Factors Considered When Evaluating a Governor’s Request for Individual Assistance for a Major Disaster
Notice of proposed rulemaking.
CFR Part: "44 CFR Part 206"
RIN Number: "RIN 1660-AA83"
Citation: "80 FR 70116"
Document Number: "Docket ID FEMA-2014-0005"
Page Number: "70116"
"Proposed Rules"
SUMMARY:
DATES: Comments must be received on or before
ADDRESSES: You may submit comments, identified by docket ID FEMA-2014-0005, by one of the following methods:
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SUPPLEMENTARY INFORMATION:
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
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
3.
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.
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 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, 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 e-Rulemaking Portal at http://www.regulations.gov. Background documents and submitted comments may also be inspected at the
II. Executive Summary
A. Purpose of the Regulatory Action
1. The Need for the Regulatory Action and How the Action
On
FEMA is proposing this rule to comply with SRIA and to provide clarity on the IA declaration factors that
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
B. Summary of Major Provisions
FEMA proposed to revise the factors found at 44 CFR 206.48 that
FEMA is proposing to revise the current factors by providing additional clarity regarding the considerations
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 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.
FOOTNOTE 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 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 Federally-declared 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. The Hazard Mitigation Grant Program provides grants to States and local governments to implement long term hazard mitigation measures after a major disaster declaration.
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
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,
2. State's Submission of Its Declaration Request to
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.
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 disaster-related needs. 44 CFR 206.37(b).
Based on all available information, the FEMA Administrator formulates a recommendation which is forwarded to 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,
FOOTNOTE 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. END FOOTNOTE
4. Approval or Denial of the Declaration Request
Upon completion of its recommendation,
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,
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
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 psycho-educational 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 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.
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
Congress directed
FOOTNOTE 3 The factors that
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.
C.
Section 1109 of SRIA requires
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, faith-based, 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 community-based organization involvement may not be available at the time of a disaster declaration and those organizations do not provide funding for the rebuilding or replacement of houses.
2. The Correlation Between the Population Size of a State and Its Capability To Recover
Several members of the stakeholder group discouraged
In developing this proposed rule,
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.
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).
4. Impact on Businesses
Multiple members of the stakeholder group asked
In addition, the
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
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 meet specific needs in the disaster-impacted community that may be unrelated to physical disaster damage.
FOOTNOTE 4 For example
6. Impacts to Community
FEMA received comments from the stakeholder group suggesting that
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 agrees with the comments received from emergency managers that the fiscal capacity of a State should be considered, but
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 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
FOOTNOTE 5 As noted above,
9. Insurance
Under its current regulations,
FOOTNOTE 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
Comments that
FOOTNOTE 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). END FOOTNOTE
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 the recovery process.
11. Incentives for State Sponsored IA Programs
FEMA received comments from the stakeholder group stating that
IV. Discussion of the Proposed Rule
This rule proposes to implement Section 1109 of SRIA, which requires
As is currently the practice,
A. 44 CFR 206.48--Paragraph (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
Fiscal Capacity.
In addition, the United States Government Accountability Office (GAO) has suggested in multiple reports /8/ that
FOOTNOTE 8 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,
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.
FOOTNOTE 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
FOOTNOTE 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,
The TTR of the State is an annual estimate of the relative fiscal capacity of a State, calculated by the
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
FOOTNOTE 11 GDP by State is a component of the TTR calculation. END FOOTNOTE
FOOTNOTE 12 The
FOOTNOTE 13 GDP by State data is currently available from the BEA for the following territories:
Generally,
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
FOOTNOTE 14 Data on per capita personal income is available on the BEA's "Local Areas Personal Income & Employment" Table CA1.
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
Resource Availability.
FEMA is proposing to include at 44 CFR 206.48(b)(1)(ii)(A)-(D) four factors that will enable
In current regulations,
This factor is an attempt to include the "
FEMA proposes to add a new factor "Cumulative Effect of Recent Disasters," at 44 CFR 206.48(b)(1)(ii)(B), to evaluate a State's disaster history, both Presidential (public and individual assistance) and gubernatorial disaster declarations, for the previous 24-month period.
