RETURN TO PREVIOUS PAGE

Chapter 6: Cost Eligibility

This chapter provides information relating to Public Assistance (PA) cost eligibility. Not all costs arising from the incident are eligible for reimbursement through the PA Program, and applicants must meet explicit criteria to qualify.

Mandatory Document Retention Windows

Applicants must retain cost, financial, procurement information, real property and equipment records, programmatic records, supporting documents, and all other records pertinent to the grant.

  • Standard Retention Period: Records must be kept for a period of three years from the date the final expenditure of funds is documented.
  • Litigation and Audit Extensions: In the case of litigation, an audit, or any other claim started before the 3-year period expires, the records must be retained until a resolution is reached and final action taken.

I. Eligibility Requirements

Costs are the final component evaluated for eligibility, and these criteria apply to all costs claimed. To be eligible, costs must be:

  • Directly tied to the performance of eligible work;
  • Adequately documented, substantiated, or certified;
  • Reduced by all applicable credits, such as insurance proceeds and salvage values;
  • Authorized and not prohibited under federal or state, local, Tribal Nation, and territorial (SLTT) government laws or regulations;
  • Consistent with the applicant's internal policies, regulations, and procedures that apply uniformly to both federal awards and other activities of the applicant; and
  • Necessary and reasonable to accomplish the work properly and efficiently.

II. Reasonable Costs

A cost is reasonable if, in its nature and amount, it does not exceed that which would be incurred by a prudent person under the circumstances prevailing at the time an applicant makes the decision to incur the cost.

Cost Analysis Triggers

FEMA conducts a formal reasonable cost analysis under specific contract and resource scenarios:

  • Contracted Resources: Initiated if applicants submit cost claims based on non-competitive bids, time-and-materials contracts, or cost-plus-percentage-of-cost/construction methods. For large projects, an analysis is performed if contract selection was noncompliant with procurement requirements, even despite price competition.
  • Force Account Resources: For an applicant's own internal resources, FEMA only conducts a reasonable cost analysis for large projects.

A. Reasonable Cost Analysis Mechanics

FEMA performs a preliminary review to assess project complexity. If specialized expertise is required, a subject matter expert (such as an engineer, architect, or cost estimator) conducts the analysis.

Evaluation Criteria

FEMA determines reasonableness by evaluating the following baseline factors:

  1. Ordinary and Necessary Nature: Evaluates if the cost is recognized as ordinary and necessary for the type of work. FEMA reviews employee skill levels and limits funding if the type of employee or skill level is inappropriate for the specific task.
  2. Hours Claimed: Evaluates the severity of the incident, whether extraordinary hours were necessary under the circumstances, the employee's function, and the number of consecutive hours worked.
  3. Sound Business Practices: Verifies that the applicant participated in arm's length bargaining ensuring independent parties without familial ties or shared interests.
  4. Prudence in Exigency: Reviews if individuals acted with prudence, evaluating the period costs were incurred relative to the reasonable duration of any exigent circumstances.
  5. Policy Deviations: Confirms consistency with the entity's normal pay rates, labor policies, and cost schedules utilized during normal operations.
  6. Procurement Compliance: Evaluates adherence to full and open competition and checks for a cost or price analysis. If the applicant selected a contractor with a higher bid, it must substantiate its selection based on criteria set forth in its request for proposal (RFP).

Market Price Comparison Methodology

FEMA compares claimed costs against current market prices in the same geographical area using one or more of the following validation methods:

  • Historical Documentation: Evaluates previous contracts or invoices, adjusting for inflation, code changes, and material shortages.
  • Weighted Average Unit Pricing: Reviews average costs in the area derived from competitive bid solicitations, including factors like performance bonds, overhead, and profit.
  • Other Applicants' Costs: Compares metrics against projects with similar scopes of work and disaster circumstances.
  • National Estimating Databases: Utilizes published unit costs adjusted via locality adjustment factors.
  • Industry Costing Resources: Employs standard tracking metrics such as RS Means, BNi Costbooks, Marshall and Swift, or Sweet's Unit Cost Guide.
  • FEMA Cost Codes: Utilizes regional and national unit prices maintained by FEMA, particularly for force account equipment.
Funding Disallowance and Adjustments

Remedy Rule: If claimed costs are determined unreasonable, FEMA may disallow all or part of the costs by adjusting funding to a reasonable level. FEMA may use the least-cost alternative, the lowest bid received, the pricing of another applicant's properly procured contractor, or a FEMA-developed estimate using industry resources.

