Nprm

Vol. 80

Thursday,

No. 218

November 12, 2015

Part III

Department of Homeland Security

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Federal Emergency Management Agency
44 CFR Part 206
Factors Considered When Evaluating a Governor’s Request for Individual
Assistance for a Major Disaster; Proposed Rule

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Federal Register / Vol. 80, No. 218 / Thursday, November 12, 2015 / Proposed Rules
Agency, 500 C Street SW., 8NE,
Washington, DC 20472–3100.

DEPARTMENT OF HOMELAND
SECURITY

FOR FURTHER INFORMATION CONTACT:

Federal Emergency Management
Agency

Mark Millican, FEMA, Individual
Assistance Division, 500 C Street SW.,
Washington, DC 20472–3100, (phone)
202–212–3221 or (email) FEMA±[email protected].
SUPPLEMENTARY INFORMATION:

44 CFR Part 206
[Docket ID FEMA–2014–0005]
RIN 1660–AA83

Factors Considered When Evaluating a
Governor’s Request for Individual
Assistance for a Major Disaster
Federal Emergency
Management Agency, DHS.
ACTION: Notice of proposed rulemaking.
AGENCY:

FEMA proposes to revise its
regulations to comply with Section 1109
of the Sandy Recovery Improvement Act
of 2013 which requires FEMA, in
cooperation with State, local, and Tribal
emergency management agencies, to
review, update, and revise through
rulemaking the Individual Assistance
factors FEMA uses to measure the
severity, magnitude, and impact of a
disaster.
DATES: Comments must be received on
or before January 11, 2016.
ADDRESSES: You may submit comments,
identified by docket ID FEMA–2014–
0005, by one of the following methods:
Federal eRulemaking Portal: http://
www.regulations.gov. Follow the
instructions for submitting comments.
Mail/Hand Delivery/Courier:
Regulatory Affairs Division, Office of
Chief Counsel, 500 C Street SW., 8NE,
Washington, DC 20472–3100.
Instructions: All submissions received
must include the agency name and
docket ID. Regardless of the method
used for submitting comments or
material, all submissions will be posted,
without change, to the Federal
e-Rulemaking Portal at http://
www.regulations.gov, and will include
any personal information you provide.
Therefore, submitting this information
makes it public. You may wish to read
the Privacy Act notice that is available
via the Privacy Notice link on the
homepage of http://
www.regulations.gov.
Docket: For access to the docket to
read background documents or
comments received, go to the Federal
eRulemaking Portal at http://
www.regulations.gov, click on
‘‘Advanced Search,’’ then enter
‘‘FEMA–2014–0005’’ in the ‘‘By Docket
ID’’ box, then select ‘‘FEMA’’ under ‘‘By
Agency,’’ and then click ‘‘Search.’’
Submitted comments may also be
inspected at the Office of Chief Counsel,
Federal Emergency Management

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SUMMARY:

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Table of Contents
I. Public Participation
II. Executive Summary
A. Purpose of the Regulatory Action
1. The Need for the Regulatory Action and
How the Action Will Meet the Need
2. Legal Authority
B. Summary of Major Provisions
III. Background
A. The Federal Disaster Declaration
Process
1. Preliminary Damage Assessment (PDA)
2. State’s Submission of Its Declaration
Request to FEMA
3. FEMA’s Analysis and Recommendation
to the President
4. Approval or Denial of the Declaration
Request
5. Types of Assistance Approved Under the
Declaration Request
B. Sandy Recovery Improvement Act of
2013
C. FEMA’s Outreach Efforts Required by
the Sandy Recovery Improvement Act
1. The Role of Voluntary, Faith, and
Community Based Organizations During
Disasters
2. The Correlation Between the Population
Size of a State and Its Capability To
Recover
3. Issues With Widespread Damage and
Contiguous States
4. Impact on Businesses
5. Decoupling Individual Assistance
Programs
6. Impacts to Community
7. Linking Individual Assistance
Declarations With Public Assistance
Estimated Cost Factor
8. Thresholds
9. Insurance
10. Homes in Foreclosure
11. Incentives for State Sponsored IA
Programs
IV. Discussion of the Proposed Rule
A. 44 CFR 206.48—Paragraph (b)(1) State
Fiscal Capacity and Resource
Availability
B. 44 CFR 206.48—Paragraph (b)(2)
Uninsured Home and Personal Property
Losses
C. 44 CFR 206.48—Paragraph (b)(3)
Disaster Impacted Population Profile
D. 44 CFR 206.48—Paragraph (b)(4) Impact
to Community Infrastructure
E. 44 CFR 206.48—Paragraph (b)(5)
Casualties
F. 44 CFR 206.48—Paragraph (b)(6)
Disaster Related Unemployment
G. Principal Factors for Evaluating the
Need for the Individuals and Households
Program
V. Regulatory Analysis
A. Executive Order 12866, Regulatory
Planning and Review and Executive

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Order 13563, Improving Regulation and
Regulatory Review
1. Executive Summary & A–4 Accounting
Statement
2. Need for Regulatory Action
3. Affected Population
4. Current Baseline and Changes From
Proposed Rule
5. Impacts to Costs, Benefits, and Transfer
Payments
a. State Costs
b. Federal Costs
c. Benefits
d. Transfer Payments
9. Cumulative Impact of the Proposed Rule
10. Marginal Analysis of the Proposed
Factors
11. Regulatory Alternatives
a. Voluntary, Faith and Community Based
Organizations Resources
b. Maintain the 44 CFR 206.48(b)(6) Table
c. Automatically Trigger Contiguous
Counties and States
d. Considering Negative Impact on
Businesses
e. Linking Individual Assistance Cost
Factor With Public Assistance Cost
Factor
f. Use of Factor Thresholds
g. Homes in Foreclosure
h. Do Not Include Fiscal Capacity
Indicators
i. Do Not Include State Resources
Indicators
B. Regulatory Flexibility Act
C. Unfunded Mandates Reform Act of 1995
D. National Environmental Policy Act
E. Paperwork Reduction Act of 1995
F. Privacy Act
G. Executive Order 13175, Consultation
and Coordination With Indian Tribal
Governments
H. Executive Order 13132, Federalism
I. Executive Order 11988, Floodplain
Management
J. Executive Order 11990, Protection of
Wetlands
K. Executive Order 12898, Environmental
Justice
L. Congressional Review of Agency
Rulemaking

I. Public Participation
We encourage you to participate in
this rulemaking by submitting
comments and related materials. We
will consider all comments and material
received during the comment period.
If you submit a comment, identify the
agency name and the docket ID for this
rulemaking, indicate the specific section
of this document to which each
comment applies, and give the reason
for each comment. You may submit
your comments and material by
electronic means, mail, or delivery to
the address under the ADDRESSES
section. Please submit your comments
and material by only one means.
Regardless of the method used for
submitting comments or material, all
submissions will be posted, without
change, to the Federal e-Rulemaking
Portal at http://www.regulations.gov,

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Federal Register / Vol. 80, No. 218 / Thursday, November 12, 2015 / Proposed Rules
and will include any personal
information you provide. Therefore,
submitting this information makes it
public. You may wish to read the
Privacy Act notice that is available via
a link on the homepage of
www.regulations.gov.
Viewing comments and documents:
For access to the docket to read
background documents or comments
received, go to the Federal eRulemaking Portal at http://
www.regulations.gov. Background
documents and submitted comments
may also be inspected at the Office of
Chief Counsel, Federal Emergency
Management Agency, 500 C Street SW.,
8NE, Washington, DC 20472–3100.
II. Executive Summary
A. Purpose of the Regulatory Action

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1. The Need for the Regulatory Action
and How the Action Will Meet the Need
On January 29, 2013, the President
signed the Sandy Recovery
Improvement Act of 2013 (SRIA) into
law (Pub. L. 113–2). Section 1109 of
SRIA requires FEMA in cooperation
with State, local, and Tribal emergency
management agencies, to review,
update, and revise through rulemaking
the factors found at 44 CFR 206.48 that
FEMA uses to determine whether to
recommend provision of Individual
Assistance (IA) during a major disaster.
These factors help FEMA measure the
severity, magnitude, and impact of a
disaster.
FEMA is proposing this rule to
comply with SRIA and to provide
clarity on the IA declaration factors that
FEMA currently considers in support of
its recommendation to the President on
whether a major disaster declaration
authorizing IA is warranted. The
additional clarity may reduce delays in
the declaration process by decreasing
the back and forth between States and
FEMA in the declaration process. FEMA
is also proposing new factors on Fiscal
Capacity and Resource Availability to
provide additional context on potential
disaster situations. The proposed rule
would also satisfy the requirements
outlined above in Section 1109 of SRIA.
2. Legal Authority
FEMA has authority for this proposed
rule pursuant to the Robert T. Stafford
Disaster Relief and Emergency
Assistance Act (Stafford Act). 42 U.S.C.
5121 et seq. Section 401 of the Stafford
Act lays out the procedures for a
declaration for FEMA’s major disaster
assistance programs when a catastrophe
occurs in a State. The specific changes
proposed by this NPRM are intended to
comply with Section 1109 of the Sandy

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Recovery Improvement Act of 2013.
Public Law 113–2.
B. Summary of Major Provisions
FEMA proposed to revise the factors
found at 44 CFR 206.48 that FEMA uses
to determine whether to recommend
provision of Individual Assistance
during a major disaster. The current
factors found at 44 CFR 206.48 for
Individual Assistance include the
following factors: (1) Concentration of
Damages, (2) Trauma, (3) Special
Populations, (4) Voluntary Agency
Assistance, (5) Insurance, and (6)
Average Amount of Individual
Assistance by State.
FEMA is proposing to revise the
current factors by providing additional
clarity regarding the considerations
FEMA evaluates when making a
recommendation on whether Individual
Assistance is warranted for a major
disaster declaration. FEMA is proposing
to revise 44 CFR 206.48 to include the
following factors: (1) State Fiscal
Capacity and Resource Availability, (2)
Uninsured Home and Personal Property
Losses, (3) Disaster Impacted Population
Profile, (4) Impact to Community
Infrastructure, (5) Casualties, and (6)
Disaster Related Unemployment. As is
currently the practice, FEMA will
continue to use a myriad of factors and
data to formulate its recommendations
to the President on major disaster
declarations that authorize IA. No single
data point or factor would determine on
its own FEMA’s ultimate
recommendation nor would any single
factor necessarily affect the President’s
ultimate determination of whether a
major disaster declaration authorizing
IA is warranted. FEMA purposely
declined to be more specific in areas of
the proposed rule so that FEMA does
not limit Presidential discretion for
declaring a major disaster declaration
that authorized Individual Assistance
because the parameters for a major
disaster declaration can change from
Administration to Administration.
FEMA wants to ensure that we retain as
much flexibility as possible so that we
can conform to what the President
wants in their disaster declaration
recommendations. The proposed factors
would not limit the President’s
discretion regarding major disaster
declarations.
III. Background
A. The Federal Disaster Declaration
Process
When a catastrophe occurs in a State,
the State’s Governor may request a
Presidential declaration of a major

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disaster 1 pursuant to Section 401 of the
Robert T. Stafford Disaster Relief and
Emergency Assistance Act (Stafford
Act). 42 U.S.C. 5170; 44 CFR 206.36(a).
Such a request must be based on a
finding that the disaster is of such
severity and magnitude that an effective
response is beyond the capabilities of
the State and the affected local
governments and that Federal assistance
is necessary. 42 U.S.C. 5170.
The capacity to respond to a
catastrophe varies from State to State.
The initial decision on whether
supplemental Federal assistance is
necessary for a State responding to and
recovering from a natural disaster lies
with each State. The basis for any State
request for a major disaster declaration
must be a finding that (1) the situation
is of such severity and magnitude that
an effective response is beyond the
capacities of the State and affected local
governments, and (2) Federal assistance
under the Stafford Act is necessary to
supplement the efforts and available
resources of the State, local
governments, disaster relief
organizations, and compensations by
insurance for disaster-related losses. 44
CFR 206.36(b)(1)–(2).
The President’s declaration may
authorize various types of Federal
assistance, falling under three main
program areas: Public Assistance,
Individual Assistance (IA), and Hazard
Mitigation. Public Assistance provides
supplemental Federal disaster grant
assistance for debris removal,
emergency protective measures, and the
repair, replacement, or restoration of
disaster-damaged, publicly owned
facilities and the facilities of certain
Private Non-Profit organizations.
Individual Assistance provides financial
or direct assistance to individuals and
households who have been injured or
whose property has been damaged or
destroyed as a result of a Federallydeclared disaster, and whose losses are
not covered by insurance or other
means. Additionally, a declaration
authorizing Individual Assistance may
authorize crisis counseling, disaster case
management, disaster unemployment
assistance, and disaster legal services.
1 A major disaster is 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 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. 42 U.S.C.
5122; 44 CFR 206.2(17).

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The Hazard Mitigation Grant Program
provides grants to States and local
governments to implement long term
hazard mitigation measures after a major
disaster declaration. FEMA’s regulations
at 44 CFR part 206 Subpart B describe
the process leading to a Presidential
declaration of a major disaster and the
actions triggered by such a declaration.
44 CFR 206.31.
1. Preliminary Damage Assessment
(PDA)
An initial step in the major disaster
declaration process is the preliminary
damage assessment (PDA). The PDA is
used to determine the impact and
magnitude of damage and the resulting
unmet needs of individuals, businesses,
the public sector, and the community as
a whole. 44 CFR 206.33. When the State
official responsible for disaster
operations determines that an event may
be beyond the capabilities of the State
and local government to respond, the
State will request that the FEMA
Regional Administrator perform a joint
FEMA-State PDA. 44 CFR 206.33(a). A
damage assessment team is formed,
which is composed of at least one
representative of the Federal
government and one representative of
the State. 44 CFR 206.33(b). A local
government representative familiar with
the extent and location of damage in the
community is also included if possible.
44 CFR 206.33(b). Other State and
Federal agencies, and voluntary relief
organizations may also be asked to
participate, as needed. 44 CFR
206.33(b). A FEMA official will brief
team members on damage criteria, the
kind of information to be collected for
the particular incident, and reporting
requirements. 44 CFR 206.33(b).
The length of time required to
conduct a PDA varies based upon the
circumstances of the event. In large
disasters, a major disaster declaration
may be made prior to completing a PDA,
in which case a damage assessment is
conducted following the declaration in
order to determine additional program
needs. Damage that is widespread may
take considerably longer to verify than
damage in a concentrated area, as there
is a greater geographic area to assess.
Certain types of disasters such as
flooding, or disasters affecting remote or
isolated areas, may slow PDAs down
due to limited accessibility. Depending
on the above circumstances, a PDA can
take anywhere from a day or two to a
week or more. On average, a PDA can
be completed within a week. At the
close of the PDA, FEMA consults with
State officials to discuss findings and
reconcile any differences. 44 CFR
206.33(c).

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2. State’s Submission of Its Declaration
Request to FEMA
During or at the close of the PDA, the
Governor of a State submits the request
for a major disaster declaration through
the appropriate FEMA Regional
Administrator. 44 CFR 206.36. The
request must be submitted within 30
days of the occurrence of the incident in
order to be considered. 44 CFR
206.36(a). The basis for the request must
be a finding that (1) the situation is of
such severity and magnitude that an
effective response is beyond the
capabilities of the State and affected
local governments, and (2) Federal
assistance under the Stafford Act is
necessary to supplement the efforts and
available resources of the State, local
governments, disaster relief
organizations, and compensation by
insurance for disaster-related losses. 44
CFR 206.36(b)(1)–(2). In addition, the
request must include: Confirmation that
the Governor has taken appropriate
action under State law and directed the
execution of the State emergency plan;
an estimate of the amount and severity
of damages and losses stating the impact
of the disaster on the public and private
sectors; information describing the
nature and amount of State and local
resources which have been or will be
committed to alleviate the results of the
disaster; preliminary estimates of the
types and amount of supplementary
Federal disaster assistance needed
under the Stafford Act; and certification
by the Governor that State and local
government obligations and
expenditures for the current disaster
will comply with all applicable cost
sharing requirements of the Stafford
Act. 44 CFR 206.36(c)(1)–(5).
3. FEMA’s Analysis and
Recommendation to the President
Upon receipt of the Governor’s
request, the FEMA Regional
Administrator provides written
acknowledgement of the request. 44
CFR 206.37(a). Based on information
obtained by the PDA and consultations
with appropriate State and Federal
officials and other interested parties, the
FEMA Regional Administrator promptly
prepares a summary of the PDA
findings, analyzes the data, and submits
a recommendation to FEMA
Headquarters. 44 CFR 206.37(b). This
Regional Analysis must include a
discussion of State and local resources
and capabilities and other assistance
available to meet the major disasterrelated needs. 44 CFR 206.37(b).
Based on all available information,
the FEMA Administrator formulates a
recommendation which is forwarded to

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the President with the Governor’s
request. 44 CFR 206.37(c). A
recommendation for a major disaster
declaration is based on a finding that
the situation is or is not of such severity
and magnitude as to be beyond the
capabilities of the State and its local
governments, and must include a
determination of whether or not
supplemental Federal assistance 2 under
the Stafford Act is necessary and
appropriate. 44 CFR 206.37(c)(1). In
developing a recommendation, FEMA
considers factors such as the amount
and type of damages; the impact of
damages on affected individuals, the
State, and local governments; the
available resources of the State and local
governments, and other disaster relief
organizations; the extent and type of
insurance in effect to cover losses;
assistance available from other Federal
programs and other sources; imminent
threats to public health and safety;
recent disaster history in the State;
hazard mitigation measures taken by the
State or local governments, especially
implementation of measures required as
a result of previous major disaster
declarations; and other factors pertinent
to a given incident. 44 CFR 206.37(c)(1).
When preparing its recommendation for
Individual Assistance in particular,
FEMA considers specific factors
described in 44 CFR 206.48(b).
4. Approval or Denial of the Declaration
Request
Upon completion of its
recommendation, FEMA forwards it to
the President along with the Governor’s
request. The Governor’s request may
result in either a Presidential
declaration of a major disaster or an
emergency, or denial of the Governor’s
request. 44 CFR 206.38(a). The Governor
will be promptly notified by the FEMA
Administrator of a declaration by the
President that a major disaster exists, or
that the Governor’s request does not
justify the use of the authorities of the
Stafford Act. 44 CFR 206.39. A State
may appeal a denial of declaration
request within 30 days after the date of
the letter denying the request. 44 CFR
206.46(a).
2 The supplemental nature of Federal disaster
assistance is a longstanding principle of emergency
management and disaster response in this country.
After any event, the local officials are the first to
respond, by nature of their proximity to the event
and knowledge of the area and circumstances. If
additional resources are needed, the State then
steps in to assist. Once those resources are
overwhelmed, or it is clear that they will be
overwhelmed, the Governor may request a major
disaster declaration. 44 CFR 206.36(a). In the event
of a declaration, State and local officials continue
to lead their respective response and recovery
missions, with Federal support provided under the
Stafford Act.