FEMA is proposing a new factor, "State Services," at 44 CFR 206.48(b)(1)(ii)(C). Under this factor,
Finally, under the "Resource Availability" factor,
B. 44 CFR 206.48--Paragraph (b)(2) Uninsured Home and Personal Property Losses
Under FEMA's current regulations,
FOOTNOTE 15 Preliminary Damage Assessment for Individual Assistance Operations Manual (9327.2). Available at: http://www.fema.gov/media-library/assets/documents/29569. END FOOTNOTE
The first proposed data point is the cause of damage in a new paragraph 44 CFR 206.48(b)(2)(i).
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).
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.
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
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.
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).
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).
C. 44 CFR 206.48--Paragraph (b)(3) Disaster Impacted Population Profile
In FEMA's current regulations at 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
FOOTNOTE 16 Poverty data comes from the U.S. Census Small Area Estimate Branch, "Poverty and Median Income Estimates for Counties."
FOOTNOTE 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
The proposed population demographic data points are relevant to all of
D. 44 CFR 206.48--Paragraph (b)(4) Impact to Community Infrastructure
In FEMA's current regulations, at 44 CFR 206.48(b),
FOOTNOTE 18
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
FOOTNOTE 19 See the following Web sites as examples: The
Life-Saving and Life-Sustaining Services.
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
Essential Community Services.
Transportation Infrastructure and Utilities.
E. 44 CFR 206.48--Paragraph (b)(5) Casualties
In FEMA's current regulations, at 44 CFR 206.48(b)(2)(i),
In addition,
F. 44 CFR 206.48--Paragraph (b)(6) Disaster Related Unemployment
In FEMA's current regulations,
In addition,
The Disaster Unemployment Assistance program (DUA), operation of which has been delegated to the
In addition,
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
Table 1--Estimated Cost of Assistance to Declaration Decision Comparative Dollar amount of Number of Number of Percentage estimated costs of disaster disasters of disasters assistance requests declared declared$7.5 million or 32 31 97 more$1.5 million to 87 38 44$7.5 million $1.5 million or 34 2 6 less * Based on major disaster declaration requests including IHP betweenJanuary 2008 andJuly 2013 .
Similarly,
FOOTNOTE 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. END FOOTNOTE
FOOTNOTE 21 For the analysis on TTR,
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
However,
In order to ensure that the most useful and up to date data and information are available to States for guidance and planning purposes,
FOOTNOTE 22 These can be found on
In addition to publishing PDA data,
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
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, 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
This proposed rule would impose a cost burden of
FOOTNOTE 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
A-4 Accounting Table Estimates Units Category Primary Low High Year Discount Period Notes estimate estimate estimate dollar rate covered Benefits Annualized None None None NA NA NA Not Monetized ( $ Quantified. millions/year) Annualized None None None NA NA NA Not Quantified Quantified. Qualitative 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 $$0.0 $0.0 2013 7% 10 None. Monetized 1,894.0 Years $$0.0 $0.0 2013 3% 10 1,853.0 Years Annualized None None None 2013 N/A 10 Quantified Years Qualitative None. T Transfers Federal None None None NA 7% NA None. Annualized Monetized (
|%millions/year)
Other None None None NA 7% NA None. Annualized Monetized (
|%millions/year)
Effects State, Local, None None None N/A NA NA None. and/or Tribal Government Small
2. Need for Regulatory Action
FEMA is proposing this rule to provide clarity on the IA declaration factors that
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
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
4. Current Baseline and Changes From Proposed Rule
The proposed rule largely codifies many considerations that
FOOTNOTE 24
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 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.
Fiscal Capacity.
FOOTNOTE 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,
To ascertain a State's fiscal capacity to respond to a major disaster,
FOOTNOTE 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
Resource Availability. Relative to State services and planning after prior disasters,
5. Impacts to Costs, Benefits, and Transfer Payments
In the following section,
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.
If a State is unable to provide information for a particular factor or factors,
FEMA anticipates information on State services and planning after prior disasters would be addressed in a short summary in the Governor's request.
FOOTNOTE 27
FOOTNOTE 28
FOOTNOTE 29
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,
FOOTNOTE 30 Historically,
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
FOOTNOTE 31 To estimate the time for States to familiarize themselves and understand the new factor data requirements,
FEMA estimates total State costs in the first year to be
b. Federal Costs
FEMA anticipates the Federal government would incur minor additional costs by the rule because, as noted above,
In the past,
One of the areas where
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
FOOTNOTE 32 The General Schedule (GS) 12 (Step 1) hourly wage of
The following table displays the ten year total costs (undiscounted, discounted at three percent, and discounted at seven percent) for the proposed rule.
