pdf/emergency/nims/NIMS_core.pdf
• National Infrastructure Protection Plan. 2009. U.S. Department of Homeland Security.
Available at http://www.dhs.gov/xlibrary/assets/NIPP_Plan.pdf
• National Preparedness Guidelines. September 2007. U.S. Department of Homeland
Security. Available at http://www.fema.gov/library/viewRecord.do?id=3773
• National Response Framework. January 2008. U.S. Department of Homeland
Security.
Available at http://www.fema.gov/pdf/emergency/nrf/nrf-core.pdf
• The Public Transportation System Security and Emergency Preparedness Planning
Guide. January 2003. Federal Transit Administration. DOT-FTA-MA-26-5019-03-01.
DOT-VNTSC-FTA-03-01. Available at http://transitsafety.volpe.dot.gov/publications/security/PlanningGuide.pdf
• Transit Security Update: A Synthesis of Practice. 2009. Transportation Research

Board.

Transit Cooperative Research Program (TCRP) Synthesis 80. Available at

http://www.aptaerpp.com/tsyn80.pdf.

All-hazards. 1) Integrated planning and capability building for safety, security, and

emergency management to optimize and continuously improve the use of resources and the

management of risks from hazards, threats, vulnerabilities, and adverse events or incidents.

Source: An Introduction to All-Hazards Preparedness for Transit Agencies (2010); 2)

Describing an incident, natural or manmade, that warrants action to protect life, property,

environment, and public health or safety, and to minimize disruptions of government, social,

or economic activities. Source: National Incident Management System (NIMS) (2008) and

National Response Framework (NRF) Glossary and Acronyms.

78

Emergency. 1) A situation which is life threatening to passengers, employees, or other
citizens, or which causes significant damage to any transit vehicle or facility that requires
assessment and repair, or which reduces the ability of the system to fulfill its mission within
its service area. Source: The Public Transportation Security and Emergency Preparedness
Planning Guide (2003); 2) Any incident, whether natural or manmade, that requires
responsive action to protect life or property. Source: NIMS (2008) and NRF Glossary and
Acronyms (2008); 3) Any occasion or instance for which, in the determination of the
President, [F]ederal assistance is needed to supplement [S]tate and local efforts and
capabilities to save lives and to protect property and public health and safety, or to lessen or
avert the threat of a catastrophe in any part of the United States. Source: Robert T. Stafford
Disaster Relief and Emergency Assistance Act (42 U.S.C. 5122).
Evacuation. 1) A condition requiring all passengers and employees to depart a transit
vehicle and enter onto the transit right-of-way or roadway under emergency circumstances.
Source: TCRP Synthesis 80, Transit Security Update (2009); 2) Organized, phased, and
supervised withdrawal, dispersal, or removal of civilians from dangerous or potentially
dangerous areas, and their reception and care in safe areas. Source: NIMS (2008) and NRF
Glossary and Acronyms.
Incident. An occurrence, natural or manmade, that requires a response to protect life or
property. Incidents can, for example, include major disasters, emergencies, terrorist attacks,
terrorist threats, civil unrest, wild-land and urban fires, floods, hazardous materials spills,
nuclear accidents, aircraft accidents, earthquakes, hurricanes, tornadoes, tropical storms,
tsunamis, war- related disasters, public health and medical emergencies, and other
occurrences requiring an emergency response. Source: NIMS (2008) and NRF Glossary and
Acronyms.
Incident/Attack. 1) Occurrence, caused by either human action or natural phenomena,
which may cause harm and may require action. Source: National Infrastructure Protection
Plan (NIPP) (2009); 2) Occurrence, caused by either human action or natural phenomena,
that may cause harm and that may require action. Source: DHS Risk Lexicon (2008); 3)
Actual or potential emergency or all-hazards event that ranges from accident and natural
disaster to actual or potential terrorist attack. Source: NRF (2008).
Incident command system. A standardized on-scene emergency management
construct specifically designed to provide an integrated organizational structure that
reflects the complexity and demands of single or multiple incidents, without being
hindered by jurisdictional boundaries. ICS is the combination of facilities, equipment,
personnel, procedures, and communications operating within a common
organizational structure, designed to aid in the management of resources during
incidents. Source: NIMS (2008) and NRF Glossary and Acronyms.
Major disaster. Any natural catastrophe or, regardless of cause, any fire, flood, or
explosion, in any part of the United States, which[,] in the determination of the President[,]
causes damage of sufficient severity and magnitude to warrant major disaster assistance
under this act to supplement the efforts and available resources of [s]tates, local
governments, and disaster relief organizations to alleviate the damage, loss, hardship, or
suffering caused thereby. Source: Robert T. Stafford Disaster Relief and Emergency
Assistance Act (42 U.S.C. 5122).