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5. Types of Assistance Approved Under
the Declaration Request
A major disaster declaration will
include the types of assistance that are
authorized under the declaration, 44
CFR 206.40(a), although other types may
be authorized later, 44 CFR 206.40(c).
The types of assistance authorized
under the declaration are based upon
whether the damage involved and its
effects are of such severity and
magnitude as to be beyond the response
capabilities of the State, the affected
local governments, and other potential
recipients of supplementary Federal
assistance. 44 CFR 206.40(a). A major
disaster declaration may authorize all,
or only particular types of,
supplementary Federal assistance
requested by the Governor. 44 CFR
206.40(a). As noted above, when
evaluating requests for Individual
Assistance, FEMA considers the factors
under 44 CFR 206.48(b) to determine
whether supplemental Federal
Individual Assistance is warranted.
A major disaster declaration
authorizing Individual Assistance may
include any or all of the following
programs:
Individuals and Households Program:
The Individuals and Households
Program (IHP) provides grants, direct
assistance, or both to eligible disaster
survivors who have necessary expenses
and serious needs that they are unable
to meet through other means, such as
insurance. 44 CFR 206.110–120. This
help may be in the form of housing
assistance (including Temporary
Housing, Repair, Replacement, and
Semi-Permanent or Permanent Housing
Construction) as well as assistance to
meet ‘‘other needs’’ such as medical,
dental, child care, funeral, personal
property, and transportation costs.
Crisis Counseling Program: The Crisis
Counseling Program (CCP) assists
individuals and communities recovering
from the effects of a natural or human
caused disaster through the provision of
community based outreach and psychoeducational services. 44 CFR 206.171.
Supplemental Federal funding for crisis
counseling is available to the State
through two grant mechanism: (1)
Immediate Services Program, which
provides funds for up to 60 days of
services immediately following a
disaster declaration; and (2) the Regular
Services Program, which provides funds
for up to nine months following a
disaster declaration.
Disaster Case Management Program:
The Disaster Case Management Program
(DCMP) is a program that involves a
partnership between a disaster case
manager and a survivor to develop and

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carry out a Disaster Recovery Plan. 42
U.S.C. 5189d. The process involves an
assessment of the survivor’s verified
disaster caused unmet needs,
development of a goal oriented plan that
outlines the steps necessary to achieve
recovery, organization and coordination
of information on available resources
that match the disaster caused unmet
need, monitoring of progress towards
the recovery plan goals and, when
necessary, client advocacy.
Disaster Legal Services: Disaster Legal
Services provides legal assistance to low
income individuals who, prior to or as
a result of the disaster, are unable to
secure legal services adequate to meet
their disaster related needs. 44 CFR
206.164. FEMA, through an agreement
with the Young Lawyers Division of the
American Bar Association, provides free
legal help for disaster survivors.
Disaster Unemployment Assistance:
Disaster Unemployment Assistance
(DUA) provides unemployment benefits
and re-employment services to
individuals who have become
unemployed as a result of a major
disaster and who are not eligible for
regular State unemployment insurance.
44 CFR 206.141.
B. Sandy Recovery Improvement Act of
2013
On January 29, 2013, the President
signed the Sandy Recovery
Improvement Act of 2013 (SRIA) into
law (Pub. L. 113–2). Section 1109 of
SRIA requires FEMA, in cooperation
with State, local, and Tribal emergency
management agencies, to review,
update, and revise through rulemaking
the factors found at 44 CFR 206.48 that
FEMA uses to determine whether to
recommend provision of Individual
Assistance during a major disaster.
These factors help FEMA measure the
severity, magnitude, and impact of a
disaster.
Congress directed FEMA to review,
update, and revise these factors,
including 44 CFR 206.48(b)(2) related to
trauma and the specific conditions or
losses that contribute to trauma, to
provide more objective criteria for
evaluating the need for assistance to
individuals, to clarify the threshold for
eligibility, and to speed a declaration of
a major disaster or emergency 3 under
3 The

factors that FEMA considers to evaluate the
need for assistance to individuals under the
Stafford Act are at 44 CFR 206.48. FEMA uses these
factors to evaluate a governor’s request for a
declaration of a major disaster, not an emergency.
SRIA Section 1109 states that FEMA must review,
update, and revise the factors in 44 CFR 206.48(b).
The factors that FEMA uses to evaluate a governor’s
request for emergency assistance, however, are not
provided in 44 CFR 206.48(b) or in FEMA’s
regulations. Therefore, the scope of this rulemaking

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the Stafford Act. Pursuant to SRIA, this
rulemaking must be completed by
January 29, 2014. Although the
necessary process to revise the factors is
not yet complete, FEMA intends to
complete this process as expeditiously
as possible.
SRIA also authorized, among other
things, the option for Federally
recognized Indian Tribal governments to
make a request directly to the President
for a Federal emergency or major
disaster declaration. FEMA will
implement this provision of SRIA in a
separate rulemaking.
C. FEMA's Outreach Efforts Required by
the Sandy Recovery Improvement Act
Section 1109 of SRIA requires FEMA
to cooperate with State, local, and Tribal
emergency management agencies during
the process of reviewing, updating, and
revising the factors found at 44 CFR
206.48(b). FEMA conducted outreach
with stakeholders, including meetings
with the National Emergency Managers
Association, the International
Association of Emergency Managers, the
National Advisory Council, FEMA
regional offices, and Tribal governments
(hereinafter ‘‘stakeholder group’’). The
stakeholder group had widespread
participation from individuals involved
in emergency management at the State,
local, and tribal levels. These outreach
efforts were conducted from February
2013 through May 2013 and consisted of
in-person conferences and conference
calls. During this outreach, a series of
themes emerged from the members of
the stakeholder group which are
discussed below.
1. The Role of Voluntary, Faith, and
Community Based Organizations During
Disasters
Many in the stakeholder group felt
that the consideration of services and
benefits provided by voluntary, faithbased, and community-based
organizations during a disaster should
not continue to serve as an indicator for
when supplemental Federal assistance
is warranted. The stakeholders felt that
voluntary, faith-based, and communitybased organization involvement may not
be available at the time of a disaster
declaration and those organizations do
will apply only to Individual Assistance factors that
FEMA considers when evaluating a Governor’s
request for a major disaster declaration. Section 502
of the Stafford Act authorizes FEMA to provide IHP
assistance as part of an emergency declaration.
FEMA has previously considered some of the
factors found at 206.48(b) when considering an
emergency declaration request that includes IHP
assistance. FEMA will continue to consider some of
the factors, when applicable, at 44 CFR 206.48(b)
when evaluating an emergency declaration request
that includes IHP assistance.

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not provide funding for the rebuilding
or replacement of houses. FEMA
currently considers, as an Individual
Assistance factor, the extent to which
voluntary agencies and State or local
programs can meet the needs of disaster
survivors. 44 CFR 206.48(b)(4).
Voluntary, faith-based, and communitybased organizations are often among the
first to respond to an event. Following
a disaster, voluntary, faith-based, and
community-based organizations
mobilize to provide immediate
assistance such as food, clothing,
shelter, cleaning supplies, comfort kits,
first aid, and medical care, as well as
services including coordinating
donations, counseling, home repairs,
and rebuilding. FEMA is proposing to
continue consideration of the resources
made available by such organizations as
part of the new ‘‘Resource Availability’’
factor discussed below. FEMA
recognizes that the resources provided
by the voluntary, faith-based, and
community-based organizations are
typically not a long term recovery
solution for a disaster affected
community and that these
organizations’ financial capabilities are
mostly donor-based and dependent on
the economic climate. FEMA also
believes that information on voluntary,
faith-based, and community-based
organizations is valuable because it can
enhance the picture of disaster needs at
a local, grass roots level and may either
offset the need for, or reveal a need for,
supplemental Federal assistance.
2. The Correlation Between the
Population Size of a State and Its
Capability To Recover
Several members of the stakeholder
group discouraged FEMA from making
a correlation between State population
size and the capability of that State to
recover. More specifically, multiple
members of the stakeholder group
expressed concern with the table in the
current regulations which provides the
average amount of Individual Assistance
by State. See 206.48(b)(6). This table of
averages does not set a threshold for
recommending Individual Assistance,
but was intended as guidance to States
and voluntary agencies as they develop
plans and programs to meet the needs
of disaster survivors. 44 CFR
206.48(b)(6).
In developing this proposed rule,
FEMA evaluated the utility of this table.
FEMA determined that the table should
be removed because it causes confusion
among States, and may be viewed
incorrectly as a threshold for whether a
State should request Individual
Assistance. In addition, the table is
based on 1990 Census data, uses

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assistance information from 1994–1999,
and is based on the previous iteration of
the IHP which consisted of two separate
programs: (1) The Temporary Housing
Assistance Program and (2) the
Individual and Family Grant Program.
FEMA recognizes that there are many
factors, including population, that
contribute to a State’s capability to
respond to and recover from a disaster.
FEMA is proposing several factors,
discussed below, that will be used in
evaluating State capability.
3. Issues With Widespread Damage and
Contiguous States
Current 44 CFR 206.48(b)(1) notes that
high concentrations of damages
generally indicate a greater need for
Federal assistance than widespread and
scattered damages throughout a State.
Stakeholders were concerned that the
cost of widespread minimal damage
across counties within a State may not
be appropriately considered within the
concentration of damage factor. The
stakeholders wanted greater
consideration to widespread events that
are costly. FEMA recognizes that as a
practical matter, widespread minimal
damage spread across a larger
geographic area, can overwhelm a
State’s capability to adequately respond
to a disaster. Therefore, FEMA is
proposing a factor, discussed below,
that will evaluate the estimated cost of
assistance for a State.
In events where disasters cross state
lines, several emergency managers
recommended that a major disaster
declaration in one of the States should
automatically trigger a major disaster
declaration in the other affected State or
States. The Stafford Act requires that a
Governor’s request for a major disaster
declaration is based on a finding that
the disaster is of such severity and
magnitude to be beyond the capabilities
of the State and affected local
governments. 42 U.S.C. 5170(a). FEMA’s
major disaster recommendation to the
President is based on this same finding.
44 CFR 206.37(c). Each State has
different capabilities to respond to,
recover from, and mitigate the effects of
a disaster. Moreover a disaster that
crosses state lines may have differing
impacts in the affected states. As such,
it is unlikely that every event that
impacts multiple states will necessarily
be beyond each affected State’s
respective capabilities. Therefore, rather
than recommending that the President
automatically declare a disaster for each
adjoining State affected by a disaster,
FEMA proposes to continue to base its
major disaster declaration
recommendation on the capability of the
affected State and local governments to

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respond to the event, in accordance
with the requirements for a major
disaster declaration in the Stafford Act.
4. Impact on Businesses
Multiple members of the stakeholder
group asked FEMA to consider the
impact of an incident on businesses.
They believe that there is a direct
correlation between impacts on
businesses and a community’s ability to
recovery. As discussed below, FEMA is
proposing revised IA factors that
consider the impact to businesses
because the impacts of a disaster on
businesses may impede a community’s
ability to recover. Business losses alone,
however, will not result in a
Presidential major disaster declaration
that authorizes IA because the IA grant
programs do not provide assistance to
businesses. Instead, FEMA considers the
effect that business disruptions have on
disaster survivors. For example, some
survivors may lose work or become
unemployed due to a disaster, and may
otherwise be ineligible for standard
unemployment insurance benefits, thus
showing an increased need for DUA.
In addition, the Small Business
Administration (SBA) has separate
statutory authority and programs, which
may be available to assist businesses
absent a Presidential major disaster
declaration.
5. Decoupling Individual Assistance
Programs
Several members of the stakeholder
group suggested decoupling IA
programs so that States can request
specific IA programs instead of
receiving a generic major disaster
declaration that authorizes all IA
programs. The manner in which IA
programs are requested and authorized
is outside the scope of this proposed
rulemaking, which is to revise the
factors which FEMA uses to evaluate
the need for IA. However, current FEMA
policy and practice already allows
States to request all IA programs or
specific IA programs, as appropriate, via
its standardized form, Request for
Presidential Disaster Declaration Major
Disaster or Emergency, OMB Control
Number 1660–0009. This form allows
States to ‘‘check off’’ the IA programs
they are requesting.
Indeed, there have been recent major
disaster declarations, which authorized
Disaster Unemployment Assistance and
the Crisis Counseling Program, without
the other IA programs.4 These programs
4 For example South Dakota, DR–4155, Severe
Winter Storm, Snowstorm, and Flooding, Declared
November 8, 2013 (DUA and CCP), 78 FR 72093;
Colorado, DR–4134, Black Forest Wildfire, Declared
July 26, 2013 (DUA and CCP), 78 FR 51204;

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meet specific needs in the disasterimpacted community that may be
unrelated to physical disaster damage.
FEMA may consider recommending
authorization of these programs when
they are needed, even in the absence of
authorization of the Individuals and
Households Program, which is generally
directly tied to physical disaster
damage.

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6. Impacts to Community
FEMA received comments from the
stakeholder group suggesting that FEMA
assess the impacts from a disaster to a
community as a whole and not just
consider the damage that occurred to
individual houses and residences to
determine the need for a major disaster
declaration that authorizes IA and the
specific IA programs required. FEMA is
considering implementing this
recommendation in the proposed factor
described below entitled, ‘‘Impact to
Community Infrastructure.’’ FEMA
believes that by reporting and
examining community impacts instead
of just individual residence impacts,
FEMA and the State will have a better
understanding of the overall impact of
the disaster on the lives of individuals
in the community and which IA
programs would benefit disaster
survivors. As discussed in more detail
below, significant disruptions to
important services such as
transportation, schools, child care,
eldercare, or police services are likely to
impede recovery of that community and
may be indicative of a heightened need
for Federal assistance. In addition, such
impacts may show a specific need for
certain IA programs. For example, a
community may have relatively low
damage impacts to individual
residences but a large amount of the
community’s infrastructure, such as
schools or roads, may have been
destroyed. Such impacts can be quite
traumatic to the community and may
suggest a need for specific IA programs
such as the Crisis Counseling Program,
but not necessarily the Individuals and
Households Program. This information
will assist FEMA in determining which
IA programs to approve when granting
a major disaster declaration.
7. Linking Individual Assistance
Declarations With Public Assistance
Estimated Cost Factor
Some members of the stakeholder
group suggested aligning the financial
indicators for IA and Public Assistance
major disaster declarations. Currently,
FEMA uses the following factors to
Colorado, DR–4133, Royal Gorge Wildfire, Declared
July 26, 2013 (DUA only), 78 FR 51204.

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evaluate the need for a Public
Assistance major disaster declaration:
Estimated cost of assistance, localized
impacts, insurance coverage, hazard
mitigation, recent multiple disasters,
and programs of other Federal
assistance. These factors are focused
almost entirely on the impact of the
event on State, local, and tribal
governments, as well as certain private
non-profit organizations. Members of
the stakeholder group specifically
identified the estimated cost of
assistance factor as an approach that
could be applied to IA. Under this
factor, FEMA evaluates the estimated
cost of Federal and non-federal public
assistance against the statewide
population to give a measure of the per
capita impact within the State. 44 CFR
206.48(a)(1). That factor also establishes
a $1 million threshold, based on the
proposition that even the smallest
population States have the capability to
cover that level of public assistance
infrastructure damage. Under FEMA’s
current regulations, there is no
corresponding IA single indicator
designed to evaluate the total cost of the
disaster against the capability of a
requesting State.
FEMA agrees with the comments
received from emergency managers that
the fiscal capacity of a State should be
considered, but FEMA does not agree
that the Public Assistance per capita
indicator measure should be adopted for
this purpose. Instead, as discussed
below, FEMA proposes to use Total
Taxable Resources and Gross Domestic
Product by State as indicators of a
State’s fiscal capacity. For reasons
discussed below, FEMA believes that
these indicators, calculated by the U.S.
Department of Treasury and the U.S.
Commerce Department’s Bureau of
Economic Analysis (BEA), are more
appropriate for the purposes of
evaluating a State’s fiscal capacity and
its capability to meet the needs of
individuals after an event. In addition to
Total Taxable Resources and Gross
Domestic Product by State, FEMA will
consider the estimated cost of assistance
and States would also have the ability
to submit other information relevant to
their fiscal capacity. FEMA’s proposal of
a fiscal capacity factor is discussed
further below.
8. Thresholds
Some members of the stakeholder
group indicated that they would like a
specific ‘‘hard’’ threshold that indicates
whether a State would be eligible to
receive a major disaster declaration
authorizing IA. The stakeholders felt
that if there was an established
threshold it would give States a clear

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70121

idea of what level of damage and need
the State must have before requesting
assistance. The stakeholders believed
that this would prevent States from
spending the time compiling the data
and requesting a declaration when they
have not sustained enough damage to
qualify for a major disaster declaration
that authorizes IA.
Section 320 of the Stafford Act
prohibits the denial of assistance to a
geographic area based solely use of an
arithmetic formula or a sliding scale
based on income or population. 42
U.S.C. 5163. Although FEMA
determined that any hard thresholds or
inflexible formula would offend the
principles of Section 320,5 FEMA
believes that a systematic and objective
approach using standardized factors is
important for making informed and
consistent recommendations to the
President as well as enhancing
predictability for a State when they
request IA. As discussed throughout
section IV, FEMA is proposing to use
objective data from other Federal
agencies to inform the overall
assessment of the request, but, in
keeping with the principles of Section
320 and recognizing that every disaster
presents unique circumstances, this data
alone will not be independently
dispositive of whether FEMA
recommends the need for IA.
9. Insurance
Under its current regulations, FEMA
considers the amount of insurance
coverage when evaluating the need for
IA. 44 CFR 206.48(b)(5). FEMA received
comments from the stakeholder group
that said that this insurance coverage
factor could be viewed as a penalty for
people that have limited insurance or
insurance that does not cover the
specific disaster damage. FEMA does
not agree that the insurance coverage
factor penalizes disaster survivors for
maintaining private homeowner’s
insurance or flood insurance. FEMA’s
programs are not loss indemnification
programs. They do not ensure that an
applicant is returned to their predisaster living condition nor can they
cover all disaster-related losses. FEMA
assistance is not as comprehensive as
insurance coverage and the amount of
money that an insurance company will
5 As noted above, FEMA applies a $1 million
minimum threshold when evaluating requests for
Public Assistance. This is based upon a
determination that even the smallest states can be
expected to cover that level of damage and that
disaster assistance is intended to be supplemental
in nature. The minimum threshold is not a sliding
scale or an arithmetic formula, nor is it based on
population or income. Rather, it is related directly
to the degree of damage only. As such, there is no
conflict with section 320 of the Stafford Act.

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provide as a settlement is typically
greater than the dollar amount of
assistance FEMA is legally permitted to
provide.6 FEMA takes insurance
coverage into consideration under
current 44 CFR 206.48(b)(5) because,
under the Stafford Act, Federal disaster
assistance cannot duplicate assistance
from any source, including available
insurance proceeds. When evaluating
this factor, FEMA considers the type of
disaster damage when determining
whether there is insurance coverage. For
disaster survivors with insurance that
does not cover the specific disaster
damage, their losses are considered
uninsured.
Comments that FEMA received from
the stakeholder group raised additional
concern with the insurance data that
FEMA uses because it can be inaccurate
leading FEMA to under- or overestimate the actual insurance
penetration rates 7 within a community.
FEMA currently utilizes National Flood
Insurance Program (NFIP) data to
determine insurance penetration rates
for flood damages and Census data to
determine homeowners’ insurance
coverage percentages. FEMA uses the
percentage of owner-occupied homes
with a mortgage based on Census data
to determine an insurance penetration
rate. FEMA assumes that a home with
a mortgage would require home
insurance coverage. FEMA is pursuing
additional resources beyond NFIP and
Census data to verify insurance
penetration rates in order to have the
most accurate insurance information
available. FEMA is requesting that
stakeholders and the public provide
information and suggestions on
potential sources of data for the most
accurate insurance information. FEMA
will consider suggestions during the
development of the final rule.

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10. Homes in Foreclosure
FEMA received comments from the
stakeholder group related to homes in
foreclosure. Some commenters stated
that if an area with a high foreclosure
rate is affected by a disaster, these
foreclosed homes without an owner
could be a greater burden to the State in
6 For disasters occurring in Fiscal Year 2016 the
maximum amount of financial assistance provided
to an individual or household under section 408 of
the Stafford Act (IHP) with respect to any single
emergency or major disaster is $33,000. See 80 FR
62086, Oct. 15, 2015. This amount is adjusted
annually based on the Consumer Price Index for All
Urban Consumers as calculated by the Department
of Labor, Bureau of Labor Statistics.
7 Insurance coverage rates and insurance
penetration rates are both currently captured in 44
CFR 206.48(b)(5). In the new proposed regulation,
both of these insurance rates will be captured at
206.48(b)(2)(vi).