Table 2--Total Costs of the Proposed Rule Year State State FEMA costs Undis- Annual Annual initial costs (retriev- counted costs costs review (providing ing data) annual discounted discounted cost informa- costs at 3% at 7% tion) 1$2,143 $1,569 $40 $3,752 $3,643 $3,507 2 1,569 40 1,609 1,517 1,405 3 1,569 40 1,609 1,472 1,313 4 1,569 40 1,609 1,430 1,227 5 1,569 40 1,609 1,388 1,147 6 1,569 40 1,609 1,348 1,072 7 1,569 40 1,609 1,308 1,002 8 1,569 40 1,609 1,270 936 9 1,569 40 1,609 1,233 875 10 1,569 40 1,609 1,197 818 Total 2,143 15,690 400 18,233 15,806 13,302
c. Benefits
Benefits of the proposed rule include clarifying
In the past,
FOOTNOTE 33 In making past determinations,
The two newly identified factors would also provide additional context to a State's circumstances to help inform
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 intends the proposed rule to identify factors that it would use when making recommendations to the President.
State Services and Planning after Prior Disasters. As stated previously,
Fiscal Capacity. Although
FEMA conducted a review of 153 /34/ major disaster declaration requests that included IA that were submitted between
FOOTNOTE 34 For the analysis on TTR,
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 Number of Number of Percentage of Percentage of requests approved approved approved (2008-2013) requests requests requests (2008-2013) (2008-2013) in range (2008-2013) >25 43 41 57.7% 95% 10-25 53 26 36.6% 49% <10 57 4 5.6% 7% 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.
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.
Furthermore, there were major disaster declaration requests that had high IA cost estimates, and though the State had a higher than average TTR, the major disaster declaration authorizing IA was still granted.
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 also intends to review data on per capita personal income by local area to ascertain a local government's fiscal capacity.
Again,
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.
FOOTNOTE 35
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 assistance available to individuals and households. A more detailed table providing additional information is also included in the rulemaking docket on www.regulations.gov.
Table 4--IA Declarations Factor Marginal Analysis Factor Status Activity cost per Benefits year Fiscal Capacity: New$11 --FEMA will Informs States that Total Taxable spend 10-15 minutes FEMA may assess Resources (TTR) of a year retrieving State's taxable the State and storing Treasury resources based on 44 CFR S. data (including all TTR and may use TTR 206.48(b)(1)(i)(A) State data in one to depict State retrieval) economic growth or decline and relative fiscal capacity with comparably-sized States or the Nation. Fiscal Capacity: New$11 --FEMA will Informs States that Gross Domestic spend 10-15 minutes FEMA may assess Product (GDP) by a year for State fiscal State retrieving and capacity with this 44 CFR S. storing BEA GDP data data point when TTR 206.48(b)(1)(i)(B) (including all State data is not & Territory data in available or if the one retrieval) TTR data is inaccurate due to the 2 year lag in the data update. Fiscal Capacity: Per New$19 --FEMA will Provides FEMA the Capita Personal spend 15-30 minutes flexibility to use Income by Local Area a year for information on the 44 CFR S. retrieving and local fiscal 206.48(b)(1)(i)(C) storing BEA Per capacity Capita Personal characteristics to Income data annually judge IA needs in (including data on disaster affected all local areas in areas. one retrieval) Fiscal Capacity: New$0 --State time will Provides FEMA the Other Factors vary and data will flexibility to use 44 CFR S. be used on a case- any other data or 206.48(b)(1)(i)(D) by-case basis as information on a needed State or local area's fiscal capacity to judge disaster needs in affected areas. Resource Previously$0 --No change in Clarification of Availability: State Considered time burden due to current practice in Tribal and Local current compliance regulation. Government Non- Governmental Organizations (NGO) and Private Sector Activity 44 CFR S. 206.48(b)(1)(ii)(A) Resource Previously$0 --No change in Clarification of Availability: Considered time burden due to current practice in Cumulative Effect of current compliance regulation. Recent Disasters 44 CFR S. 206.48(b)(1)(ii)(B) Resource New$784.5 --15 minutes Provides FEMA more Availability: State for States to information to Services discuss why the evaluate the 44 CFR S. State does not have resources States 206.48(b)(1)(ii)(C) sufficient funding have used. States to provide adequate consider their State services to resources in their its own citizens request. after a major disaster Resource New$784.5 --15 minutes Provides FEMA more Availability: for States to information to Planning After Prior discuss improvements evaluate the Disasters to their State IA State's resource 44 CFR S. programs and any planning. State's 206.48(b)(1)(ii)(D) disaster planning demonstrate they that occurred after have planned after prior major recent disasters. disasters Uninsured Home and Previously$0 --No change in Clarification of Personal Property Considered time burden due to current practice in Losses: The cause of current compliance regulation. damage 44 CFR S. 206.48(b)(2)(i) Uninsured Home and Previously$0 --No change in Clarification of Personal Property Considered time burden due to current practice in Losses: The current compliance regulation. jurisdictions impacted and concentration of damage 44 CFR