III. Applicant (Force Account) Labor

FEMA refers to an applicant's personnel as "force account" and reimburses labor based on actual hourly rates plus the cost of actual fringe benefits. Fringe benefits are calculated as a percentage of the hourly pay rate and may include holiday leave, sick/vacation leave, social security/Medicare matching, unemployment insurance, workers' compensation, retirement, and health/life/disability insurance.

Explicit Paid Leave Exclusions

Ineligibility Notice: Costs associated with the salary and benefits of an employee on leave (e.g., sick leave), regardless of the nature of the leave and whether the employee has leave to use, are strictly ineligible. Administrative leave or labor costs incurred for employees sent home or told not to report due to emergency conditions are likewise ineligible.

A. Labor Policies

Eligibility is determined based on the applicant's pre-disaster written labor policy. "Pre-disaster" means prior to the incident start date identified in the approved declaration. The policy must meet the following criteria:

  • Does not include a contingency clause making payment subject to federal funding;
  • Is applied uniformly regardless of a presidential declaration; and
  • Has set non-discretionary criteria for when the applicant activates various pay types.

B. Eligibility Criteria by Category of Work

Labor reimbursement differs based on the category of work performed, pay type (straight-time vs. overtime), and whether the employee is budgeted or unbudgeted.

Permanent Work (Categories C-G)

Both straight-time and overtime pay are eligible for budgeted and unbudgeted employee labor costs.

Emergency Work (Categories A-B)

  • Budgeted Employees: Straight-time labor costs are generally ineligible, while overtime labor costs are eligible. Exception: Straight-time labor for budgeted employees is eligible if they are performing eligible Category A debris removal work under alternative procedures.
  • Unbudgeted Employees: Both straight-time and overtime labor hours are eligible for personnel hired specifically for the incident, seasonal employees working outside their normal season, or essential employees called back from a budget-related furlough.

Reassigned and Backfill Personnel

Reassigned Employees

Costs for employees reassigned to perform work outside their normal job functions (e.g., a police officer clearing debris) are eligible based on the reassigned employee's normal pay rate. If funded from an external source, straight-time hours are eligible only if reassigned to eligible emergency work that the external source does not fund, subject to confirming no duplication of benefits exists.

Backfill Employees

If an employee is performing eligible emergency work, the costs to temporarily replace them in their normal duties are eligible under limited conditions. If the backfill employee is budgeted or called in from scheduled leave, only their overtime hours are eligible. If the backfill employee is unbudgeted (temporary or contracted hire), their straight-time hours are eligible.

Supervisory, Standby, and Premium Pay Limitations

Executive Supervisor Overtime

Second-level supervisors and above (e.g., commissioners, mayors, directors, chiefs) are usually exempt from overtime requirements under the Fair Labor Standards Act; therefore, their overtime costs are ineligible unless the applicant demonstrates direct involvement with a specific project, normally charges that individual's time to specific projects, and incurs the cost under an eligible labor policy.

Discretionary Bonus Exclusion

FEMA considers bonuses and incentive pay to be discretionary rewards rather than premium pay required for actual hours worked; they are ineligible even when related to hazardous situations caused by the incident.

Standby Time Rules

Labor costs for intermittent standby time are eligible only for staff conducting eligible evacuation, sheltering, search and rescue, or emergency medical care. Standby pay must be required by an established labor policy, contract, or union agreement, and the hours must be reasonable and necessary to keep lifesaving resources available. For firefighter portal-to-portal continuous support (24-hour shifts), reimbursement is limited to timeframes that are reasonable and necessary, not to exceed 14 calendar days from the start of the incident period.