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the recovery process. FEMA considered
this information and has preliminarily
concluded that foreclosure data should
not be specified in our evaluation
factors. FEMA’s IA programs do not
provide any form of assistance for
foreclosed homes. Repair assistance is
available only for owner-occupied
primary residences. As such, homes
without an owner, or homes owned by
a bank or other creditor would not be
eligible for assistance. FEMA recognizes
that high levels of foreclosure may be
associated with economic difficulties in
the affected area that could also
negatively impact a community’s ability
to recover. However, FEMA believes
other factors including poverty level,
pre-disaster unemployment, and per
capita personal income will be adequate
indicators of economic health in most
circumstances. If a State believes that
homes in foreclosure will impact their
capability to respond to the disaster,
then the State may articulate this
concern in the narrative portion of their
declaration request. FEMA considers all
relevant information provided in a
State’s request. 44 CFR 206.48.
11. Incentives for State Sponsored IA
Programs
FEMA received comments from the
stakeholder group stating that FEMA
should provide incentives for States to
have their own IA programs.
Commenters stated that currently there
is no consideration by FEMA of the
disasters that are paid for by States and
that States should not be penalized for
having a program that assists its citizens
during the time it takes for PDAs to be
completed and a major disaster
declaration authorized. FEMA agrees
with the comments received from
emergency managers that any efforts or
programs to help citizens by a State
should be considered. As discussed
below in the ‘‘Planning After Prior
Disasters’’ factor, FEMA proposes to
include consideration of any planning
and disaster relief programs a State
establishes after a prior disaster because
States are ultimately responsible for the
well-being of their citizens and therefore
should continuously evaluate and
improve their disaster planning and
relief programs based on lessons learned
from previous disasters.
IV. Discussion of the Proposed Rule
This rule proposes to implement
Section 1109 of SRIA, which requires
FEMA to revise and update through
rulemaking the Individual Assistance
factors that are used to make a major
disaster recommendation to the
President. States are not required to
provide information on every single

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factor listed below; the amount of
information and data provided by each
State is voluntary. However, the failure
of a State to provide sufficient evidence
that supplemental Federal assistance is
necessary may result in a delay or
possibly denial of a request for a major
disaster declaration authorizing IA.
As is currently the practice, FEMA
will continue to use a myriad of factors
and data to formulate its
recommendations to the President on
major disaster declarations that
authorize IA. No single data point or
factor would determine on its own
FEMA’s ultimate recommendation nor
would any single factor necessarily
affect the President’s ultimate
determination of whether a major
disaster declaration authorizing IA is
warranted. The proposed factors would
not limit the President’s discretion
regarding major disaster declarations.
FEMA reviewed the current factors and
proposes to revise the current factors as
follows.
A. 44 CFR 206.48ÐParagraph (b)(1)
State Fiscal Capacity and Resource
Availability
FEMA is proposing to add at 44 CFR
206.48(b)(1) a factor entitled ‘‘State
Fiscal Capacity and Resource
Availability.’’ The factors discussed
below will be used by FEMA to evaluate
a State’s fiscal capacity to respond to a
disaster as well as a State’s available
resources that can or have been
committed to the disaster recovery
process.
Fiscal Capacity. FEMA is proposing to
evaluate a State’s fiscal capacity to
respond to and recover from a disaster
in 44 CFR 206.48(b)(1)(i)(A)-(D). As
discussed above, major disaster
declarations are based upon a finding
that the event is of such severity and
magnitude that an effective response is
beyond the capabilities of the State and
affected local governments. Economic
conditions of the State and affected
local governments are clearly relevant to
such a finding. However, the current
regulations do not specifically include
consideration of economic factors that
could affect a State’s capability to
respond to or recover from a disaster.
The proposed data points will help
FEMA evaluate through independently
calculated data whether a State is
financially overwhelmed and unable to
adequately respond to a disaster.
In addition, the United States
Government Accountability Office
(GAO) has suggested in multiple
reports 8 that FEMA should incorporate
8 United States Government Accountability
Office, FEDERAL DISASTER ASSISTANCE:

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States’ fiscal capacity into its
considerations for recommendations on
disaster declarations to the President.
The GAO reports have historically
focused on fiscal capacity in FEMA’s
Public Assistance (PA) factor criteria,
but changes to the PA criteria are
outside the scope of this proposed rule.
FEMA believes that the same principle
applies to IA and PA, in that there is a
need to assess a State’s capacity to
respond and recover from a disaster on
its own when determining whether a
major disaster declaration is warranted
because Federal assistance is
supplemental. Each State’s capacity to
respond and recover varies based on the
circumstances of the disaster and the
State’s resources.
FEMA therefore proposes to include
in 44 CFR 206.48(b)(1)(i)(A)–(C) the
following three factors which will help
evaluate a State and local jurisdiction’s
fiscal capacity: (A) The Total Taxable
Resources (TTR) of the State,9 (B) the
Gross Domestic Product (GDP) by
State,10 (C) and the Per Capita Personal
Income by Local Area. FEMA
anticipates that these data points are
readily available so that the State can
discuss the data points in their request
for a major disaster declaration. These
publicly available data points,
calculated by third-party government
agencies, will allow FEMA to use
standardized data to evaluate the
economic capability of a State to
effectively respond to an event.
Improved Criteria Needed to Assess a Jurisdiction’s
Capability to Respond and Recover on Its Own,
GAO–12–838, September 2012. Available at:
http://www.gao.gov/assets/650/648162.pdf. United
States Government Accountability Office,
DISASTER ASSISTANCE: Improvement Needed in
Disaster Declaration Criteria and Eligibility
Assurance Procedures, August 2001. Available at:
http://www.gao.gov/assets/240/232622.pdf.
9 For a more detailed discussion of the
methodology estimating the total taxable resources
(TTR) of the State, please refer to Dep’t of the
Treasury, Treasury Methodology for Estimating
Total Taxable Resources (TTR) (last revised Nov.
2002), http://www.treasury.gov/resource-center/
economic-policy/Documents/nmpubsum.pdf. This
document is also available in the docket for this
rulemaking. The data on TTR by State is available
at http://www.treasury.gov/resource-center/
economic-policy/taxable-resources/Pages/TotalTaxable-Resources.aspx. FEMA provides this Web
site for reference purposes, the Web site may
change based on U.S. Treasury’s future actions, and
FEMA will adjust its use of the Web page and data
as necessary.
10 Gross Domestic Product of the State was
formerly referred to as Gross State Product. For a
more detailed discussion of the methodology
estimating the Gross Domestic Product of the State,
please refer to http://bea.gov/regional/pdf/gsp/
GDPState.pdf. This document is also available in
the docket for this rulemaking. An example of GDP
by State is available at http://www.bea.gov/
newsreleases/regional/gdp_state/gsp_
newsrelease.htm; however, FEMA will use updated
data as new information is published.

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The TTR of the State is an annual
estimate of the relative fiscal capacity of
a State, calculated by the U.S.
Department of Treasury. TTR is defined
as the unduplicated sum of the income
flows produced within a State and the
income flows, received by its residents,
which a State could potentially tax.
Calculation of the TTR is based on the
GDP by State and additional accounting
for resident earnings (wages, salaries,
proprietor’s income, etc.) from out-ofstate, and resident dividend and interest
income, as well as reduction for
components that are presumed not
taxable by States (employee and
employer contributions to social
insurance, federal indirect business
taxes, federal civilian enterprises
surplus/deficit). While TTR does not
consider the actual fiscal choices made
by the States, it does reflect their
potential resources. Increases or
decreases in TTR could indicate a
strengthening or declining State
economy for FEMA to consider when
making a determination of the State’s
capacity. In summary, TTR is a flow
concept, a comprehensive measure of all
the income flows a State can potentially
tax. TTR data is updated annually with
a two year lag in the data.
The GDP by State is calculated by the
BEA.11 GDP by State estimates are
measured as the sum of the distributions
by industry and state of the components
of gross domestic income which is the
sum of the costs incurred and incomes
earned in the production of GDP.
Currently, TTR is only provided for the
fifty States and the District of
Columbia,12 but not the territories; but
GDP by State includes calculations for
U.S. territories.13 FEMA would use GDP
by State primarily as an alternative
fiscal capacity measure when the TTR of
an area is unavailable. GDP by State
may also be used by a State when their
TTR is inaccurate due to the two year
lag in TTR data. It is possible that a
State’s TTR data could be strong or
trending upwards when in fact recent
events may have caused a significant
drop in the State fiscal capacity that is
not yet reflected. This significant drop
could be caused by, for instance, a
11 GDP by State is a component of the TTR
calculation.
12 The District of Columbia’s TTR does not
include income earned by out-of-state commuters.
Since the District of Columbia is proscribed by
Federal law from taxing the earnings of commuters
from outside its borders, the U.S. Treasury has
subtracted the earnings of non-residents (commuter
income).
13 GDP by State data is currently available from
the BEA for the following territories: Virgin Islands,
Guam, American Samoa, and the Commonwealth of
the Northern Mariana Islands. The U.S. Census
publishes GDP for Puerto Rico.

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previous disaster or a financial
downturn. Additionally, if a disaster
had a significant amount of damages
and impacts, so much so that it could
have a major impact on the real or
actual TTR, FEMA would likely
recommend granting IA, assuming the
damages were not covered by home,
property, or flood insurance and IA
assistance would not duplicate benefits.
TTR is one data point along with
numerous others and will not on its
own determine FEMA’s
recommendation. States also have the
opportunity, as they have in the past, to
tell FEMA how their economy is
impacted by the disaster and previous
disasters. The State may also present,
and FEMA will evaluate, the GDP trend
in addition to simply the TTR data.
Generally, FEMA assumes a State
with a low TTR may have a lower
threshold for requiring supplemental
Federal assistance than a State with a
higher TTR because its economy may
not be as resilient against the increased
financial burdens that are attributed to
a large disaster. FEMA assumes
territories with lower GDP may have a
relatively lower threshold for requiring
Federal assistance. While a higher TTR
or GDP are indicative of greater fiscal
capability, FEMA recognizes that there
are disasters that are so large or so
destructive as to overwhelm even the
most fiscally capable States.
Per capita personal income by local
area is calculated by the BEA,14 and is
the personal income of the residents of
a given area divided by the resident
population of the area. BEA uses the
Census Bureau’s annual midyear
population estimates when computing
the per capita personal income. FEMA
anticipates using per capita personal
income by local area as a measure to
better assess the need for supplemental
Federal assistance within each local
area. A local area with a relatively low
per capita personal income that is
affected by a disaster may have a lower
threshold for requiring supplemental
Federal assistance. Local governments
in areas with low per capita personal
income will typically have lower tax
bases and therefore may have fewer
resources available to help local
residents impacted by a disaster, which
may indicate a lower threshold for
requiring supplemental Federal
assistance. Per capita personal income
by local area when considered
holistically with TTR (and when
14 Data on per capita personal income is available
on the BEA’s ‘‘Local Areas Personal Income &
Employment’’ Table CA1. FEMA may need to
update this source if the BEA provides a new table
for per capita personal income, and it is provided
here for clarification purposes only.

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appropriate GDP by State) will help to
identify areas of concentrated need at
the micro local area and individual level
in addition to the macro State level.
FEMA also proposes to include at 44
CFR 206.48(b)(1)(i)(D) a factor entitled
‘‘Other Factors.’’ ‘‘Other Factors’’ is
included to explicitly prompt the State
to raise and discuss any other additional
factors related to the State’s fiscal
capacity, i.e., burdens on a State
treasury or a State’s inability to collect
funds. This factor will encourage a State
to provide an explanation of a State’s
fiscal capacity that might not be
captured or accurately reflected in the
above factors. A State may have an
extraordinary fiscal circumstance that is
not reflected in the above factors and
FEMA encourages the State to discuss
the circumstances. For example, a
hurricane may cause extensive damage
in a coastal area and negatively impact
tourism, which in turn, will have a
negative impact on the tax base and
fiscal capacity.
Resource Availability. FEMA
proposes to include at 44 CFR
206.48(b)(1)(ii) a factor entitled
‘‘Resource Availability.’’ Federal
disaster assistance is supplemental in
nature. FEMA’s current regulations do
not provide for the level of granularity
and detail for FEMA to fully evaluate
what and where the resource shortfalls
are for a community and State that was
affected by a disaster. ‘‘Resource
Availability’’ will be an evaluation of
the disaster assistance resources
available from State, Tribal, and local
governments as well as nongovernmental organizations and the
private sector so that FEMA can
determine where, if any, gaps in
resources exist. This factor also provides
for consideration of those circumstances
that may prevent a State from having
sufficient resources to devote to the
disaster recovery process. Supplemental
Federal assistance under the Stafford
Act is not warranted or necessary if a
State’s disaster-caused needs can be met
by the available resources provided by
a State, Tribal, local governments, nongovernmental organizations, or the
private sector.
FEMA is proposing to include at 44
CFR 206.48(b)(1)(ii)(A)–(D) four factors
that will enable FEMA to fully evaluate
a State’s available resources post
disaster: (1) State, Tribal, and local
government, Non-Governmental
Organizations (NGO), and Private Sector
Activity; (2) Cumulative Effect of Recent
Disasters; (3) State Services; and (4)
Planning After Prior Disasters.
In current regulations, FEMA
evaluates voluntary agency assistance to
determine the need for assistance to

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individuals under the Stafford Act. 44
CFR 206.48(b)(4). While the current
factor’s title is ‘‘Voluntary agency
assistance,’’ both State and local
government programs are included.
FEMA is clarifying the inclusion of
State and local government programs
and is also expanding 44 CFR
206.48(b)(1)(ii)(A) to include private
sector assistance. FEMA is also
specifying Tribal government assistance,
which was previously considered under
local government programs. FEMA is
proposing this as a factor because the
level of assistance available to disaster
survivors from State, Tribal, and local
government, NGOs, and the private
sector, may offset a need or reveal an
increased need for supplemental
assistance. Assistance provided by
State, Tribal, and local government,
NGOs, and the private sector can
include but is not limited to Emergency
Management Assistance Compact
(EMAC) resources, sheltering, housing
programs, feeding, mental health
services, child care, elder care,
reunification services, clean up kits,
blankets and cots, financial assistance,
and other donations.
This factor is an attempt to include
the ‘‘Whole Community’’ approach to
emergency management that reinforces
the fact that FEMA is only one part of
our nation’s emergency management
team; that FEMA must evaluate all of
the resources of the collective team in
preparing for, protecting against,
responding to, recovering from and
mitigating against all hazards; and that
collectively we must meet the needs of
the entire community in each of these
areas. FEMA fully recognizes that a
government-centric approach to
emergency management is not enough
to meet the challenges posed by a
catastrophic incident. When the
community is engaged in emergency
management, it becomes empowered to
identify its needs and the existing
resources that may be used to address
them. Collectively, we can determine
the best ways to organize and strengthen
community assets, capacities, and
interests. This allows us, as a nation, to
expand our reach and deliver services
more efficiently and cost effectively to
build, sustain, and improve our
capability to prepare for, protect against,
respond to, recover from, and mitigate
all hazards. The ‘‘Whole Community’’
approach is an ongoing component of
the nation’s larger, coordinated effort to
enhance emergency planning and
strengthen the nation’s overall level of
preparedness.
FEMA proposes to add a new factor
‘‘Cumulative Effect of Recent Disasters,’’
at 44 CFR 206.48(b)(1)(ii)(B), to evaluate

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a State’s disaster history, both
Presidential (public and individual
assistance) and gubernatorial disaster
declarations, for the previous 24-month
period. FEMA is particularly interested
in information from a State highlighting
any disasters that have occurred within
the State’s current budget cycle. FEMA
is proposing this as a factor because
multiple disasters in a 24-month period,
and particularly within one State budget
cycle, may significantly strain a State
budget and reduce the State’s capability
to adequately respond to and recover
from a disaster without supplemental
Federal assistance. In addition, pursuant
to FEMA’s regulations, at 44 CFR
206.48(a)(5), in evaluating the need for
assistance under the Public Assistance
program, FEMA considers the disaster
history of the State for the last 12-month
period. FEMA is requesting 24 months
of State disaster history data because it
closely aligns with the length of time for
IA programs. For example, IHP
assistance is available for 18 months
and DCMP is available for 24 months
from the date of a major disaster
declaration. A State with an open
disaster period that is affected by
another disaster might have various
unique issues related to recovery and
the compounded effects of two disasters
within a short amount of time. Review
of disaster activity occurring within the
past 24 months will help to capture any
ongoing disaster activity where
individuals may still be receiving IHP
assistance. If the length of time were
limited to only 12 months, this factor
might not identify that the State
currently has an open major disaster
declaration where individuals are
potentially still receiving FEMA IA
assistance. This time period will also
align with most State government fiscal
cycles, which are typically one or two
years. An unanticipated number of
disasters within a fiscal cycle may
contribute to budget shortfalls that may
render a State less able to respond to an
event.
FEMA is proposing a new factor,
‘‘State Services,’’ at 44 CFR
206.48(b)(1)(ii)(C). Under this factor,
FEMA would evaluate information
regarding any circumstances that
prevent a State from having the
resources to provide sufficient services
to its citizens. FEMA strongly believes
that it is important for a State to have
pre-identified funding sources or
sufficient disaster relief funds or
programs that can be utilized to assist
its citizens after a disaster. A State
requesting a major disaster declaration
should address the reasons why the
State does not have sufficient funds, or

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why the funding sources are insufficient
to meet the needs of its citizens.
Finally, under the ‘‘Resource
Availability’’ factor, FEMA is proposing
to consider a State’s ‘‘Planning After
Prior Disasters,’’ at 44 CFR
206.48(b)(1)(ii)(D). Federal disaster
assistance is supplemental and is not
intended to take the place of State
disaster assistance programs. States are
strongly encouraged to develop and
continuously improve their own
disaster assistance programs. For this
factor, States should identify any new
and existing individual assistance
programs as well as any improvements
to existing individual assistance
programs made as a result of previous
disasters. States that continually fail to
address limitations or shortfalls
identified by FEMA or the State after
previous events will receive negative
consideration under this factor. FEMA
is proposing this as a factor because
States are ultimately responsible for the
well-being of their citizens and therefore
should continuously evaluate and
improve their disaster planning and
relief programs based on lessons learned
from previous disasters.

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B. 44 CFR 206.48ÐParagraph (b)(2)
Uninsured Home and Personal Property
Losses
Under FEMA’s current regulations,
FEMA evaluates the concentration of
damages to individuals. 44 CFR
206.48(b)(1). FEMA also considers the
amount of insurance coverage pursuant
to 44 CFR 206.48(b)(5). FEMA is
proposing to incorporate both of the
current factors, as well as additional
information collected during the PDA
process, into a new factor entitled
‘‘Uninsured Home and Personal
Property Losses’’ in a new 44 CFR
206.48(b)(2). As described above in
section (III)(A)(1) of the Background
section, FEMA and the State participate
in the joint PDA process, which
includes an examination of the extent of
damage to individual residences. The
PDA data points help to illustrate the
extent of damage that a community has
sustained and help FEMA estimate the
probable grant assistance under the
Individuals and Households Program.
The proposed data points save FEMA
time when evaluating a major disaster
declaration request because the
requested data has already been
evaluated and validated by FEMA
during the joint PDA process. FEMA
currently collects this information via
the joint PDA process and uses them
when evaluating requests for major

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disaster declaration.15 This proposed
factor will more accurately describe the
information collected and evaluated
during joint PDAs.
The first proposed data point is the
cause of damage in a new paragraph 44
CFR 206.48(b)(2)(i). FEMA is requesting
this information in part because it is
directly relates to insurance coverage.
The cause of disaster damage refers to
the peril that caused the disaster
damage such as a tornado or wind
driven rain. Insurance policies typically
only cover damage resulting from a
specific peril or perils. FEMA is legally
prohibited from duplicating insurance
proceeds when providing disaster
assistance and must know the level of
insurance coverage and the cause of the
damage to estimate the potential amount
of Federal IA available.
The second proposed data point is
information on the jurisdictions
impacted and the concentration of
damages in a new paragraph 44 CFR
206.48(b)(2)(ii). FEMA is requesting this
information because it will highlight the
counties within a State that may require
IA as well as whether the damages were
in one concentrated area of the State or
widespread. This information will be
gathered during the PDA process by
either the damage assessment teams or
via geographic information system (GIS)
data. IA is typically authorized based on
county or parish jurisdictional
boundaries.
The third proposed data point is the
number of homes impacted and degree
of damage in a new paragraph 44 CFR
206.48(b)(2)(iii). Degree of damage refers
to the extent of disaster damage and its
impact on the habitability of a home.
FEMA is requesting this information
because it illustrates how a community
was affected and what types and the
extent of IA that may be needed for the
community. This information is
typically given at both the county or
parish jurisdictional level and the State
wide level.
The fourth proposed data point is the
estimated cost of assistance in a new
paragraph 44 CFR 206.48(b)(2)(iv). The
estimated cost of assistance is typically
generated by the joint FEMA-State PDA
and is already currently collected in
FEMA’s current declarations process.
The estimated cost of damage will help
FEMA gather information about the cost
of a disaster and the potential amount
of FEMA assistance that would be
awarded. This data point is often
determined using information obtained
15 Preliminary Damage Assessment for Individual
Assistance Operations Manual (9327.2). Available
at: http://www.fema.gov/media-library/assets/
documents/29569.