S. 206.48(b)(2)(ii) Uninsured Home and Previously$0 --No change in Clarification of Personal Property Considered time burden due to current practice in Losses: The number current compliance regulation. of homes impacted and degree of damage 44 CFR S. 206.48(b)(2)(iii) Uninsured Home and Previously$0 --No change in Clarification of Personal Property Considered time burden due to current practice in Losses: The current compliance regulation. estimated cost of assistance 44 CFR S. 206.48(b)(2)(iv) Uninsured Home and Previously$0 --No change in Clarification of Personal Property Considered time burden due to current practice in Losses: The current compliance regulation. homeownership rate of impacted homes 44 CFR S. 206.48(b)(2)(v) Uninsured Home and Previously$0 --No change in Clarification of Personal Property Considered time burden due to current practice in Losses: The current compliance regulation. percentage of affected households with insurance coverage appropriate to the peril 44 CFR S. 206.48(b)(2)(vi) Uninsured Home and Previously$0 --No change in Clarification of Personal Property Considered time burden due to current practice in Losses: Other current compliance regulation. relevant preliminary damage assessment data 44 CFR S. 206.48(b)(2)(vii) Disaster Impacted Previously$0 --No change in Clarification of Population Profile: Considered time burden due to current practice in The percentage of current compliance, regulation. the population for data collected in whom poverty status PDA process is determined 44 CFR S. 206.48(b)(3)(i) Disaster Impacted Previously$0 --No change in Clarification of Population Profile: Considered time burden due to current practice in The percentage of current compliance, regulation. the population data collected in already receiving PDA process government assistance such as Supplemental Security Income and Supplemental Nutrition Assistance Program benefits 44 C.F.R S. 206.48(b)(3)(ii) Disaster Impacted Previously$0 --No change in Clarification of Population Profile: Considered time burden due to current practice in The pre-disaster current compliance, regulation. unemployment rate data collected in 44 CFR S. PDA process 206.48(b)(3)(iii) Disaster Impacted Previously$0 --No change in Clarification of Population Profile: Considered time burden due to current practice in The percentage of current compliance, regulation. the population that data collected in is 65 years old and PDA process older 44 CFR S. 206.48(b)(3)(iv) Disaster Impacted Previously$0 --No change in Clarification of Population Profile: Considered time burden due to current practice in The percentage of current compliance, regulation. the population 18 data collected in years old and PDA process younger 44 CFR S. 206.48(b)(3)(v) Disaster Impacted Previously$0 --No change in Clarification of Population Profile: Considered time burden due to current practice in The percentage of current compliance, regulation the population with data collected in a disability PDA process 44 CFR S. 206.48(b)(3)(vi) Disaster Impacted Previously$0 --No change in Clarification of Population Profile: Considered time burden due to current practice in The percentage of current compliance, regulation. the population who data collected in speak a language PDA process other than English and speak English less than "very well" 44 CFR S. 206.48(b)(3)(vii) Disaster Impacted Previously$0 --No change in Clarification of Population Profile: Considered time burden due to current practice in Any unique current compliance regulation. considerations regarding American Indian and Alaskan Native Tribal populations that may not be reflected in the U.S. Census Bureau data 44 CFR S. 206.48(b)(3)(viii) Impact to Community Previously$0 --No change in Clarification of Infrastructure: Life Considered time burden due to current practice in Saving and Life current compliance regulation. Sustaining Services 44 CFR S. 206.48(b)(4)(i) Impact to Community Previously$0 --No change in Clarification of Infrastructure: Considered time burden due to current practice in Essential Community current compliance regulation. Services 44 CFR S. 206.48(b)(4)(ii) Impact to Community Previously$0 --No change in Clarification of Infrastructure: Considered time burden due to current practice in Transportation current compliance regulation. Infrastructure and Utilities. 44 CFR S. 206.48(b)(4)(iii) Casualties: The Previously$0 --No change in Clarification of number of missing, Considered time burden due to current practice in injured, or deceased current compliance regulation. individuals 44 CFR S. 206.48(b)(5) Disaster Related Previously$0 --No change in Clarification of Unemployment: The Considered time burden due to current practice in number of disaster current compliance regulation. survivors who lost work or became unemployed due to a disaster and who do not qualify for standard unemployment insurance 44 CFR S. 206.48(b)(6) All Factors : All 6 New & 22$3752 in the first Informs States with Data Points Previously year and$1609 in the information S. 206.48(b) Considered the subsequent that FEMA considers annual reoccurring when deciding costs--Increase time whether to burden due to new recommend an IA factors and time for declaration to the the State to read President's Office. and understand the new regulations
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,
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 because their availability may be limited by their financial circumstances, their donors' economic situations, and the circumstances of their volunteers.