79

National Incident Management System. A set of principles that provides a systematic,
proactive approach guiding government agencies at all levels, nongovernmental
organizations, and the private sector to work seamlessly to prevent, protect against, respond
to, recover from, and mitigate the effects of incidents, regardless of cause, size, location, or
complexity, in order to reduce the loss of life or property and harm to the environment.
Source: NIMS (2008).
National Response Framework. A guide to how the United States conducts allhazards response. Source: NIMS (2008).
Recovery. 1) The development, coordination, and execution of service- and site-restoration
plans; the reconstitution of government operations and services; individual, private-sector,
nongovernmental, and public assistance programs to provide housing and to promote
restoration; long-term care and treatment of affected persons; additional measures for social,
political, environmental, and economic restoration; evaluation of the incident to identify
lessons learned; post-incident reporting; and development of initiatives to mitigate the effects
of future incidents. Source: NIMS (2008) and NRF Glossary and Acronyms; 2) Those
capabilities necessary to assist communities affected by an incident to recover effectively,
including but not limited to, rebuilding infrastructure systems; providing adequate interim and
long-term housing for survivors; restoring health, social, and community services; promoting
economic development; and restoring natural and cultural resources. Source: National
Disaster Recovery Framework (NDRF) (2011).
Reimbursement. A mechanism to recoup funds expended for incident-specific
activities. Source: NIMS (2008).
Resources. Personnel and major items of equipment, supplies, and facilities available or
potentially available for assignment to incident operations and for which status is maintained.
Source: NIMS (2008) and NRF Glossary and Acronyms. In NIMS (2008), resources are
further “described by kind and type and may be used in operational support or supervisory
capacities at an incident or at an Emergency Operations Center.”
Response. 1) Activities that address the short-term, direct effects of an incident. Response
includes immediate actions to save lives, protect property, and meet basic human needs.
Response also includes the execution of emergency operations plans and of mitigation
activities designed to limit the loss of life, personal injury, property damage, and other
unfavorable outcomes. As indicated by the situation, response activities include applying
intelligence and other information to lessen the effects or consequences of an incident;
increased security operations; continuing investigations into nature and source of the threat;
ongoing public health and agricultural surveillance and testing processes; immunizations,
isolation, or quarantine; and specific law enforcement operations aimed at preempting,
interdicting, or disrupting illegal activity, and apprehending actual perpetrators and bringing
them to justice. Source: NIMS (2008); 2) Immediate actions to save lives, protect property
and the environment, and meet basic human needs. Response also includes the execution
of emergency plans and actions to support short-term recovery ( Source: NRF Glossary and
Acronyms; 3). Those capabilities necessary to save lives, protect property and the
environment, and meet basic human needs after an incident has occurred. Source NDRF
(2011).
Special needs population. A population whose members may have additional needs
before, during, and after an incident in functional areas, including but not limited to:

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maintaining independence, communication, transportation, supervision, and medical care.
Individuals in need of additional response assistance may include those who have
disabilities; who live in institutionalized settings; who are elderly; who are children; who are
from diverse cultures; who have limited English proficiency or are non-English-speaking; or
who are transportation disadvantaged. Source: NIMS (2008) and NRF Glossary and
Acronyms.
Terrorism. As defined in the Homeland Security Act of 2002, activity that involves an act
that is dangerous to human life or potentially destructive of critical infrastructure or key
resources; is a violation of the criminal laws of the United States or of any State or other
subdivision of the United States; and appears to be intended to intimidate or coerce a civilian
population, to influence the policy of a government by intimidation or coercion, or to affect the
conduct of a government by mass destruction, assassination, or kidnapping. Source: NIMS
(2008) and NRF Glossary and Acronyms.
Terrorist activity/attack. Intentional act of violence with the intent to inflict significant
damage to property, inflict casualties, and produce panic and fear. Source: TCRP Synthesis
80, Transit Security Update (2009).

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