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70125

from the other data points outlined in
this factor. This data point is important
because it will capture the probable
grant assistance that will be awarded for
personal property in addition to grant
assistance for housing.
The fifth proposed data point is
information on the homeownership rate
of impacted homes in a new paragraph
44 CFR 206.48(b)(2)(v). This factor is an
estimated rate of the homeownership of
impacted homes in the disaster-affected
area. FEMA may provide assistance for
real property repair or replacement to
homeowners for their primary residence
and rental assistance to homeowners or
renters; therefore, it is important to
know homeownership rates in order to
estimate probable assistance.
The sixth proposed data point is
information on the percentage of
affected households with insurance
coverage appropriate to the peril in a
new paragraph 44 CFR 206.48(b)(2)(vi).
FEMA is requesting this information
because FEMA will consider the
percentage of affected households with
insurance coverage as part of the
evaluation of whether the IHP is
necessary and to assist in determining
probable grant assistance. Insurance
appropriate to the peril is, for example,
if the cause of the damage is wind and
the homeowner has homeowner’s
insurance, then the homeowner has
insurance appropriate to the peril. If the
homeowner has homeowner’s
insurance, but no flood insurance, and
the cause of the damage is flooding,
then the homeowner does not have
insurance appropriate to the peril. If a
homeowner has sufficient and
appropriate insurance to the peril,
Federal assistance may be limited to
ONA, CCP, DCMP, or DUA programs
because the Stafford Act prohibits
FEMA from duplicating benefits
received from any other source,
including insurance proceeds. The State
should attempt to provide this
information through the State insurance
commissioner or office and other
appropriate sources. FEMA will verify
the data using the best analysis methods
available. FEMA currently utilizes
National Flood Insurance Program
(NFIP) data to determine insurance
penetration rates for flood damages and
Census data to determine homeowners’
insurance coverage percentages. Since
insurance coverage is not collected
during the Census, the percentage of
owner-occupied homes with a mortgage
is used to determine an insurance
penetration rate, due to assumption that
a home with a mortgage would require
home insurance coverage. FEMA is
pursuing additional resources beyond
NFIP and Census data to verify

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insurance penetration rates in order to
have the most accurate insurance
information available. As previously
mentioned in Section III(C)(9), FEMA is
requesting that stakeholders and the
public provide information and
suggestions on potential sources of data
for the most accurate insurance
information. FEMA will consider any
suggestions during the development of
the final rule.
Finally, the seventh proposed data
point is any other relevant preliminary
damage assessment data in a new
paragraph 44 CFR 206.48(b)(2)(vii).
FEMA is proposing this factor to
explicitly prompt the State to discuss
any other damage assessment
information that was gathered during
the joint FEMA-State PDA that the State
believes demonstrates that an effective
response is beyond the capability of the
State and affected local governments
and that supplemental Federal
assistance for individuals is appropriate.
C. 44 CFR 206.48ÐParagraph (b)(3)
Disaster Impacted Population Profile

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In FEMA’s current regulations at 44
CFR 206.48(b)(3), FEMA considers
special populations in evaluating the
need for assistance to individuals under
the Stafford Act. FEMA proposes to
expand on this current factor, in the
proposed factor ‘‘Disaster Impacted
Population Profile’’ at a revised 44 CFR
206.48(b)(3). Currently, in the ‘‘special
populations’’ factor FEMA considers
demographic information regarding low
income, elderly, or unemployed
populations that are affected by a major
disaster because those populations may
have a greater need for assistance. 44
CFR 206.48(b)(3). FEMA also considers
whether a State has any American
Indian or Alaskan Native Tribal
populations. 44 CFR 206.48(b)(3).
FEMA is proposing to consider
additional demographic data points
related to the disaster impacted
community. This information will help
FEMA to identify the specific issues or
obstacles that a community may face in
their disaster recovery. FEMA will
consider the following U.S. Census and
other Federal agency 16 demographic
16 Poverty data comes from the U.S. Census Small
Area Estimate Branch, ‘‘Poverty and Median Income
Estimates for Counties.’’ Supplemental Nutrition
Assistance Program data is from the U.S. Census’s
American Community Survey (ACS) using the
American FactFinder, Advanced Search,
Geographies: ‘‘All Counties within the United
States,’’ Topics: S2201, 5-year estimates.
Supplemental Security Income data comes from
ACS using the American FactFinder, Advanced
Search, Geographies: ‘‘All Counties within the
United States,’’ Topics: B19056, 5-year estimates.
The unemployment data at the state and county
level are respectively available at http://

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data points 17 in making a
recommendation for IA under a major
disaster declaration: (1) The percentage
of the population for whom poverty
status is determined; (2) the percentage
of the population already receiving
government assistance, such as
Supplemental Security Income and
Supplemental Nutrition Assistance
Program benefits; (3) the pre-disaster
unemployment rate; (4) the percentage
of the population that is 65 years or
older; (5) the percentage of the
population 18 years or younger; (6) the
percentage of the population with a
disability; and (7) the percentage of the
population who speak a language other
than English and speak English less
than ‘‘very well.’’ In addition, FEMA
will continue to consider any unique
considerations regarding American
Indian and Alaskan Native Tribal
populations raised in the State’s request
for a major disaster declaration, even if
such considerations are not be reflected
in the U.S. Census Bureau data. These
data points are readily available so that
the State can discuss the data points in
its request for a major disaster
declaration.
The proposed population
demographic data points are relevant to
all of FEMA’s IA programs and are a
valuable source of information to
determine if specific programs are
www.bls.gov/web/laus/laumstrk.htm and http://
www.bls.gov/lau/#cntyaa. Data on county
populations of ‘‘65 or Older’’ and ‘‘18 or Younger’’
data comes from the ACS using the American
FactFinder, Advanced Search, Geographies: ‘‘All
Counties within the United States,’’ Topics: DP05,
5-year estimates. Data on populations with a
disability comes from the ACS, American
FactFinder, Advanced Search, Geographies: ‘‘All
Counties within the United States,’’ Topics: S1810,
3-year estimates. Data on ‘‘percent of population
who speaks English less than very well’’ comes
from the ACS, American FactFinder, Advanced
Search, Geographies: ‘‘All Counties in the United
States,’’ Topics: B06007, 5-year estimates. Data on
American Indian and Alaska Native populations
comes from the ACS, American FactFinder,
Advanced Search, Geographies: ‘‘All Counties
within the United States,’’ Topics: DP05, 5-year
estimates. FEMA may update these sources to
account for future improvement and changes in the
U.S. Census, BLS, BEA, and Treasury data
reporting, and the sources are provided here for
example.
17 For definitions related to demographic data
points, please refer to the associated organizations
Web sites. For example, refer to U.S. Census Small
Area Income and Poverty Estimates definitions at
http://www.census.gov/did/www/saipe/methods/
statecounty/20102012county.html for percentage of
the population for whom poverty status is
determined. For a definition of the pre-disaster
unemployment rate, refer to Bureau of Labor Statics
at http://www.bls.gov/bls/glossary.htm and search
for the term ‘‘unemployment rate’’. The U.S. Census
glossary at http://www.census.gov/glossary and
American Community Survey also provide
definitions related to demographic data points
including the following terms: Assistance and
Subsidies, Age, Disability, Language Spoken at
Home, and Ability to Speak English.

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needed after a disaster. For example,
demographic information revealing a
large number of low income,
unemployed, or elderly populations in a
disaster area could indicate a need for
supplemental Federal assistance
because those populations may not have
a large amount of disposable income or
qualify for a Small Business
Administration (SBA) disaster loan.
With respect to demographic
information that reveals a large nonEnglish speaking population, this will
help FEMA to structure their outreach
efforts to ensure that any messaging
efforts are in the appropriate languages.
D. 44 CFR 206.48ÐParagraph (b)(4)
Impact to Community Infrastructure
In FEMA’s current regulations, at 44
CFR 206.48(b), FEMA considers the
degree of trauma to a State and to
communities when evaluating a State’s
need for IA. FEMA considers conditions
that might cause trauma, such as large
scale disruption of normal community
functions and services and emergency
needs such as extended or widespread
loss of power or water. 44 CFR
206.48(b)(2)(ii) and (iii). SRIA
specifically identified trauma as a factor
that required clarification as to the
specific conditions or losses that
contribute to trauma. FEMA proposes to
examine what was previously identified
as part of the ‘‘trauma’’ factor by
identifying and evaluating several more
objective factors which contribute to the
level of trauma caused by a disaster.18
The ‘‘Impact to Community
Infrastructure’’ factor at a proposed new
44 CFR 206.48(b)(4) includes several
considerations which relate to the level
of trauma, as well as considerations that
shed light on a community’s ability to
recover from a disaster. This factor has
three components: (1) Life-Saving and
Life-Sustaining Services; (2) Essential
Community Services; and (3)
Transportation Infrastructure and
Utilities. Significant levels of damage,
disruption, or destruction to any or all
of these components may hinder the
ability of individuals and families to
make a timely recovery, be indicative of
higher levels of trauma, and suggest an
increased need for supplemental
Federal assistance—for example Other
Needs Assistance, Crisis Counseling
Program, or Disaster Case Management
Program. FEMA anticipates information
on the three components will be
provided by the State.
18 FEMA is also providing additional clarity on
what constituted trauma in the Casualties factor
which can be found in the proposed new 44 CFR
206.48(b)(5) and is discussed below.

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FEMA is requesting information on an
activity or disruption that lasts for more
than 72 hours for each of the below
components. As a general matter
members of the public should be
prepared to potentially be on their own
at least 72 hours after a disaster.19 It
may take FEMA up to 72 hours to assess
and mobilize Federal assets to help a
State that is overwhelmed by a disaster.
In addition, preparing for at least this
amount of time will allow emergency
responders to focus on those individuals
requiring more immediate assistance.
Life-Saving and Life-Sustaining
Services. FEMA is proposing that a State
provide information regarding the
impact of the disaster on life-saving and
life-sustaining services for a period of
greater than 72 hours in a new
paragraph 44 CFR 206.48(b)(4)(i). FEMA
is specifically seeking information on
services such as, but not limited to,
police, fire/EMS, hospital/medical,
sewage, and water treatment services
because prolonged disruption may affect
the viability of a community and
necessitate survivor relocation. The
effects of a disaster will increase the
demand for life-saving and lifesustaining services and necessitate a
more robust response. Significant or
extended disruptions to these services
will hinder a community’s ability to
recover from a disaster.
Life-saving services are services that
provide an essential community
function that, if interrupted, will affect
public health and safety in a
community. Some typical examples of
life-saving services data that FEMA is
requesting are whether emergency
medical services such as ambulances,
fire services, police services, or hospital
services are affected by the disaster.
Life-sustaining services are services that
are required to support life and wellbeing within a community and are
necessary for the community to function
as normal. Some typical examples of
life-sustaining services data that FEMA
is requesting are whether any
community healthcare programs,
assistance to homebound individuals
such as Meals on Wheels, or food
providers such as grocery stores or
restaurants are affected by the disaster.
Essential Community Services. FEMA
is proposing that a State provide
19 See the following Web sites as examples: The
FEMA run national public service advertising (PSA)
campaign Web site http://www.ready.gov/build-akit; the Texas Division of Emergency Management
Web site http://www.txdps.state.tx.us/dem/
Preparedness/emerSupplyKits.htm; the San
Francisco Department of Emergency Management
Web site http://www.sf72.org/home; and the New
York City Office of Emergency Management Web
site http://www.nyc.gov/html/oem/html/get_
prepared/supplies.shtml.

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information regarding the impact on
essential community services for a
period greater than 72 hours in a new
paragraph 44 CFR 206.48(b)(4)(ii).
Essential community services are
services that improve the quality of life
for a person in a community but do not
sustain a person’s life. FEMA is
requesting information on the impact of
the disaster on essential community
services such as, but not limited to,
schools, social services programs and
providers, child care, and eldercare.
Information on the impact of the
disaster on essential community
services can include, for instance, the
number of schools closed, whether any
social service programs or providers
such as Meals on Wheels were affected
by the disaster, and the number of
providers of child care or eldercare in
the community that closed. Significant
or extended disruptions to these
services will hinder the affected
community’s ability to recover from a
disaster.
Transportation Infrastructure and
Utilities. FEMA is proposing that the
State provide information regarding the
impact of the disaster on transportation
infrastructure and utilities in a new
paragraph 44 CFR 206.48(b)(4)(iii).
Specifically, FEMA is seeking
information on the number of roads,
bridges, tunnels, and public transit
closures and utility outages of water,
power, sewage, and gas that last longer
than 72 hours. Transportation
infrastructure or utility disruptions can
render housing uninhabitable or
inaccessible for disaster survivors, affect
the delivery of life sustaining
commodities, provision of emergency
services, ability to shelter in place, and
efforts to rebuild. Significant or
extended disruptions to this
infrastructure will hinder the affected
community’s ability to recover from a
disaster.
E. 44 CFR 206.48ÐParagraph (b)(5)
Casualties
In FEMA’s current regulations, at 44
CFR 206.48(b)(2)(i), FEMA evaluates the
degree of trauma to a State and to
communities, including consideration
of ‘‘large numbers of injuries and
deaths.’’ As discussed above, SRIA
specifically directed FEMA to clarify the
factor related to trauma; the proposed
changes to the Impact to Community
Infrastructure factor, described above,
represent part of this effort.
In addition, FEMA is proposing in a
new 44 CFR 206.48(b)(5) that States
submit information on the number of
individuals who are missing, injured, or
deceased due to a disaster. FEMA
believes that this information may

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70127

indicate a heightened need for
supplemental Federal assistance
because casualties are clearly indicative
of the level of trauma in the affected
area. Moreover, each of the proposed
data points link to one or more types of
assistance under IA programs. The
estimated number of missing
individuals can highlight how traumatic
an event was for a community and
indicate a potential need for crisis
counseling. This information may also
be an indicator that additional injured
or deceased individuals may be
discovered during the course of the
disaster recovery. The estimated number
of injured individuals may also indicate
a need for crisis counseling as well as
medical or dental assistance under the
ONA provision of the Individuals and
Households Program. The estimated
number of deceased individuals may
indicate a need for crisis counseling as
well as funeral assistance under ONA.
These proposed data points are typically
provided by the State already.
F. 44 CFR 206.48ÐParagraph (b)(6)
Disaster Related Unemployment
In FEMA’s current regulations, FEMA
considers whether ‘‘special
populations,’’ such as the unemployed,
are affected by the disaster and whether
they may have a greater need for
assistance in 44 CFR 206.48(b)(3). As
discussed above, FEMA is proposing to
add a ‘‘Disaster Impacted Population
Profile’’ factor, which incorporates
consideration of a number of special
populations, including the percentage of
low-income, unemployed, and elderly
individuals within the population.
In addition, FEMA is proposing a new
factor, ‘‘Disaster Related
Unemployment,’’ in a new paragraph 44
CFR 206.48(b)(6) that will evaluate
unemployment in a different manner
than FEMA’s current regulations.
FEMA’s current regulations are focused
primarily on those that are unemployed
prior to the disaster. In this new factor,
FEMA will seek to identify individuals
that may have lost work or become
unemployed as a result of the disaster.
The Disaster Unemployment
Assistance program (DUA), operation of
which has been delegated to the
Department of Labor, 44 CFR 206.141,
provides unemployment benefits and reemployment services to individuals
who have become unemployed as a
result of a major disaster and who are
not eligible for regular State
unemployment insurance. The types of
workers who typically receive such
assistance are self-employed, service
industry workers, and seasonal workers
such as those employed in tourism,
fishing, or agriculture industries. In

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order to fully evaluate whether or not
DUA is appropriate, FEMA is requesting
that a State provide information on the
estimated number of disaster survivors
who lost work or became unemployed
due to a disaster and who do not qualify
for standard unemployment insurance.
In addition, FEMA is requesting that
a State provide information regarding
any major employers that are affected in
the area by the disaster because it may
highlight an additional need for the
community in their recovery efforts.
When a major employer in a community
is affected by a disaster, it can signal to
FEMA that the community will have a
prolonged recovery because a large
amount of individuals may be out of
work and unable to support their own
recovery efforts. This may further
indicate need for DUA and other IA
programs. FEMA anticipates that the
State will provide this information.

G. Principal Factors for Evaluating the
Need for the Individuals and
Households Program
FEMA is proposing that the principal
factors it will consider in evaluation of
any major disaster declaration request
for IHP will be the fiscal capacity of the
requesting State (44 CFR 206.48(b)(1)(i))
and the uninsured home and personal
property losses (44 CFR 206.46(b)(2)).
As discussed above, major disaster
declarations are based upon a finding
that the event is of such severity and
magnitude that effective response and
recovery is beyond the capabilities of
the State and affected local
governments. IHP provides grants and
direct assistance to eligible disaster
survivors who have necessary and
serious needs that they are unable to
meet through other means. In order to
determine the need for IHP, it is
important to evaluate the total estimated
need for such assistance resulting from

the event and to compare that estimated
need to the fiscal capability of the
requesting State.
FEMA evaluated major disaster
declaration requests including IHP
between January 2008 and July 2013
and determined that the uninsured
home and personal property losses’
estimated cost of assistance was an
important factor driving whether a
major disaster declaration authorizing
IHP was declared by the President.
FEMA found that 97% of requests
involving estimated costs of assistance
that were equal to or greater than $7.5
million were granted major disaster
declarations authorizing IHP, while only
6% of requests involving estimated
costs of assistance equal to or less than
$1.5 million were granted. Requests
falling between those numbers were
much more uncertain, with
approximately 44% granted, as reflected
in Table 1.

TABLE 1—ESTIMATED COST OF ASSISTANCE TO DECLARATION DECISION COMPARATIVE
Number of
disaster
requests

Dollar amount of estimated costs of
assistance
$7.5 million or more .....................................................................................................................
$1.5 million to $7.5 million ...........................................................................................................
$1.5 million or less .......................................................................................................................

32
87
34

Number of
disasters
declared
31
38
2

Percentage
of disasters
declared
97
44
6

* Based on major disaster declaration requests including IHP between January 2008 and July 2013.

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Similarly, FEMA found that the ratio
of IA Cost to Capacity (ICC),20 which is
the estimated cost of IA divided by the
State’s TTR in millions, was particularly
indicative of the declaration result
above and below certain levels. FEMA
conducted a review of 153 21 major
disaster declaration requests that
included IA that were submitted
between January 2008 to July 2013 to
determine if there would be any impact
from using TTR in assessing a State’s
need for a major disaster declaration
authorizing IA. Each State request
included an estimate of the costs from
the damages attributed to the disaster
event. FEMA retrieved the TTR per
State at the time of each request. For
each request, FEMA divided the
estimated cost by the State TTR in
millions. For example, if a State
20 See the discussion in V. Regulatory Analysis;
A. Executive Order 12866; 5. Impacts to Costs,
Benefits, and Transfer Payments; d. Transfer
Payments, for more detailed explanation of ICC and
these findings.
21 For the analysis on TTR, FEMA excluded
disaster declaration requests that did not include a
request for IA. FEMA also excluded duplicate
requests, U.S. territories’ requests (because there is
no TTR data available), requests without summaries
of the PDA data or with insufficient data, and
requests that involved an expedited decision.