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.
c. Automatically Trigger Contiguous Counties and States
Based on stakeholder recommendations,
FEMA did not quantify the impacts of this alternative but does acknowledge there could be an increase in transfer payments if
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.
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 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.
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.
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.
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
i. Do Not Include State Resources Indicators
FEMA considered the alternative of not including State resource indicators. If this factor was not included,
B. Regulatory Flexibility Act
Under the Regulatory Flexibility Act (RFA), 5 U.S.C.
This proposed rule provides States with factors
FOOTNOTE 36 The
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
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,
NEPA implementing regulations governing
In addition, this proposed rule revises the criteria that
E. Paperwork Reduction Act of 1995
As required by the Paperwork Reduction Act of 1995 (PRA), Public Law 104-13, 109 Stat. 163, (
In this proposed rule,
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
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
Table A.12 provides estimates of annualized cost to respondents for the hour burdens for the collection of information.
FOOTNOTE 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.
FOOTNOTE 39 Note: The "Avg. Hourly Wage Rate" for each respondent includes a 1.4 multiplier to reflect a fully-loaded wage rate. END FOOTNOTE
Table A.12--Estimated Annualized Burden Hours and Costs <37> Type of Form name/form Number of Number of Average respondent No. respondents responses per burden per respondent response <38> (in hours) State, Local Request for 622 .5707 9.062 or Tribal Presidential Government Disaster Declaration Major Disaster or Emergency/FEMA Form 010-0-13 State, Local Initial Data 622 .57 24 or Tribal Gathering for Government Governor's Request/No Form Total 622
Table A.12--Estimated Annualized Burden Hours and Costs <37> Type of Total annual Average Total annual respondent burden hourly wage respondent (in hours) rate <39> cost State, Local 3,217$76.52 $246,164.84 or Tribal Government State, Local 8,520 33.10 282,012.00 or Tribal Government Total 11,737 528,176.84
Estimated Cost:
The estimated annual cost to respondents for the hour burden is
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.
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 rulemaking does not impact
G. Executive Order 13175, Consultation and Coordination With Indian Tribal Governments
Executive Order 13175, "Consultation and Coordination with Indian Tribal Governments," 65 FR 67249,
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 notes that Section 1109 of SRIA requires
FOOTNOTE 40 Please refer to the following Web site for further information on
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.
H. Executive Order 13132, Federalism
Executive Order 13132, "Federalism," 64 FR 43255,
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,
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 prepare and circulate a notice 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
J. Executive Order 11990, Protection of Wetlands
Executive Order 11990, "Protection of Wetlands," 42 FR 26961,
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 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
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,
No action that
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
FEMA will send this rule to the
List of Subjects in 44 CFR Part 206 GG
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.
For the reasons stated in the preamble, the
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.
2. Revise
* * * * *
(b) Factors for the
(1) State fiscal capacity and resource availability.
(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
(B) Gross Domestic Product (GDP) by State. GDP by State is calculated by the
(C) Per capita personal income by local area. Per capita personal income by local area is calculated by the
(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.
(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
(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 24-month 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.
(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
(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.
(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 and
(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 life-sustaining 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 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:
Administrator,
[FR Doc. 2015-28570 Filed 11-10-15;
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