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estimated $2,000,000 in IA costs and the
State’s TTR was $30,000,000,000, FEMA
divided $30,000,000,000 by $1,000,000
to get the State’s TTR in millions which
is $30,000. FEMA then divided
$2,000,000 by $30,000 to get the ratio of
IA Cost to Capacity (ICC) of 66.7.
Based on the ICC calculation for all
153 State requests, there is a general
trend that shows the greater the ICC
ratio for a major disaster declaration
request that included IA, especially
above 25, the more likely the request
would be granted. Additionally, the
lower the ICC ratio for a major disaster
declaration request that included IA,
especially below 10, the more likely the
request was denied. Major disaster
declaration requests for IA with an ICC
greater than 25 were granted 95% of the
time, while requests with an ICC below
10 were granted only 7% of the time.
Requests with ICCs falling in between
10 and 25 were granted approximately
half the time.
FEMA is not proposing to use these
numbers as a hard ‘‘threshold’’ or
incorporate them into regulation
because there is no one factor required
to receive a major disaster declaration
authorizing IA and we want to preserve
the President and FEMA’s discretion to

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consider the circumstances of each
event. Moreover, FEMA recognizes that
this kind of analysis can help identify
trends and ensure consistent
decisionmaking over time, but does not
always provide the full scope of
information necessary for FEMA to
make an informed recommendation.
However, FEMA believes that
providing these types of trends and
historic data is important to help guide
States in their consideration of whether
or not an event might warrant a major
disaster declaration authorizing IA. The
trends and historical data will also help
guide State planning with respect to
what level of IHP damage they should
expect to handle without supplemental
Federal assistance. This type of
planning guidance is consistent with the
original intent behind the table
currently in 44 CFR 206.48(b)(6). As
discussed above, the data in that table
eventually became out of date and it no
longer has any utility as a planning tool.
In order to ensure that the most useful
and up to date data and information are
available to States for guidance and
planning purposes, FEMA proposes to
compile and periodically publish
aggregate PDA data for major disaster
requests, including IHP. Currently,

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FEMA publishes Preliminary Damage
Assessment Reports 22 for every request
for a major disaster declaration. These
reports lay out the PDA data that was
provided in the Governor’s request and
indicate whether or not the request
resulted in a declaration. Upon
finalization of new IA declaration
factors, FEMA intends to continue
publishing these reports with new
declaration factors. In addition, FEMA
intends to periodically publish the
aggregate data from these reports in a
format that will assist States in
evaluating the likelihood of receiving a
major disaster declaration for a specific
event and for planning for future events.
By publishing this information in
periodic guidance, and not codifying it
in regulation, FEMA would ensure that
the data remains timely and useful.
In addition to publishing PDA data,
FEMA intends to publish guidance that
provides clarity to States on how FEMA
would utilize the new proposed factors
when it evaluates major disaster
declaration requests that include IA.
This guidance will provide additional
detail regarding analysis of the principal
factors as well as other factors identified
in the proposed rule. FEMA intends to
publish the guidance for public
comment to this rulemaking docket, and
FEMA will develop the final rule and
guidance as a pair taking into
consideration all comments received on
the NPRM and guidance. Over time,
FEMA may update this guidance as
necessary. The provision of more
specific details regarding evaluation of

the specific factors through guidance
will allow FEMA to be more nimble in
adapting to changing circumstances or
changing priorities, while also creating
an important transparency benefit for
State and local governments.
It is important to note that certain
disasters may present unique
circumstances which cannot be
anticipated by regulation or policy
guidance, as such States may submit,
and FEMA may evaluate, all relevant
information. In addition, FEMA only
evaluates requests and makes
recommendations to the President. The
sole discretion to approve or deny any
request for major disaster declaration
request lies with the President.
V. Regulatory Analysis
A. Executive Order 12866, Regulatory
Planning and Review and Executive
Order 13563, Improving Regulation and
Regulatory Review
1. Executive Summary & A–4
Accounting Statement
Executive Orders 13563 and 12866
direct agencies to assess the costs and
benefits of available regulatory
alternatives and, if regulation is
necessary, to select regulatory
approaches that maximize net benefits
(including potential economic,
environmental, public health and safety
effects, distributive impacts, and
equity). Executive Order 13563
emphasizes the importance of
quantifying both costs and benefits, of
reducing costs, of harmonizing rules,

70129

and of promoting flexibility. This rule
has been designated a ‘‘significant
regulatory action’’ although not
economically significant, under section
3(f) of Executive Order 12866.
Accordingly, the rule has been reviewed
by the Office of Management and
Budget.
This proposed rule would impose a
cost burden of $3,752 in the first year
of implementation and $1,609 annually
for subsequent years. During the ten
year period following the final rule’s
effective date, the total cost would be
$18,233 undiscounted. The ten year
present value total cost would be
$15,806 and $13,302 if discounted at
three and seven percent, respectively.
The small annualized cost of the
proposed rule would be $1,853 at three
percent and $1,894 at seven percent.23
Despite the newly identified factors,
this proposed rule would not change the
total amount of assistance available to
individuals and households because
much of the proposed rule codifies
FEMA’s evolving declarations practice
since 1999. FEMA does not anticipate
the two newly proposed factors would
change the total amount of individual
assistance as well, which is discussed in
the following sections. Benefits of the
proposed rule include clarifying
FEMA’s existing practices, reducing
processing time for requests due to
clarifications, and providing States with
notice of the new factor information
FEMA is proposing to consider as part
of the IA declarations process.

A–4 ACCOUNTING TABLE
Estimates
Category

Primary
estimate

Low estimate

Units
High estimate

Year dollar

Discount
rate

Notes
Period covered

Benefits
Annualized Monetized
($millions/year).
Annualized Quantified ..........

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Qualitative ............................

None

None

None

NA

NA

NA ........................

Not Quantified.

None

None

None

NA

NA

NA ........................

Not Quantified.

The proposed rule more clearly identifies declaration factors FEMA considers in making its
recommendation to the President on a major disaster declaration authorizing IA. It codifies
many factors FEMA currently considers but are not specifically identified in 44 CFR
206.48(b). The proposed rule may also result in regulatory efficiencies due to reduced
process time and effort (back and forth). In addition, the newly identified factors would provide FEMA additional information on a requesting State’s fiscal capacity and resource
availability.
Costs

Annualized Monetized .........

$1,894.0
$1,853.0

22 These can be found on FEMA’s Web site at:
https://www.fema.gov/preliminary-damageassessment-reports.

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$0.0
$0.0

$0.0
$0.0

2013
2013

23 FEMA includes estimates of discounted present
value costs and annualized costs according to
guidance from OMB Circular A–4. Office of
Management and Budget, Published September 17,

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7%
3%

10 Years ..............
10 Years.

None.

2003. Available at: http://www.whitehouse.gov/
sites/default/files/omb/assets/omb/circulars/a004/
a-4.pdf.

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Federal Register / Vol. 80, No. 218 / Thursday, November 12, 2015 / Proposed Rules
A–4 ACCOUNTING TABLE—Continued
Estimates
Category

Primary
estimate

Annualized Quantified ..........
Qualitative ............................

Low estimate

None

Units
High estimate

None

Year dollar

None

Discount
rate

Notes
Period covered

2013

N/A

10 Years.

None.
Transfers

Federal Annualized Monetized ($millions/year).
Other Annualized Monetized
($millions/year).

None

None

None

NA

7%

NA ........................

None.

None

None

None

NA

7%

NA ........................

None.

N/A

NA

NA ........................

None.

Effects
State, Local, and/or Tribal
Government.
Small Business ....................
Wages ..................................
Growth .................................

None

None

FEMA certifies under 5 U.S.C. 605(b) that this proposed rule would not, if promulgated, have a significant
economic impact on a substantial number of small entities.
None.
Not Measured.

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2. Need for Regulatory Action
FEMA is proposing this rule to
provide clarity on the IA declaration
factors that FEMA currently considers
in support of its recommendation to the
President on whether a major disaster
declaration authorizing IA is warranted.
The additional clarity may reduce
delays in the declaration process by
decreasing back and forth between
States and FEMA in the declarations
process. FEMA is also proposing two
new factors on Fiscal Capacity and
Resource Availability to provide
additional context on potential disaster
situations. The proposed rule would
also satisfy the requirements outlined in
Section 1109 of SRIA.
3. Affected Population
Requests for a Federal major disaster
declaration authorizing IA must come
from a State’s Governor. 44 CFR
206.36(a). As such, the proposed rule
affects the 56 States that are eligible to
request a Presidential major disaster
declaration authorizing IA. States are
defined in 44 CFR 206.2(a)(22), and
include any State of the United States,
the District of Columbia, Puerto Rico,
the Virgin Islands, Guam, American
Samoa, and the Commonwealth of the
Northern Mariana Islands.
Although Section 1110 of SRIA
amended the Stafford Act to allow
Federally recognized Indian Tribal
governments to submit requests for
emergency or major disaster
declarations, SRIA charged FEMA to
implement that authority separately by
rulemaking. Thus such declarations
would be covered by a separate process

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and are not included in this proposed
rule. Local governments are also not
affected by the proposed rule because
the disaster related information local
governments provide to the State is part
of their current disaster response
process to provide situational awareness
and ascertain need for further
assistance.
4. Current Baseline and Changes From
Proposed Rule
The proposed rule largely codifies
many considerations that FEMA has
applied for several years under the
‘‘other relevant information’’ prong of
the regulation but were not specifically
identified in FEMA regulations. FEMA
reviewed State major disaster
declaration letters that requested IA for
numerous disasters and found that
States typically included more
information and data than what is
specifically identified in the current
regulations at 44 CFR 206.48(b).24 As
such, costs for States would be
minimally impacted by the proposed
rule because States currently provide
24 FEMA reviewed a sample of State major
disaster declaration request letters and found that
each letter was unique and provided many of the
data points and information that would be
explicitly included under the proposed regulation.
The information submitted will vary depending on
the disaster, the scope of damages and the need for
assistance. FEMA does not require every data point
to be submitted to get a declaration. Some requests
will have more data or information, while other
requests will have less. For instance, in more severe
events to less resilient areas, the States did not need
to provide a large amount of information to get a
declaration, because it was evident to FEMA and
the White House that the individual assistance
needs were outside the capacity of the requesting
State.

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FEMA with the proposed information
for major disaster declaration requests,
as appropriate. A marginal analysis
table evaluating each of the
considerations is provided later in the
preamble and a more detailed table is
provided in the rulemaking docket.
In addition, as stated previously,
Indian Tribal governments (requesting
assistance through the State) and local
governments currently provide the
proposed factor information for their
local area and affected residents to the
State in support of a State’s request and
its determination on whether a request
for a major disaster declaration
authorizing IA is warranted. Therefore,
FEMA anticipates Indian Tribal
governments (requesting assistance
through the State) and local
governments will not incur additional
costs by the proposed regulation.
FEMA is also proposing to include
two new factors: Fiscal Capacity and
Resource Availability. Both new factors
have small burden increases associated
with obtaining the additional
information. FEMA considers Fiscal
Capacity data solely a Federal burden
increase since it intends to collect the
information. Resource Availability
information is considered a State
burden increase since States would
provide such information. However,
FEMA does not anticipate either new
factor to impact the number of IA
declaration requests received or the
amount of IA assistance provided, and
therefore no impact to transfer
payments.
Fiscal Capacity. FEMA recognizes
that each State’s capacity to respond

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and recover varies based on the
circumstances of the disaster and the
State’s resources. FEMA intends to
include the consideration of fiscal
capacity data to better evaluate a State’s
ability to adequately respond to a
disaster with or without supplemental
Federal assistance. The GAO has
suggested in multiple reports that FEMA
should incorporate States’ fiscal
capacity into its considerations for
recommendations on disaster
declarations to the President. Though
the GAO reports have focused on
including fiscal capacity in FEMA’s PA
declaration factor criteria, FEMA
believes that there is a need to assess a
State’s capacity to respond and recover
on its own when determining whether
a major disaster declaration that
authorizes IA is warranted as well.
Furthermore, the GAO supported the
use of TTR as a measure of a State’s
fiscal capacity because it is a
comprehensive estimate of the resources
that could potentially be subject to State
taxation.25 Therefore, FEMA is
proposing to include fiscal capacity as
an additional factor in its determination.
To ascertain a State’s fiscal capacity to
respond to a major disaster, FEMA
intends to review data on a State’s Total
Taxable Resources (TTR). The U.S.
Department of Treasury calculates the
TTR of the State, which is used as a
measure of a State’s fiscal capacity.26
TTR is based on the GDP per State but
makes adjustments for additional,
potentially-taxable income flows like
capital gains and commuter income.
FEMA acknowledges that TTR does not
capture a State’s actual tax revenue or
expenditures and cannot be viewed as a
financial accounting of a State’s budget.
TTR is instead intended to measure all
income flows a State can potentially tax.
Resource Availability. Relative to
State services and planning after prior
disasters, FEMA encourages States to
continuously improve their own
disaster assistance programs for their
citizens. States should identify any new
individual assistance programs as well
as any improvements to existing
individual assistance programs made as
25 United States Government Accountability
Office, FEDERAL DISASTER ASSISTANCE:
Improved Criteria Needed to Assess a Jurisdiction’s
Capability to Respond and Recover on Its Own,
GAO–12–838, September 2012, Page 31. Available
at: http://www.gao.gov/assets/650/648162.pdf.
26 A 2012 GAO report stated that other Federal
departments and agencies have used TTR data to
determine a jurisdiction’s fiscal capacity and the
extent to which a jurisdiction should be eligible for
Federal assistance; specifically the Department of
Health and Human Services’ Substance Abuse and
Mental Health Services Administration’s block
grant program and Community Mental Health
Service.

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a result of previous disasters. FEMA
intends to include this factor to
encourage States to continuously
evaluate and improve their disaster
planning and relief programs based on
lessons learned from previous disasters.
On the other hand, States that
continually fail to address limitations or
shortfalls identified after previous
events would be a consideration in
FEMA’s deliberation. Nonetheless,
FEMA does not expect that the
inclusion of this factor would affect the
overall number of major disaster
declarations authorizing IA as this factor
would be considered with a number of
other factors and would not, in
isolation, determine whether a
declaration is recommended.
5. Impacts to Costs, Benefits, and
Transfer Payments
In the following section, FEMA
discusses the proposed rule’s quantified
costs for States and the Federal
government, qualitative benefits, and
why there are no expected impacts to
transfer payments.
a. State Costs
As stated previously, many of the
factors listed in the proposed rule have
previously been submitted or requested
subsequent to a State request and thus
are estimated to have no new costs. The
two proposed additional factors that
have not been typically provided or
considered would impose a new cost.
FEMA intends to obtain data related to
fiscal capacity from publicly accessible
databases and Web sites at no cost to
States. Providing information on State
services and planning after prior
disasters would impose a new cost on
States. In addition, FEMA assumes the
proposed rule may have an initial
implementation cost for States to
familiarize themselves and understand
the new factor data requirements.
If a State is unable to provide
information for a particular factor or
factors, FEMA would evaluate and
provide a recommendation on the
State’s need for Federal assistance based
on the information submitted and data
available from other sources, as
appropriate. The only required elements
of a State’s major disaster declaration
request appear at 44 CFR 206.36.
FEMA’s intent, through this proposed
rule, is to clearly identify the considered
data points that are previously captured
under the ‘‘other relevant information’’
prong of the regulation to inform the
States’ formulation of their request. In
some scenarios, certain pieces of
information identified in the proposed
rule may be inapplicable or unavailable.
In addition, FEMA recognizes that the

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70131

circumstances of a disaster may not
allow a State to collect all of the
information identified within the
proposed rule. States would need to
provide information that supports their
request for a major disaster declaration
authorizing IA, but would not have to
address every data point in the
proposed rule to be granted the request.
For example, for a catastrophe of
unusual severity and magnitude such
that preliminary damage assessments
are not necessary to determine the
requirement for Federal assistance,
States may submit an abbreviated
request pursuant to 44 CFR 206.36(d),
which need only contain limited
information required by that provision.
The proposed rule is identifying factors,
which FEMA would consider in its
review of a major disaster declaration
request that includes IA when making
recommendations to the President, but
ultimately the amount of data provided
by the State is voluntary.
FEMA anticipates information on
State services and planning after prior
disasters would be addressed in a short
summary in the Governor’s request.
FEMA program employees who work
with declarations estimate that a State
would spend an additional 30 minutes
collecting and incorporating
information on State services and
planning after prior disasters into the
State’s declaration request. FEMA
assumes this time would be used to
write a paragraph or two on why the
State lacks the resources to provide
sufficient services to its citizens and any
new or existing State individual
assistance programs or improvements
made to State individual assistance
programs as a result of previous
disasters. FEMA assumes that a State
would be aware of their own service and
program capabilities prior to
considering whether a request for a
major disaster declaration that
authorizes IA is warranted. In addition,
a State may build upon past requests in
subsequent requests depending on
whether their program efforts have been
ongoing or have changed.27 FEMA
previously estimated that States spend
33 hours on average to compile, write,
and submit a request for a declaration.28
FEMA assumed the equivalent of a State
Government Chief Executive, a senior
27 FEMA recognizes there may be a level of
repetition in a State’s request, but FEMA would
prefer to ensure it has up to date information,
including recent efforts from previous disasters, for
the White House and FEMA to consider.
28 FEMA has provided the supporting statement
document for the information collection, OMB
Control Number 1660–0009, in the public
rulemaking docket. The supporting statement dated
February 25, 2013 was the latest supporting
statement prior to this proposed regulation.

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level government official familiar with
State emergency assistance programs,
would prepare the Request for
Presidential Disaster Declaration Major
Disaster or Emergency, FEMA Form
010–0–13. Per the U.S. Department of
Labor Bureau of Labor Statistics, the
average hourly wage rate for a State
Government Chief Executive is $54.66
which FEMA multiplied by 1.4 to
account for benefits.29 This results in a
fully loaded State Government Chief
Executive hourly wage rate of $76.52.
Between January 2004 and December
2013, FEMA received 413 requests for a
major disaster declaration that
authorized IA. FEMA divided 413 by
ten years to estimate that States would
submit an average of 41 requests for
major disaster declarations authorizing
IA per year. FEMA multiplied 30
minutes (0.5 hours) by the fully loaded
hourly wage rate of $76.52 and 41
submissions to get an annual cost of
$1,569 (0.5 × $76.52 × 41 = $1,568.66).
As noted above, most of the
information included in the proposed
factors is information that was
previously captured under the ‘‘other
relevant information’’ prong of the
regulation and has been considered, as
appropriate, when evaluating requests
for a major disaster declaration that
authorized IA. However, FEMA at times
has had to reach back to the State for
additional information.30 By clearly
identifying information considered in
the proposed rule, FEMA anticipates
that such delays in the declaration
process would be diminished. With the
changes in the proposed rule, the
regulations would improve clarity
regarding potentially relevant
information. States would be
encouraged to include the fulsome
information in the original request,
which could potentially eliminate
follow-up correspondence and speed up
the determination of a major disaster
declaration request. Although FEMA
recognizes that large scale disasters may
not need as much detail or data to
support a major disaster declaration
request due to the extent of IA damage
costs; other disasters may be more
difficult to determine if a need for
29 U.S. Department of Labor, Bureau of Labor
Statistics, Occupational Employment Statistics,
May 2013 National Industry-Specific Occupational
Employment and Wage Estimates, NAICS code
999200, State Government excluding schools and
hospitals, and Standard Occupational Classification
(SOC) code 11–1011 for Chief Executive. http://
www.bls.gov/oes/2013/may/naics4_999200.htm.
30 Historically, FEMA has attempted to cure some
of the lack of clarity by providing States with major
disaster declaration request template letters, which
provided a suggested organizational structure for
States to follow when making their request for a
major disaster declaration.

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Federal disaster assistance exists
without the State providing additional
information identified in the proposed
rule. Thus the proposed rule provides
the State with the types of requested
data that informs FEMA’s
recommendation and ultimately, the
President’s determination of a State’s
need for a major disaster declaration
that authorizes IA.
To estimate the time for States to
understand changes made to the
regulations, State governments would
spend time reading the proposed and
existing regulations. Based on a sample
of FEMA employees who formerly
worked for State governments, FEMA
estimates States would spend 30
minutes (0.5 hours) to familiarize
themselves and understand the new
factor data requirements.31 FEMA
assumes the equivalent of a State
Government Chief Executive, a senior
level government official familiar with
State emergency assistance programs,
would read the existing and new
regulations to understand the changes.
FEMA multiples the fully loaded hourly
wage rate of a State Government Chief
Executive, calculated above as $76.52,
by 0.5 hours and 56 States, to calculate
an increased State cost of $2,143 ($76.52
× 0.5 × 56 = $2,142.56). FEMA assumes
State governments would read the
regulation once in the first year it goes
into effect and would subsequently refer
to supplemental guidance materials,
such as the Governor’s request template,
to complete requests.
FEMA estimates total State costs in
the first year to be $3,712. FEMA
estimates State costs in subsequent
years to be $1,569.
b. Federal Costs
FEMA anticipates the Federal
government would incur minor
additional costs by the rule because, as
noted above, FEMA already considers
most of these factors under the ‘‘other
relevant information’’ prong of the
31 To estimate the time for States to familiarize
themselves and understand the new factor data
requirements, FEMA surveyed its own employees
who formerly worked for State governments.
Thirteen employees were identified who worked for
various States, representing multiple regions, State
sizes, and a range in years of service in State
government and FEMA. These employees were
asked to read the proposed and existing regulations
and answer questions to test their understanding of
the changes. The employees were also provided a
copy of excerpts of this regulatory preamble if they
needed further information to answer the test.
About 40 percent of the employees referred back to
the preamble to answer the questions. It took an
average of 17 minutes to read the existing and
proposed regulatory text and 11 minutes to answer
the questions, including referring back to the
preamble. FEMA rounded 28 minutes (11minutes
+17minutes) to 30 minutes and uses 0.5 hours to
calculate the costs.

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regulation when reviewing major
disaster declaration requests. In
addition, FEMA has already begun to
change the way it collects information
for major disaster declaration
recommendations that did not require
regulatory action.
In the past, FEMA would review predisaster data about a disaster location.
This pre-disaster data provided FEMA
information about the disaster location
that helped to illustrate the population
and area that was impacted by a
disaster. The pre-disaster data came
from Federal sources, such as the
United States Census Bureau and the
Bureau of Labor Statistics. Independent
of the regulation, FEMA had begun a
process to streamline how pre-disaster
data is collected and disseminated as
well as improving the efficiency and
speed of the PDA process by using new
technologies and processes to collect
and transmit information faster.
One of the areas where FEMA would
incur costs is for the retrieval of fiscal
capacity data from Treasury and BEA.
To estimate the additional activity time,
FEMA performed a dry run retrieval and
storage of the relative fiscal capacity
data. To retrieve, store, and update
Treasury’s TTR data (including all State
data in a single retrieval), FEMA
estimates it would take 10 to 15
minutes, and uses the average of this
range, 12.5 minutes, for the purposes of
this analysis. FEMA estimates it would
take the equivalent amount of time for
the BEA’s GDP per State data, and uses
12.5 minutes as well. FEMA estimates it
would take 15 to 30 minutes to retrieve
BEA per capita personal income data
and uses the average of 22.5 minutes.
FEMA sums these three time burdens to
calculate a total burden of 47.5 minutes
and divides by 60 minutes, for an
estimated increase burden of 0.79 hours
× ((12.5+12.5+22.5)/60=0.7917).
FEMA anticipates this data retrieval
to take place once annually, and to be
completed by a Federal employee in the
DC area at the General Schedule 12,
Step 1 level, at an hourly wage rate of
$36.23.32 FEMA multiplies this wage
rate by 1.4 to account for benefits,
resulting in a fully loaded wage rate of
$50.72. FEMA multiplies the time per
year, 0.79 hours by the fully loaded
wage rate of $50.72, to get an annual
Federal cost increase of $40 (0.79 x
32 The General Schedule (GS) 12 (Step 1) hourly
wage of $36.23 is taken from the Office of Personnel
Management; 2014 General Schedule (GS) salaries
& wages tables; locality pay tables (WashingtonBaltimore-Northern Virginia, DC–MD–VA–WV–
PA). Retrieved 7/30/14 from http://www.opm.gov/
policy-data-oversight/pay-leave/salaries-wages/
2014/general-schedule/.

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$50.72 = $40.07), and ten-year total
Federal increase of $400.

The following table displays the ten
year total costs (undiscounted,
discounted at three percent, and

70133

discounted at seven percent) for the
proposed rule.

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TABLE 2—TOTAL COSTS OF THE PROPOSED RULE
State costs
(providing
information)

Year

State initial
review cost

1 ...........................
2 ...........................
3 ...........................
4 ...........................
5 ...........................
6 ...........................
7 ...........................
8 ...........................
9 ...........................
10 .........................

$2,143
..............................
..............................
..............................
..............................
..............................
..............................
..............................
..............................
..............................

$1,569
1,569
1,569
1,569
1,569
1,569
1,569
1,569
1,569
1,569

$40
40
40
40
40
40
40
40
40
40

$3,752
1,609
1,609
1,609
1,609
1,609
1,609
1,609
1,609
1,609

$3,643
1,517
1,472
1,430
1,388
1,348
1,308
1,270
1,233
1,197

$3,507
1,405
1,313
1,227
1,147
1,072
1,002
936
875
818

Total ..............

2,143

15,690

400

18,233

15,806

13,302

c. Benefits
Benefits of the proposed rule include
clarifying FEMA’s existing practices,
reducing processing time for requests,
and providing States with notice of the
new factor information FEMA is
proposing to consider as part of the IA
declarations process. States have the
ability to assess and determine what
information supports a major
declaration request. The proposed rule
would identify factors considered in the
IA declarations process, including many
factors that FEMA previously
considered under the ‘‘other relevant
information’’ prong of the regulation,
but are not currently specified in 44
CFR 206.48(b).
In the past, FEMA may have at times
had to follow up for additional
information on major disaster
declaration requests to better support
FEMA’s recommendation on a major
disaster declaration authorizing IA. This
regulation would improve clarity on the
factors that FEMA considers when
evaluating the need for a major disaster
declaration authorizing IA. FEMA
expects this to lessen or possibly
eliminate the need to go back to the
States for additional information.33
The two newly identified factors
would also provide additional context
to a State’s circumstances to help inform
FEMA’s recommendation. FEMA
believes the inclusion of fiscal capacity
would further inform and strengthen
FEMA’s recommendations to the
President with regard to major disaster
declarations that authorize IA. In
33 In

making past determinations, FEMA has not
tracked the length of time or the number of written
or oral correspondence with the State to retrieve
additional data. Therefore FEMA cannot quantify
the potential savings from the clarifications
provided in the proposed regulation.

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FEMA costs
(retrieving data)

Undiscounted
annual costs

addition, information considered may
be available more quickly and provide
a fuller context. Such measures may
also be more objective compared to
other perceptions of a State’s capacity to
respond. This would also provide notice
to States of the new factor information
FEMA would consider.
d. Transfer Payments
First, it is important to note that the
ultimate determination regarding
whether or not to grant a State’s request
for a major disaster declaration resides
with the President. FEMA does not
anticipate or intend for this proposed
rule to affect the number of major
disaster declarations authorizing IA
granted each year. As FEMA has
previously considered the majority of
the proposed factors in past declaration
requests for individual assistance and
data used in the proposed new factors
are correlated to past declaration
recommendations, FEMA anticipates
this proposed rule would not have an
impact on transfer payments, which are
payments from the Federal government
to States and individuals.
FEMA intends the proposed rule to
identify factors that it would use when
making recommendations to the
President. FEMA already considers the
majority of factors described in the
proposed rule during previous
deliberations on whether to recommend
a major disaster declaration authorizing
IA to the President. The only data items
that FEMA has not considered in the
past are the data on (1) State services
and planning after prior disasters and
(2) the fiscal capacity factor.
State Services and Planning after
Prior Disasters. As stated previously,
FEMA does not expect that the
inclusion of these data items would

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Annual costs
discounted at 3%

Annual costs
discounted at 7%

affect the overall number of major
disaster declarations authorizing IA as
this factor would be considered with a
number of other factors and would not,
in isolation, determine whether a
declaration is recommended.
Fiscal Capacity. Although FEMA is
introducing a factor for fiscal capacity,
analysis conducted in preparation of
this proposed rule reveals that FEMA’s
recommendations and major disaster
declarations by the President in the past
have a correlation to the fiscal capacity
of the requesting State. Historically,
FEMA captured an aspect of fiscal
capacity when evaluating the damage
caused by each disaster in relation to
the population of the affected State.
States with the highest TTR also tend to
have the highest population. As such,
major disaster declarations authorizing
IA have had a correlation to the fiscal
capacity of the requesting State.
FEMA conducted a review of 153 34
major disaster declaration requests that
included IA that were submitted
between January 2008 to July 2013 to
determine if there would be any impact
from using TTR in assessing a State’s
need for a major disaster declaration
authorizing IA. Each State request
included an estimate of the costs from
the damages attributed to the disaster
event. FEMA retrieved the TTR per
State at the time of each request. For
each request, FEMA divided the
estimated cost of IA by the State TTR in
millions. For example, if a State
estimated $2,000,000 in IA costs and the
State’s TTR was $30,000,000,000, FEMA
34 For the analysis on TTR, FEMA excluded
disaster declaration requests that did not include a
request for IA. FEMA also excluded duplicate
requests, U.S. territories’ requests (because there is
no TTR data available), requests without summaries
of the PDA data or with insufficient data, and
requests that involved an expedited decision.

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Federal Register / Vol. 80, No. 218 / Thursday, November 12, 2015 / Proposed Rules

divided $30,000,000,000 by $1,000,000
to get the State’s TTR in millions which
is $30,000. FEMA then divided
$2,000,000 by $30,000 to get the ratio of
ICC (IA Cost to Capacity) of 66.7.
Based on the ICC calculation for all
153 State requests, there is a general
trend that shows the greater the ICC

ratio for a major disaster declaration
request that included IA, especially
above 25, the more likely the request
would be granted. Additionally, the
lower the ICC ratio for a major disaster
declaration request that included IA,
especially below 10, the more likely the

request was denied. The following table
displays the total number of requests
and the total granted major disaster
declarations based on ICC ratio size as
well as the percentage of granted major
disaster declaration requests within the
respective ICC group.

TABLE 3—NUMBER OF IA REQUESTS AND GRANTED IA REQUESTS BY ICC RATIO

ICC Ratio

mstockstill on DSK4VPTVN1PROD with PROPOSALS2

Number of
approved
requests
(2008–2013)

Number of
requests
(2008–2013)

Percentage of
approved
requests
(2008–2013)

>25 ...........................................................................................
10–25 .......................................................................................
<10 ...........................................................................................

43
53
57

41
26
4

57.7%
36.6%
5.6%

Total ..................................................................................

153

71

100%

Based on the above data, there were
53 major disaster declaration requests
that included IA with ICC ratios
between 10 and 25; and 26 of these
requests were declared major disasters
that included IA. Hence, approximately
half (26/53 = 49 percent) of major
disaster declaration requests with ICC
ratios between 10 and 25 that included
IA were granted. FEMA believes this
approval rate helps illustrate that other
factors are taken into consideration
when determining FEMA’s
recommendation especially in
borderline events.
In addition, based on the above data,
the higher the estimated cost of IA
damages and the lower the State TTR,
the more likely a major disaster
declaration request authorizing IA was
granted in the past. FEMA did not
review TTR data when making these
previous decisions; however there
appears to be a past trend that decisions
had an inverse correlation between
estimated IA costs and State TTR. This
is likely because past declaration
criteria, such as State population, are
highly correlated with State TTR.
Furthermore, depictions of States’
economic health, similar to TTR, were
already captured in data from State
major disaster declaration requests in
the past. For example, the State median
household income and the State TTR
per capita are highly correlated because
States that have a higher median
household income also tend to have a
higher TTR per capita. Thus, FEMA
assumes that the impact of considering
TTR in future major disaster declaration
recommendations would be minimal
because FEMA previously considered
data that follows the same trend as TTR.
Furthermore, there were major
disaster declaration requests that had

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high IA cost estimates, and though the
State had a higher than average TTR, the
major disaster declaration authorizing
IA was still granted. FEMA recognizes
that some disasters cause enough
damage to overwhelm even the most
prepared and fiscally capable States and
local governments and that disasters
may have special circumstances
warranting assistance.
FEMA’s intent in this proposed rule is
to continue to take multiple factors into
consideration in addition to TTR.
Therefore, fiscal capacity would be
more relevant following events where it
is not clear whether or not the State and
affected local governments are, in fact,
overwhelmed.
Based on the above analysis, FEMA
concluded that even though fiscal
capacity is a new factor, it would not
have an impact on the overall number
of major disaster declarations granted
each year that authorize IA because
FEMA previously followed a trend that
utilized similar economic data and takes
various factors into account. Even
though FEMA did not collect or factor
the TTR per State in previous major
disaster declaration recommendations
that included IA to the President there
was a correlation; and FEMA assumes
that IA declarations will follow a similar
trend in the future.
FEMA also intends to review data on
per capita personal income by local area
to ascertain a local government’s fiscal
capacity. FEMA previously evaluated
data on median household income per
county and foresees minimal impact
from also reviewing per capita personal
income by local area because both data
points are indicators of the economic
circumstances of local areas.
Again, FEMA proposes the use of the
fiscal capacity factor in future

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Percentage of
approved
requests
in range
(2008–2013)
95%
49%
7%

recommendations regarding major
disaster declarations that include IA and
acknowledges that the new data points
would be utilized in conjunction with
several other data points. FEMA would
continue to use a myriad of factors and
data to formulate its recommendations
to the President on major disaster
declarations that authorize IA. No single
data point or factor would singularly
affect FEMA’s recommendation nor
would each individually affect the
President’s ultimate determination of
whether a major disaster declaration
authorizing IA is warranted.
9. Cumulative Impact of the Proposed
Rule
FEMA has reviewed the proposed
rule’s impact on States that request a
Presidential major disaster declaration
that authorizes IA. FEMA estimates the
cumulative impact of all the factors
together will result in a minor burden
increase for States to provide more
information in their requests and for
FEMA to retrieve data for its
consideration on requests. The net
quantified impact is a ten-year total cost
of $18,233. This cost may be offset by
cost savings from efficiencies attributed
to the information FEMA currently
iteratively requests from States but are
not captured in the current regulations.
FEMA anticipates no cumulative impact
to average annual transfer payments
based on the inclusion of all the
proposed factors. Based on the above
analysis, FEMA estimates that this
proposed rule is not an economically
significant rulemaking because the
proposed rule would impose an

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Federal Register / Vol. 80, No. 218 / Thursday, November 12, 2015 / Proposed Rules
additional average annual burden of less
than $2,000 35 on the public and FEMA.
10. Marginal Analysis of the Proposed
Factors
The following table provides a
breakdown of each IA declaration factor

included in the proposed rule. It also
identifies which factors are new or
previously considered. Activity costs
per year and associated benefits are also
included. The proposed rule would not
change the total amount of Federal

70135

assistance available to individuals and
households. A more detailed table
providing additional information is also
included in the rulemaking docket on
www.regulations.gov.

mstockstill on DSK4VPTVN1PROD with PROPOSALS2

TABLE 4—IA DECLARATIONS FACTOR MARGINAL ANALYSIS
Factor

Status

Activity cost per year

Benefits

Fiscal Capacity: Total Taxable Resources (TTR) of the State
44 CFR § 206.48(b)(1)(i)(A)

New .......................

$11—FEMA will spend 10–15 minutes
a year retrieving and storing Treasury data (including all State data in
one retrieval).

Fiscal Capacity: Gross Domestic Product (GDP) by State
44 CFR § 206.48(b)(1)(i)(B)

New .......................

$11—FEMA will spend 10–15 minutes
a year for retrieving and storing BEA
GDP data (including all State & Territory data in one retrieval).

Fiscal Capacity: Per Capita Personal Income by Local Area
44 CFR § 206.48(b)(1)(i)(C)

New .......................

Fiscal Capacity: Other Factors
44 CFR § 206.48(b)(1)(i)(D)

New .......................

$19—FEMA will spend 15–30 minutes
a year for retrieving and storing BEA
Per Capita Personal Income data
annually (including data on all local
areas in one retrieval).
$0—State time will vary and data will
be used on a case-by-case basis as
needed.

Informs States that FEMA may assess
State’s taxable resources based on
TTR and may use TTR to depict
State economic growth or decline
and relative fiscal capacity with comparably-sized States or the Nation.
Informs States that FEMA may assess
State fiscal capacity with this data
point when TTR data is not available
or if the TTR data is inaccurate due
to the 2 year lag in the data update.
Provides FEMA the flexibility to use information on the local fiscal capacity
characteristics to judge IA needs in
disaster affected areas.

Resource Availability: State Tribal and
Local Government Non-Governmental
Organizations (NGO) and Private
Sector Activity
44 CFR § 206.48(b)(1)(ii)(A)
Resource Availability: Cumulative Effect
of Recent Disasters
44 CFR § 206.48(b)(1)(ii)(B)
Resource Availability: State Services
44 CFR § 206.48(b)(1)(ii)(C)

Previously Considered.

$0—No change in time burden due to
current compliance.

Provides FEMA the flexibility to use
any other data or information on a
State or local area’s fiscal capacity
to judge disaster needs in affected
areas.
Clarification of current practice in regulation.

Previously Considered.

$0—No change in time burden due to
current compliance.

Clarification of current practice in regulation.

New .......................

Provides FEMA more information to
evaluate the resources States have
used. States consider their resources in their request.

Resource Availability: Planning After
Prior Disasters
44 CFR § 206.48(b)(1)(ii)(D)

New .......................

Uninsured Home and Personal Property
Losses: The cause of damage
44 CFR § 206.48(b)(2)(i)
Uninsured Home and Personal Property
Losses: The jurisdictions impacted
and concentration of damage
44 CFR § 206.48(b)(2)(ii)
Uninsured Home and Personal Property
Losses: The number of homes impacted and degree of damage
44 CFR § 206.48(b)(2)(iii)
Uninsured Home and Personal Property
Losses: The estimated cost of assistance
44 CFR § 206.48(b)(2)(iv)
Uninsured Home and Personal Property
Losses: The homeownership rate of
impacted homes
44 CFR § 206.48(b)(2)(v)
Uninsured Home and Personal Property
Losses: The percentage of affected
households with insurance coverage
appropriate to the peril
44 CFR § 206.48(b)(2)(vi)
Uninsured Home and Personal Property
Losses: Other relevant preliminary
damage assessment data
44 CFR § 206.48(b)(2)(vii)

Previously Considered.

$784.5—15 minutes for States to discuss why the State does not have
sufficient funding to provide adequate State services to its own citizens after a major disaster.
$784.5—15 minutes for States to discuss improvements to their State IA
programs and any disaster planning
that occurred after prior major disasters.
$0—No change in time burden due to
current compliance.

Previously Considered.

$0—No change in time burden due to
current compliance.

Clarification of current practice in regulation.

Previously Considered.

$0—No change in time burden due to
current compliance.

Clarification of current practice in regulation.

Previously Considered.

$0—No change in time burden due to
current compliance.

Clarification of current practice in regulation.

Previously Considered.

$0—No change in time burden due to
current compliance.

Clarification of current practice in regulation.

Previously Considered.

$0—No change in time burden due to
current compliance.

Clarification of current practice in regulation.

Previously Considered.

$0—No change in time burden due to
current compliance.

Clarification of current practice in regulation.

35 FEMA estimated the first year implementation
cost of approximately $3,700 and $1,600 annually

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Provides FEMA more information to
evaluate the State’s resource planning. State’s demonstrate they have
planned after recent disasters.
Clarification of current practice in regulation.

for subsequent years in previous section of this
regulatory analysis.

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Federal Register / Vol. 80, No. 218 / Thursday, November 12, 2015 / Proposed Rules
TABLE 4—IA DECLARATIONS FACTOR MARGINAL ANALYSIS—Continued
Factor

Status

Activity cost per year

Benefits

Disaster Impacted Population Profile:
The percentage of the population for
whom poverty status is determined
44 CFR § 206.48(b)(3)(i)
Disaster Impacted Population Profile:
The percentage of the population already receiving government assistance such as Supplemental Security
Income and Supplemental Nutrition
Assistance Program benefits
44 C.F.R § 206.48(b)(3)(ii)
Disaster Impacted Population Profile:
The pre-disaster unemployment rate
44 CFR § 206.48(b)(3)(iii)
Disaster Impacted Population Profile:
The percentage of the population that
is 65 years old and older
44 CFR § 206.48(b)(3)(iv)
Disaster Impacted Population Profile:
The percentage of the population 18
years old and younger
44 CFR § 206.48(b)(3)(v)
Disaster Impacted Population Profile:
The percentage of the population with
a disability
44 CFR § 206.48(b)(3)(vi)
Disaster Impacted Population Profile:
The percentage of the population who
speak a language other than English
and speak English less than ‘‘very
well’’
44 CFR § 206.48(b)(3)(vii)
Disaster Impacted Population Profile:
Any unique considerations regarding
American Indian and Alaskan Native
Tribal populations that may not be reflected in the U.S. Census Bureau
data
44 CFR § 206.48(b)(3)(viii)
Impact to Community Infrastructure: Life
Saving and Life Sustaining Services
44 CFR § 206.48(b)(4)(i)
Impact to Community Infrastructure: Essential Community Services
44 CFR § 206.48(b)(4)(ii)
Impact to Community Infrastructure:
Transportation Infrastructure and Utilities.
44 CFR § 206.48(b)(4)(iii)
Casualties: The number of missing, injured, or deceased individuals
44 CFR § 206.48(b)(5)
Disaster Related Unemployment: The
number of disaster survivors who lost
work or became unemployed due to a
disaster and who do not qualify for
standard unemployment insurance
44 CFR § 206.48(b)(6)
All Factors : All Data Points
§ 206.48(b)

Previously Considered.

$0—No change in time burden due to
current compliance, data collected in
PDA process.

Clarification of current practice in regulation.

Previously Considered.

$0—No change in time burden due to
current compliance, data collected in
PDA process.

Clarification of current practice in regulation.

Previously Considered.

$0—No change in time burden due to
current compliance, data collected in
PDA process.
$0—No change in time burden due to
current compliance, data collected in
PDA process.

Clarification of current practice in regulation.

Previously Considered.

$0—No change in time burden due to
current compliance, data collected in
PDA process.

Clarification of current practice in regulation.

Previously Considered.

$0—No change in time burden due to
current compliance, data collected in
PDA process.

Clarification of current practice in regulation

Previously Considered.

$0—No change in time burden due to
current compliance, data collected in
PDA process.

Clarification of current practice in regulation.

Previously Considered.

$0—No change in time burden due to
current compliance.

Clarification of current practice in regulation.

Previously Considered.

$0—No change in time burden due to
current compliance.

Clarification of current practice in regulation.

Previously Considered.

$0—No change in time burden due to
current compliance.

Clarification of current practice in regulation.

Previously Considered.

$0—No change in time burden due to
current compliance.

Clarification of current practice in regulation.

Previously Considered.

$0—No change in time burden due to
current compliance.

Clarification of current practice in regulation.

Previously Considered.

$0—No change in time burden due to
current compliance.

Clarification of current practice in regulation.

6 New & 22 Previously Considered.

$3752 in the first year and $1609 in
the subsequent annual reoccurring
costs—Increase time burden due to
new factors and time for the State to
read and understand the new regulations.

Informs States with the information
that FEMA considers when deciding
whether to recommend an IA declaration to the President’s Office.

Previously Considered.

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11. Regulatory Alternatives
FEMA includes the regulatory
alternatives to the proposed rule and the
reasons for choosing not to use each
alternative in the following discussion.
The decision on each alternative was
based on qualitative factors and not on
a quantitative analysis of these
alternatives. When possible, FEMA
acknowledges if the respective

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alternative could have an impact on
economic transfer payments or costs.
a. Voluntary, Faith and Community
Based Organizations Resources
FEMA considered removing the
information on resources available from
voluntary, faith, and community based
organizations during disasters from its
list of determining factors. Stakeholders
suggested removing these organizations

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Clarification of current practice in regulation.

because their availability may be limited
by their financial circumstances, their
donors’ economic situations, and the
circumstances of their volunteers.
FEMA recognizes this concern but
believes that information on the
activities of these organizations is
valuable because it can enhance the
picture of disaster needs at a local level
and may offset or reveal a need for
supplemental Federal assistance. FEMA

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mstockstill on DSK4VPTVN1PROD with PROPOSALS2

also recognizes that these organizations
have limited resources, and considers
this point when determining the need
for an IA declaration. FEMA anticipates
there could be impacts on transfer
payments due to changes in the number
of disaster declarations if resources
available from voluntary, faith, and
community based organizations were no
longer considered. If FEMA was to
remove this factor from consideration in
major disaster declaration request for
IA, it could potentially move transfer
payments in either direction, depending
on the situation. For example, if a State
no longer describes how their voluntary
agencies are overwhelmed, then FEMA
may not be inclined to recommend a
major disaster declaration that
authorizes IA and would decrease
transfer payments. On the other hand,
FEMA could potentially be more
inclined to recommend a major disaster
declaration that authorizes IA without
information on the voluntary agencies’
resources, which could increase transfer
payments.
b. Maintain the 44 CFR 206.48(b)(6)
Table
FEMA evaluated the utility of the
current 44 CFR 206.48(b)(6) table listing
the average amount of IA based on State
size, and determined it causes confusion
with stakeholders. This table of averages
does not set a threshold for
recommending Individual Assistance,
but was intended as guidance to States
and voluntary agencies as they develop
plans and programs to meet the needs
of disaster survivors. FEMA determined
that the table should be removed
because it causes confusion among
States, and may be used incorrectly as
a threshold for whether a State should
request Individual Assistance.
Furthermore, the table has been
interpreted by States to suggest that
State population is the main factor or
the only factor in determining State
capability or fiscal capacity. In the
proposed rule, FEMA would continue to
consider various factors when making
its recommendation. FEMA did not
quantify the impacts of this alternative
but assumed there would not be
economic impacts from maintaining the
table because other factors are already
considered. FEMA has chosen to
remove the table for clarification
purposes.
c. Automatically Trigger Contiguous
Counties and States
Based on stakeholder
recommendations, FEMA considered
whether to include a provision that
would allow contiguous affected
counties and States to be automatically

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declared as a major disaster after an
event that crosses the borders of a
declared State or county. FEMA
recognizes that State or county lines do
not bind disaster events geographically,
but in considering whether to declare a
particular area, FEMA must consider the
damages in the area as well as the
capabilities of the jurisdictional
governments. The Stafford Act requires
that a Governor’s request for a major
disaster declaration be based on a
finding that the disaster is of such
severity and magnitude to be beyond the
capabilities of the State and affected
local governments to effectively
respond. 42 U.S.C. 5170(a). Thus, FEMA
is proposing to maintain the
requirement that each county and State
must request a major disaster
declaration after determining that the
disaster damages and impacts are
beyond the capabilities of the affected
area’s State or local government. FEMA
cannot automatically grant a major
disaster declaration based on proximity
to other declared areas without evidence
that the disaster damage and impacts are
beyond the affected area’s capabilities.
FEMA did not quantify the impacts of
this alternative but does acknowledge
there could be an increase in transfer
payments if FEMA automatically
declared affected counties and States
contiguous to a declared State or
county. FEMA assumed this alternative
would result in transfer payment
increases because specifics about
damage information and resource
capabilities of nearby counties would
not be considered and less impacted
counties would likely be provided
assistance based on geographic location
rather than need.
d. Considering Negative Impact on
Businesses
FEMA considered including the
impact of an incident on businesses in
affected areas, including business losses
based on stakeholder recommendations.
FEMA is proposing a revised factor that
considers the impact to businesses
because the negative impacts to
employers and employees may affect a
community’s ability to recover. Business
losses alone, however, will not result in
a Presidential major disaster declaration
that authorizes IA because the IA grant
programs do not provide assistance to
businesses. Instead, FEMA considers the
effect that business disruptions have on
disaster survivors. For example, if
disaster survivors lose work or become
unemployed due to business impacts
from a disaster, this information may
highlight an increased need for DUA. In
addition, the Small Business
Administration (SBA) has separate

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70137

statutory authority and programs, which
may be available to assist businesses
absent a Presidential major disaster
declaration. FEMA did not quantify the
impacts of the alternative considering
business losses separately from business
impacts to disaster survivors.
e. Linking Individual Assistance Cost
Factor With Public Assistance Cost
Factor
FEMA considered aligning the
financial indicators for IA and PA major
disaster declarations based on
stakeholder recommendations.
Currently, FEMA evaluates the need for
a Public Assistance major disaster
declaration by reviewing the estimated
cost of Federal and non-federal public
assistance against the statewide
population to give a measure of the per
capita impact within the State. 44 CFR
206.48(a)(1). That factor also establishes
a $1 million threshold, based on the
proposition that even the smallest
population States have the capability to
cover that level of public assistance
infrastructure damage. Under FEMA’s
current regulations, there is no
corresponding IA single indicator
designed to evaluate the total cost of the
disaster against the capability of a
requesting State.
FEMA chose not to use the Public
Assistance per capita indicator measure
and instead choose to utilize the fiscal
capacity factor as indicators of a State’s
fiscal capability to meet the needs of
individuals after an event. FEMA
considers multiple factors and does not
believe a set limit, even based on
estimated damages and population, is
an appropriate indicator due to the
varying needs and circumstances of
disaster survivors. FEMA did not
quantify the impact of this alternative
but does assume that it could have an
impact on transfer payments due to
changes to the number of major disaster
declarations that authorize IA.
f. Use of Factor Thresholds
Some stakeholders indicated that they
would prefer specific ‘‘hard’’ thresholds
that indicate whether a State would be
eligible to receive a major disaster
declaration authorizing IA. The
stakeholders felt that established
thresholds would give States a clear
idea of what level of damage and need
the State must have before requesting
assistance. The stakeholders believed
that this would prevent States from
spending the time compiling the data
and requesting a declaration when they
have not sustained enough damage to
qualify for a major disaster declaration
that authorizes IA. FEMA rejected a
threshold indicator because it would be

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Federal Register / Vol. 80, No. 218 / Thursday, November 12, 2015 / Proposed Rules

inconsistent with the principles of
Section 320. FEMA also decided to not
pursue using thresholds because they
would be too restrictive, and would not
be appropriately flexible to assess the
various scenarios that demonstrate the
State’s need for a declaration
authorizing IA. FEMA assumes this
alternative could have an impact on
transfer payments due to changes in the
number of declarations and could
reduce State costs if they chose not to
pursue a declaration request for IA.

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g. Homes in Foreclosure
Some stakeholders stated that if an
area with a high foreclosure rate is
affected by a disaster, then these homes
without an owner would be a greater
burden to the State during the recovery
process. FEMA’s IA programs do not
provide any form of assistance for
foreclosed homes, and repair assistance
is available only for owner-occupied
primary residences. FEMA recognizes
that high levels of foreclosure may be
associated with economic difficulties in
the affected area which could negatively
impact a community’s ability to recover.
If a State believes that homes in
foreclosure will impact their capability
to respond to the disaster, then the State
may articulate this concern in the
narrative portion of their declaration
request. FEMA considers all relevant
information provided in a State’s
request. See 44 CFR 206.48. However,
FEMA believes other factors including
poverty level, pre-disaster
unemployment, and per capita personal
income will be adequate indicators of
economic health, and has chosen to not
include home foreclosure rates in the
proposed evaluation factors.
h. Do Not Include Fiscal Capacity
Indicators
FEMA considered the alternative of
not including fiscal capacity indicators.
This option would leave discretion on
how to assess State capabilities up to
FEMA and the White House without
identifying quantified data utilized or
encouraging States to provide more
information on their fiscal capacity.
FEMA chose to include the fiscal
capacity indicators because they
provide objective quantified data for
FEMA and the White House to assess
the capabilities of a State. The factor
also provides notice to the State on what
will be used to evaluate it and that the
State can provide additional
information describing their fiscal
capabilities. In this alternative, the
Federal cost of the proposed rule would
decrease by a small amount,
approximately $40 a year, based on
FEMA no longer having to retrieve BEA

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and Treasury data. Considering the low
cost and potentially useful information
this factor could provide, FEMA chose
to maintain fiscal capacity information
in the proposed rule.
i. Do Not Include State Resources
Indicators
FEMA considered the alternative of
not including State resource indicators.
If this factor was not included, FEMA
and the White House’s ability to assess
if States have programs suitable to
respond to and recover from the disaster
and if the States have prepared or
improved their programs after recent
disasters would not be improved. The
State cost of the proposed rule would
decrease, approximately $1,570
annually for all State’s major disaster
declaration requests that include IA.
Considering the low cost, approximately
$38 per request, and the potentially
useful information this factor
information could provide, FEMA chose
not to use this alternative.
B. Regulatory Flexibility Act
Under the Regulatory Flexibility Act
(RFA), 5 U.S.C. 601 et seq., as amended
by the Small Business Regulatory
Enforcement Fairness Act of 1996 (Pub.
L. 104–121, 110 Stat. 857), FEMA must
consider the impact of this proposed
regulation on small entities. The term
‘‘small entities’’ comprises small
businesses, not-for-profit organizations
that are independently owned and
operated and are not dominant in their
fields, and governmental jurisdictions
with populations of less than 50,000.
When the Administrative Procedure Act
requires an agency to publish a notice
of proposed rulemaking under 5 U.S.C.
553, the RFA requires a regulatory
flexibility analysis for both the proposed
rule and the final rule if the rulemaking
could ‘‘have a significant economic
impact on a substantial number of small
entities.’’ The RFA also provides that if
a regulatory flexibility analysis is not
required for this reason, the agency
must certify in the rulemaking
document that the rulemaking will not
‘‘have a significant economic impact on
a substantial number of small entities’’
and must include a statement providing
the factual basis for such certification.
This proposed rule provides States
with factors FEMA would consider
when making a recommendation on a
major disaster declaration that
authorizes IA and codifies many factors
that are currently considered but are not
adequately captured in 44 CFR
206.48(b). This rule will not directly
impact small businesses, small not-forprofit organizations, and small
governmental jurisdictions. States are

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not considered small entities under the
RFA since they have populations of
more than 50,000.36 Hence, FEMA
certifies under 5 U.S.C. 605(b) that this
proposed rule would not, if
promulgated, have a significant
economic impact on a substantial
number of small entities.
C. Unfunded Mandates Reform Act of
1995
The Unfunded Mandates Reform Act
of 1995, 2 U.S.C. 658, 1501–1504, 1531–
1536, 1571, pertains to any notice of
proposed rulemaking which implements
any rule that includes a Federal
mandate that may result in the
expenditure by State, local, and Tribal
governments, in the aggregate, or by the
private sector, of $100 million (adjusted
annually for inflation) or more in any
one year. If the rulemaking includes a
Federal mandate, the Act requires an
agency to prepare an assessment of the
anticipated costs and benefits of the
Federal mandate. FEMA has determined
that this proposed rule can be excluded
from this assessment as the proposed
rule meets the criteria set forth in 2
U.S.C. 1503(4), which states, ‘‘This
chapter shall not apply to . . . any
provision in a proposed or final Federal
regulation that—. . . (4) provides for
emergency assistance or relief at the
request of any State, local, or tribal
government or any official of a State,
local, or tribal government.’’ Therefore,
no actions are deemed necessary under
the provisions of the Unfunded
Mandates Reform Act of 1995.
D. National Environmental Policy Act
Under the National Environmental
Policy Act of 1969 (NEPA), as amended,
42 U.S.C. 42 U.S.C. 4321 et seq., an
agency must prepare an environmental
assessment or environmental impact
statement for any rulemaking that
significantly affects the quality of the
human environment. As explained
below, FEMA has determined that this
rulemaking does not significantly affect
the quality of the human environment
and consequently has not prepared an
environmental assessment or
environmental impact statement.
NEPA implementing regulations
governing FEMA activities at 44 CFR
10.8(d)(2)(ii) categorically exclude the
preparation, revision, and adoption of
regulations from the preparation of an
EA or EIS, where the rule relates to
actions that qualify for categorical
36 The District of Columbia, Puerto Rico, the
Virgin Islands, Guam, American Samoa, and the
Commonwealth of the Northern Mariana Islands,
which are considered States under 44 CFR
206.2(a)(22), all have populations greater than
50,000.

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exclusions. Most activities under
Section 408 and prior Section 411 of the
Stafford Act pertaining to temporary
housing and financial assistance are
categorically excluded from NEPA
review under 44 CFR 10.8(d)(2)(xix)(D)
and (F). Before undertaking other
activities that are not categorically
excluded (e.g., placement of
manufactured temporary housing units
on FEMA-constructed group sites;
permanent or semi-permanent housing
construction), FEMA follows the
procedures set forth in 44 CFR part 10
to assure NEPA compliance.
In addition, this proposed rule revises
the criteria that FEMA considers when
recommending an area eligible for IA
under a major disaster declaration. A
major disaster declaration
recommendation to the President is falls
into information and data gathering and
reporting efforts in support of
emergency and disaster response and
recovery and hazard mitigation.
Therefore, the activity this rule applies
to meets FEMA’s Categorical Exclusion
in 44 CFR 10.8(d)(2)(xviii)(E). Because
no other extraordinary circumstances
have been identified, this rule does not
require the preparation of either an EA
or an EIS as defined by NEPA.
E. Paperwork Reduction Act of 1995
As required by the Paperwork
Reduction Act of 1995 (PRA), Public
Law 104–13, 109 Stat. 163, (May 22,
1995) (44 U.S.C. 3501 et seq.), an agency
may not conduct or sponsor, and a
person is not required to respond to, a
collection of information unless the

70139

regional analysis and recommendation
will include a discussion of State and
local resources and capabilities, and
other assistance available to meet the
disaster related needs. The
Administrator of FEMA provides a
recommendation to the President and
also provides a copy of the Governor’s
request. In the event the information
required by law is not contained in the
request, the Governor’s request cannot
be processed and forwarded to the
White House. In the event the
Governor’s request for a major disaster
declaration or an emergency declaration
is not granted, the Governor may appeal
the decision.
Affected Public: State, local, or Tribal
Government.
Estimated Number of Respondents:
622.
Estimated Number of Responses: 355.
Estimated Total Annual Burden
Hours: 11,737.
The previously approved Total
Annual Burden Hours was 11,715
hours. Based on the proposed rule’s
minor increase in burden, the new
estimated Total Annual Burden Hours is
11,737 hours. This increase of 22 hours
is attributed to the additional
information FEMA requests in order to
evaluate the need for a major disaster
declaration that authorizes IA,
specifically requesting a narrative
discussion on improvements to State
services provided to individuals in
response to a disaster.
Table A.12 provides estimates of
annualized cost to respondents for the
hour burdens for the collection of
information.

collection of information displays a
valid control number.
In this proposed rule, FEMA is
seeking a revision to the already existing
collection of information, OMB Control
Number 1660–0009, because FEMA has
refined our estimates related to 1660–
0009. This proposed rule serves as the
60-day comment period for this
proposed change pursuant to 5 CFR
1320.12. FEMA invites the general
public to comment on the proposed
collection of information.
Collection of Information
Title: The Declaration Process:
Requests for Preliminary Damage
Assessment (PDA), Requests for
Supplemental Federal Disaster
Assistance, Appeals, and Requests for
Cost Share Adjustments.
Type of information collection:
Revision of a currently approved
collection.
OMB Number: 1660–0009.
Form Titles and Numbers: FEMA
Form 010–0–13, Request for Presidential
Disaster Declaration Major Disaster or
Emergency.
Abstract: When a disaster occurs in a
State, the Governor of the State or the
Acting Governor in his/her absence,
may request a major disaster declaration
or an emergency declaration. The
Governor should submit the request to
the President through the appropriate
Regional Administrator to ensure
prompt acknowledgement and
processing. The information obtained by
joint Federal, State, and local
preliminary damage assessments will be
analyzed by FEMA regional senior level
staff. The regional summary and the

TABLE A.12—ESTIMATED ANNUALIZED BURDEN HOURS AND COSTS 37
Average
burden per
response
(in hours)

Number of
responses per
respondent 38

Total annual
burden
(in hours)

Average
hourly wage
rate 39

Total annual
respondent
cost

Form name/form No.

State, Local or Tribal Government.

Request for Presidential Disaster Declaration Major
Disaster or Emergency/
FEMA Form 010–0–13.
Initial Data Gathering for
Governor’s Request/No
Form.

622

.5707

9.062

3,217

$76.52

$246,164.84

622

.57

24

8,520

33.10

282,012.00

................................................

622

........................

........................

11,737

........................

528,176.84

State, Local or Tribal Government.
Total ...............................

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Number of
respondents

Type of respondent

Estimated Cost: $3,480,709.36.
The estimated annual cost to
respondents for the hour burden is
$528,176.84. FEMA describes cost
increases specifically for the proposed

rule in the previous Regulatory Analysis
Section. There are no annual costs to
respondents operations and
maintenance costs for technical
services. There is no annual start-up or

capital costs. The cost to the Federal
government is unchanged at
$3,038,639.60.

37 Note: Numbers rounded due to rounding in
ROCIS.
38 Note: The number of responses per respondent
for entering in Request for Presidential Disaster
Declaration Major Disaster or Emergency/FEMA
Form 010–0–13 has been updated to 0.5707. FEMA

reanalyzed this number to more accurately reflect
the change in the proposed rule. FEMA calculated
0.5707 based on the previous supporting
statement’s total number of response hours, 3,195
divided by the number of hours, 9, resulting in 355,
and then divided by 622.

39 Note: The ‘‘Avg. Hourly Wage Rate’’ for each
respondent includes a 1.4 multiplier to reflect a
fully-loaded wage rate.

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Comments
Comments may be submitted as
indicated in the ADDRESSES caption
above. Comments are solicited to (a)
evaluate whether the proposed data
collection is necessary for the proper
performance of the agency, including
whether the information shall have
practical utility; (b) evaluate the
accuracy of the agency’s estimate of the
burden of the proposed collection of
information, including the validity of
the methodology and assumptions used;
(c) enhance the quality, utility, and
clarity of the information to be
collected; and (d) minimize the burden
of the collection of information on those
who are to respond, including through
the use of appropriate automated,
electronic, mechanical, or other
technological collection techniques or
other forms of information technology,
e.g., permitting electronic submission of
responses.

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F. Privacy Act
Under the Privacy Act of 1974, 5
U.S.C. 552a, an agency must determine
whether implementation of a proposed
regulation will result in a system of
records. A ‘‘record’’ is any item,
collection, or grouping of information
about an individual that is maintained
by an agency, including, but not limited
to, his/her education, financial
transactions, medical history, and
criminal or employment history and
that contains his/her name, or the
identifying number, symbol, or other
identifying particular assigned to the
individual, such as a finger or voice
print or a photograph. See 5 U.S.C.
552a(a)(4). A ‘‘system of records’’ is a
group of records under the control of an
agency from which information is
retrieved by the name of the individual
or by some identifying number, symbol,
or other identifying particular assigned
to the individual. An agency cannot
disclose any record which is contained
in a system of records except by
following specific procedures.
FEMA completed a Privacy Threshold
Analysis for this proposed rule. Any
information will be collected in existing
FEMA Form 010–0–13 and will still
only include the Governor’s point of
contact and general office phone
number as well as other State specific
and disaster specific information of a
non-personally-identifiable nature. The
information received through the form
is neither retrieved nor retrievable by
personally identifiable information (PII).
Any retrieval would be done by
utilizing State specific or disaster
specific information of a
non-identifiable nature. This

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rulemaking does not impact FEMA’s
collection of PII in the disaster
declarations process and form and no
Privacy Impact Assessment or System of
Records Notice is required at this time.
G. Executive Order 13175, Consultation
and Coordination With Indian Tribal
Governments
Executive Order 13175, ‘‘Consultation
and Coordination with Indian Tribal
Governments,’’ 65 FR 67249, November
9, 2000, applies to agency regulations
that have Tribal implications, that is,
regulations that have substantial direct
effects on one or more Indian tribes, on
the relationship between the Federal
Government and Indian Tribes, or on
the distribution of power and
responsibilities between the Federal
Government and Indian Tribes. Under
this Executive Order, to the extent
practicable and permitted by law, no
agency shall promulgate any regulation
that has Tribal implications, that
imposes substantial direct compliance
costs on Indian Tribal governments, and
that is not required by statute, unless
funds necessary to pay the direct costs
incurred by the Indian Tribal
government or the Tribe in complying
with the regulation are provided by the
Federal Government, or the agency
consults with Tribal officials.
FEMA has reviewed this proposed
rule under Executive Order 13132 and
has determined that this rule does not
have a substantial direct effect on one or
more Indian tribes, on the relationship
between the Federal Government and
Indian Tribes, or on the distribution of
power and responsibilities between the
Federal Government and Indian Tribes.
The disaster assistance granted by a
major disaster declaration addressed by
this proposed rule is provided to
individuals and families, and would not
have tribal implications.
Moreover, this rule proposes to revise
regulations intended to address a State's
request for an IA declaration. Although
Section 1110 of SRIA authorizes Indian
Tribal governments to request a
declaration directly, SRIA charged
FEMA to implement that authority
separately by rulemaking. Although
FEMA is currently evaluating tribal
declaration requests using its existing
regulations, FEMA is implementing
Section 1110 through a separate process,
which will involve extensive
consultation with Tribes, issuance of
forthcoming pilot guidance, and
eventually, regulations.
FEMA notes that Section 1109 of
SRIA requires FEMA to develop this
rulemaking ‘‘in cooperation with State,
local, and Tribal emergency
management agencies.’’ To that end,

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FEMA sought input from State, local
and Tribal stakeholders at the Spring
2013 NEMA conference. In addition, in
conjunction with the effort to initiate
development of Section 1110 of SRIA,
FEMA sought input from Tribal and
other stakeholders via a Federal
Register notice requesting comments on,
among other things, the IA criteria that
FEMA uses to make recommendations
to the President for major disaster
declarations in 44 CFR 206.48(b). 78 FR
15026, 15028–15029 (March 8, 2013). In
addition, throughout March and April
2013, FEMA held listening sessions 40
with tribal leadership, their
organizations and stakeholders to
present information regarding FEMA
programs, the Stafford Act and its
amendment, and the declarations
process.
FEMA received input that many
members of Tribes do not have
insurance and are not homeowners.
Data regarding whether a home has
insurance and is rented or owned is
typically gathered during the PDA
process. In addition, Tribes were
concerned with the use of
unemployment data at a county level
because the Tribal unemployment level
could be much higher. FEMA will
always consider relevant information
when evaluating the requests for a major
disaster declaration that authorizes IA.
If the county level unemployment level
is inaccurate because Tribal
unemployment is higher, then FEMA
encourages Tribes to provide data that is
more accurate to the State or FEMA in
their disaster request. FEMA considered
this input in the development of this
rule, and welcomes additional
comments on this matter.
H. Executive Order 13132, Federalism
Executive Order 13132, ‘‘Federalism,’’
64 FR 43255, August 10, 1999, sets forth
principles and criteria that agencies
must adhere to in formulating and
implementing policies that have
federalism implications, that is,
regulations that have ‘‘substantial direct
effects on the States, on the relationship
between the national government and
the States, or on the distribution of
power and responsibilities among the
various levels of government.’’ Federal
agencies must closely examine the
statutory authority supporting any
action that would limit the
policymaking discretion of the States,
and to the extent practicable, must
40 Please refer to the following Web site for
further information on FEMA’s listening sessions as
well FEMA’s consultation efforts: https://
www.fema.gov/fema-tribal-affairs/consultationarchive-procedures-request-emergency-or-majordisaster-declarations.

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consult with State and local officials
before implementing any such action.
FEMA has reviewed this proposed
rule under Executive Order 13132 and
has determined that this rule does not
have a substantial direct effects on the
States, on the relationship between the
national government and the States, or
on the distribution of power and
responsibilities among the various
levels of government, and therefore does
not have federalism implications as
defined by the Executive Order. The
disaster assistance granted by a major
disaster declaration addressed by this
proposed rule is provided to individuals
and families, and would not have
federalism implications.
I. Executive Orders 11988, Floodplain
Management
Executive Order 11988, ‘‘Floodplain
Management,’’ 42 FR 26951, May 24,
1977, sets forth that each agency is
required to provide leadership and take
action to reduce the risk of flood loss,
to minimize the impact of floods on
human safety, health and welfare, and
to restore and preserve the natural and
beneficial values served by floodplains
in carrying out its responsibilities for (1)
acquiring, managing, and disposing of
Federal lands and facilities; (2)
providing Federally undertaken,
financed, or assisted construction and
improvements; and (3) conducting
Federal activities and programs affecting
land use, including but not limited to
water and related land resources
planning, regulating, and licensing
activities. In carrying out these
responsibilities, each agency must
evaluate the potential effects of any
actions it may take in a floodplain;
ensure that its planning programs and
budget requests reflect consideration of
flood hazards and floodplain
management; and prescribe procedures
to implement the policies and
requirements of the Executive Order.
Before promulgating any regulation,
an agency must determine whether the
proposed regulations will affect a
floodplain(s), and if so, the agency must
consider alternatives to avoid adverse
effects and incompatible development
in the floodplain(s). If the head of the
agency finds that the only practicable
alternative consistent with the law and
with the policy set forth in Executive
Order 11988 is to promulgate a
regulation that affects a floodplain(s),
the agency must, prior to promulgating
the regulation, design or modify the
regulation in order to minimize
potential harm to or within the
floodplain, consistent with the agency’s
floodplain management regulations and
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containing an explanation of why the
action is proposed to be located in the
floodplain.
The requirements of Executive Order
11988 apply in the context of the
provision of Federal financial assistance
relating to, among other things,
construction and property improvement
activities, as well as conducting Federal
programs affecting a floodplain(s). The
changes proposed in this rule would not
have an effect on floodplain
management. This proposed rule revises
the criteria that FEMA considers when
recommending an area eligible for IA
under a major disaster declaration. A
major disaster declaration
recommendation to the President is an
administrative action for FEMA’s IA
Program. When FEMA undertakes
specific actions in administering IA that
may have effects on floodplain
management (e.g., placement of
manufactured housing units on FEMAconstructed group sites; permanent or
semi-permanent housing construction),
FEMA follows the procedures set forth
in 44 CFR part 9 to assure compliance
with this Executive Order. This serves
as the notice that is required by the EO.
J. Executive Order 11990, Protection of
Wetlands
Executive Order 11990, ‘‘Protection of
Wetlands,’’ 42 FR 26961, May 24, 1977,
sets forth that each agency must provide
leadership and take action to minimize
the destruction, loss or degradation of
wetlands, and to preserve and enhance
the natural and beneficial values of
wetlands in carrying out the agency’s
responsibilities for (1) acquiring,
managing, and disposing of Federal
lands and facilities; and (2) providing
Federally undertaken, financed, or
assisted construction and
improvements; and (3) conducting
Federal activities and programs affecting
land use, including but not limited to
water and related land resources
planning, regulating, and licensing
activities. Each agency, to the extent
permitted by law, must avoid
undertaking or providing assistance for
new construction located in wetlands
unless the head of the agency finds (1)
that there is no practicable alternative to
such construction, and (2) that the
proposed action includes all practicable
measures to minimize harm to wetlands
which may result from such use. In
making this finding the head of the
agency may take into account economic,
environmental and other pertinent
factors.
In carrying out the activities described
in Executive Order 11990, each agency
must consider factors relevant to a
proposal’s effect on the survival and

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quality of the wetlands. Among these
factors are: Public health, safety, and
welfare, including water supply,
quality, recharge and discharge;
pollution; flood and storm hazards; and
sediment and erosion; maintenance of
natural systems, including conservation
and long term productivity of existing
flora and fauna, species and habitat
diversity and stability, hydrologic
utility, fish, wildlife, timber, and food
and fiber resources; and other uses of
wetlands in the public interest,
including recreational, scientific, and
cultural uses.
The requirements of Executive Order
11990 apply in the context of the
provision of Federal financial assistance
relating to, among other things,
construction and property improvement
activities, as well as conducting Federal
programs affecting land use. The
changes proposed in this rule would not
have an effect on land use or wetlands.
This proposed rule revises the criteria
that FEMA considers when
recommending an area eligible for IA
under a major disaster declaration. A
major disaster declaration
recommendation to the President is an
administrative action for FEMA’s IA
Program. When FEMA undertakes
specific actions in administering IA that
may have such effects (e.g., placement
of manufactured housing units on
FEMA-constructed group sites;
permanent or semi-permanent housing
construction), FEMA follows the
procedures set forth in 44 CFR part 9 to
assure compliance with this Executive
Order.
K. Executive Order 12898,
Environmental Justice
Under Executive Order 12898,
‘‘Federal Actions to Address
Environmental Justice in Minority
Populations and Low-Income
Populations,’’ 59 FR 7629, February 16,
1994, as amended by Executive Order
12948, 60 FR 6381, February 1, 1995,
FEMA incorporates environmental
justice into its policies and programs.
The Executive Order requires each
Federal agency to conduct its programs,
policies, and activities that substantially
affect human health or the environment
in a manner that ensures that those
programs, policies, and activities do not
have the effect of excluding persons
from participation in programs, denying
persons the benefits of programs, or
subjecting persons to discrimination
because of race, color, or national origin.
FEMA has incorporated environmental
justice into its programs, policies, and
activities, as well as this proposed
rulemaking. This proposed rulemaking
contains provisions that ensure that

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FEMA’s activities will not have a
disproportionately high or adverse effect
on human health or the environment or
subject persons to discrimination
because of race, color, or national origin.
This proposed rule adds a provision
specifically related to the demographics
of a disaster impacted population.
FEMA is requesting the demographics of
a disaster impacted area because the
demographics may identify additional
needs that require a more robust
community response and might
otherwise delay a community’s ability
to recover from a disaster.
No action that FEMA can anticipate
under this rule will have a
disproportionately high and adverse
human health or environmental effect
on any segment of the population.

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L. Congressional Review of Agency
Rulemaking
Under the Congressional Review of
Agency Rulemaking Act (CRA), 5 U.S.C.
801–808, before a rule can take effect,
the Federal agency promulgating the
rule must submit to Congress and to the
Government Accountability Office
(GAO) a copy of the rule, a concise
general statement relating to the rule,
including whether it is a major rule, the
proposed effective date of the rule, a
copy of any cost-benefit analysis,
descriptions of the agency’s actions
under the Regulatory Flexibility Act and
the Unfunded Mandates Reform Act,
and any other information or statements
required by relevant executive orders.
FEMA will send this rule to the
Congress and to GAO pursuant to the
CRA if the rule is finalized. The rule is
not a ‘‘major rule’’ within the meaning
of the CRA. It will not have an annual
effect on the economy of $100,000,000
or more, it will not result in a major
increase in costs or prices for
consumers, individual industries,
Federal, State, or local government
agencies, or geographic regions, and it
will not have significant adverse effects
on competition, employment,
investment, productivity, innovation, or
on the ability of United States-based
enterprises to compete with foreignbased enterprises in domestic and
export markets.
List of Subjects in 44 CFR Part 206GG
Administrative practice and
procedure, Coastal zone, Community
facilities, Disaster assistance, Fire
prevention, Grant programs—housing
and community development, Housing,
Insurance, Intergovernmental relations,
Loan programs—housing and
community development, Natural
resources, Penalties, and Reporting and
recordkeeping requirements.

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For the reasons stated in the
preamble, the Federal Emergency
Management Agency proposes to amend
44 CFR part 206, subpart B, as follows:
PART 206—FEDERAL DISASTER
ASSISTANCE
1. The authority citation for part 206
continues to read as follows:

■

Authority: Robert T. Stafford Disaster
Relief and Emergency Assistance Act, 42
U.S.C. 5121 through 5207; Homeland
Security Act of 2002, 6 U.S.C. 101 et seq.;
Department of Homeland Security Delegation
9001.1; sec. 1105, Pub. L. 113–2, 127 Stat. 43
(42 U.S.C. 5189a note).

2. Revise § 206.48(b) to read as
follows:

■

§ 206.48 Factors considered when
evaluating a Governor’s request for a major
disaster declaration.

*

*
*
*
*
(b) Factors for the Individual
Assistance Program. The following
factors are used to evaluate the need for
supplemental Federal assistance to
individuals under the Stafford Act, as
Federal assistance may not supplant the
combined capabilities of a State, Tribal,
or local government. Federal Individual
Assistance, if authorized, is intended to
assist eligible individuals and families
when State, Tribal, and local
government resources and assistance
programs are overwhelmed. State fiscal
capacity (44 CFR 206.48(b)(1)(i)) and
uninsured home and personal property
losses (44 CFR 206.48(b)(2)) are the
principal factors that FEMA will
consider when evaluating the need for
supplemental Federal assistance under
the Individuals and Households
Program. If the need for supplemental
Federal assistance under the Individuals
and Households Program is not clear
from the evaluation of the principal
factors, FEMA will turn to the other
factors to determine the level of need.
(1) State fiscal capacity and resource
availability. FEMA will evaluate the
availability of State resources, and
where appropriate, any extraordinary
circumstances that contributed to the
absence of sufficient resources.
(i) Fiscal capacity (Principal Factor
for Individuals and Households
Program). Fiscal capacity is a State’s
potential ability to raise revenue from
its own sources to respond to and
recover from a disaster. The following
data points are indicators of fiscal
capacity.
(A) Total Taxable Resources (TTR) of
the State. TTR is the U.S. Department of
Treasury’s annual estimate of the
relative fiscal capacity of a State. A low
TTR may indicate a greater need for

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supplemental Federal assistance than a
high TTR.
(B) Gross Domestic Product (GDP) by
State. GDP by State is calculated by the
Bureau of Economic Analysis. GDP by
State may be used as an alternative or
supplemental evaluation method to
TTR.
(C) Per capita personal income by
local area. Per capita personal income
by local area is calculated by the Bureau
of Economic Analysis. A low per capita
personal income by local area may
indicate a greater need for supplemental
Federal assistance than a high per capita
personal income by local area.
(D) Other factors. Other limits on a
State’s treasury or ability to collect
funds may be considered.
(ii) Resource availability. Federal
disaster assistance under the Stafford
Act is intended to be supplemental in
nature, and is not a replacement for
State emergency relief programs,
services, and funds. FEMA evaluates the
availability of resources from State,
Tribal, and local governments as well as
non-governmental organizations and the
private sector.
(A) State, Tribal, and local
government; Non-Governmental
Organizations (NGO); and private sector
activity. State, Tribal, and local
government, Non-Governmental
Organizations, and private sector
resources may offset the need for or
reveal an increased need for
supplemental Federal assistance. The
State may provide information regarding
the resources that have been and will be
committed to meet the needs of disaster
survivors such as housing programs,
resources provided through financial
and in-kind donations, and the
availability of affordable (as determined
by the U.S. Department of Urban and
Housing Development’s fair market rent
standards) rental housing within a
reasonable commuting distance of the
impacted area.
(B) Cumulative effect of recent
disasters. The cumulative effect of
recent disasters may affect the
availability of State, Tribal, local
government, NGO, and private sector
disaster recovery resources. The State
should provide information regarding
the disaster history within the last 24month period, particularly those
occurring within the current fiscal
cycle, including both Presidential
(public and individual assistance) and
gubernatorial disaster declarations.
(C) State services. The State may
provide information regarding the
circumstances causing the State to lack
the resources to provide sufficient
services to its citizens.

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(D) Planning after prior disasters.
States are encouraged to develop and
continuously improve their own
disaster assistance programs. States
should identify new and existing
individual assistance programs as well
as improvements to existing individuals
assistance programs made as a result of
previous disasters. A State’s failure to
address limitations and shortfalls
identified by FEMA or the State after
previous events will also be considered.
(2) Uninsured home and personal
property losses (Principal Factor for
Individuals and Households Program).
Uninsured home and personal property
losses may suggest a need for
supplemental Federal assistance. The
State may provide the following
preliminary damage assessment data:
(i) The cause of damage.
(ii) The jurisdictions impacted and
concentration of damage.
(iii) The number of homes impacted
and degree of damage.
(iv) The estimated cost of assistance.
(v) The homeownership rate of
impacted homes.
(vi) The percentage of affected
households with sufficient insurance
coverage appropriate to the peril.
(vii) Other relevant preliminary
damage assessment data.
(3) Disaster impacted population
profile. The demographics of a disaster
impacted population may identify
additional needs that require a more
robust community response and delay a
community’s ability to recover from a
disaster. FEMA will consider
demographics of the impacted
communities for the following data
points as reported by the U.S. Census
Bureau or other Federal agencies:
(i) The percentage of the population
for whom poverty status is determined.
(ii) The percentage of the population
already receiving government assistance
such as Supplemental Security Income

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and Supplemental Nutrition Assistance
Program benefits.
(iii) The pre-disaster unemployment
rate.
(iv) The percentage of the population
that is 65 years old and older.
(v) The percentage of the population
18 years old and younger.
(vi) The percentage of the population
with a disability.
(vii) The percentage of the population
who speak a language other than
English and speak English less than
‘‘very well.’’
(viii) Any unique considerations
regarding American Indian and Alaskan
Native Tribal populations raised in the
State’s request for a major disaster
declaration that may not be reflected in
the data points referenced in paragraphs
(b)(3)(i)–(vii) of this section.
(4) Impact to community
infrastructure. The following impacts to
a community’s infrastructure may
adversely affect a population’s ability to
safely and securely reside within the
community.
(i) Lifesaving and life-sustaining
services. The effects of a disaster may
cause disruptions to or increase the
demand for lifesaving and lifesustaining services, necessitate a more
robust response, and may delay a
community’s ability to recover from a
disaster. The State may provide
information regarding the impact on life
saving and life sustaining services for a
period of greater than 72 hours. Such
services include but are not limited to
police, fire/EMS, hospital/medical,
sewage, and water treatment services.
(ii) Essential community services. The
effects of a disaster may cause
disruptions to or increase the demand
for essential community services and
delay a community’s ability to recover
from a disaster. The State may provide
information regarding the impact on
essential community services for a

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period greater than 72 hours. Such
services include but are not limited to
schools, social services programs and
providers, child care, and eldercare.
(iii) Transportation infrastructure and
utilities. Transportation infrastructure or
utility disruptions may render housing
uninhabitable or inaccessible. Such
conditions may also affect the delivery
of life sustaining commodities,
provision of emergency services, ability
to shelter in place, and efforts to
rebuild. The State may provide
information regarding the impact on
transportation infrastructure and
utilities for a period of greater than 72
hours.
(5) Casualties. The number of
individuals who are missing, injured, or
deceased due to a disaster may indicate
a heightened need for supplemental
Federal disaster assistance. The State
may report the number of missing,
injured, or deceased individuals.
(6) Disaster related unemployment.
The number of disaster survivors who
lost work or became unemployed due to
a disaster and who do not qualify for
standard unemployment insurance may
indicate a heightened need for
supplemental Federal assistance. This
usually includes the self-employed,
service industry workers, and seasonal
workers such as those employed in
tourism, fishing, or agriculture
industries. The State may provide an
estimate of the number of disaster
survivors impacted under this
paragraph as well as information
regarding major employers affected.
Dated: October 29, 2015.
W. Craig Fugate,
Administrator, Federal Emergency
Management Agency.
[FR Doc. 2015–28570 Filed 11–10–15; 8:45 am]
BILLING CODE 9111–23–P

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