IV. Equipment, Supplies, and Real Property

A. Applicant-Owned and Purchased Equipment

FEMA provides PA funding for the use of force account equipment based on hourly equipment rates, or based on mileage for vehicles if documented and less costly than hourly rates. Rates apply only to active operational time. Equipment standby time is ineligible unless the operator uses the equipment intermittently for more than half of the working hours for a given day.

Rate Classification Structures

  • FEMA Rates: National rates include all ownership and operational costs (depreciation, maintenance, fuel, tires). Because maintenance and fuel are built into the rate, mechanic labor and separate fuel purchases are ineligible.
  • State, Tribal, or Territorial Rates: Rates established for normal day-to-day operations are funded up to $75 per hour. Rates above $75 require documentation proving each rate component matches current market prices.
  • Local Rates: FEMA generally funds equipment based on the lower of the local rate or the FEMA rate. If the local rate is lower but does not reflect actual operating costs, the applicant may certify to use the higher FEMA rate. If a comparison of each individual piece of equipment is overly burdensome, FEMA will reimburse all equipment based on the lower of the two overall rate schedules.
  • Equipment with No Established Rate: Reimbursed based on the FEMA rate. If no FEMA rate exists, the applicant may submit a rate for approval backed by commercial market components, excluding rental-rate factors like profit.
National Security Telecommunications Ban

Procurement Prohibition: Applicants are legally prohibited from expending FEMA awards on systems identified in the National Defense Authorization Act. Funding cannot be used to procure, extend, or renew contracts for substantial or critical technology components provided by covered foreign entities.

B. Rented or Leased Equipment

Leasing costs are eligible provided the applicant performed a pre-rent cost analysis comparing leasing versus purchasing, and the total leasing costs do not exceed the cost of purchasing and maintaining the item over the project life. If the applicant has a rent-to-own agreement and obtains ownership during the project, funding shifts to force account hourly equipment rates from that point forward.

C. Supplies and Inventory Pricing

The cost of supplies and materials is eligible if purchased for the incident or taken from the applicant's stock. Stock withdrawals must be tracked via inventory records and are funded based on invoices or the applicant's established inventory pricing method. If no method exists, historical data or local vendor pricing is used.

D. Property Disposition Requirements

Disposition rules apply when purchased equipment or supplies are no longer needed for federally funded projects. Equipment is defined as tangible personal property with a useful life of more than one year and a per-unit acquisition cost of at least $10,000; items below this threshold are supplies.

Purchased Equipment Disposition

  • STT Entities: Dispose of equipment in accordance with their own state, territorial, or tribal laws and procedures, and may not be required to compensate FEMA.
  • Local Governments and PNPs: If an item's current fair market value is $10,000 or more, the applicant must compensate FEMA for its share based on the project cost share, typically executed as a reduction in eligible funding. If the fair market value is under $10,000, no funding reduction is taken.

Purchased Supplies Disposition

When unused residual supplies are no longer needed, all applicants (including STT entities) must calculate the aggregate fair market value of residual inventory across all projects. If the aggregate total is greater than $10,000, the applicant must compensate FEMA based on the cost share. If the aggregate total is under $10,000, no reduction is applied. For small projects, supply disposition is addressed during formulation and assumes aggregate unused supplies do not exceed $10,000.

Real Property Disposition

If an applicant acquires or improves real property with PA funds, they must obtain specific, formal disposition and reporting instructions from FEMA once the property is no longer needed for its authorized purpose.

V. Procurement and Contracting Requirements

State and territorial government agencies and Tribal Nations must comply with federal procurement procedures at 2 C.F.R. § 200.317, meaning they must follow the same policies used for non-federal funds and comply with EPA guidelines for recovered materials.

Required State/Tribal Contract Provisions

Under 2 C.F.R. § 200.327, all contracts awarded by state or tribal entities must incorporate explicit provisions covering:

  • Remedies, termination for cause and convenience, and Equal Employment Opportunity;
  • Contract Work Hours and Safety Standards Act, Clean Air Act, and Federal Water Pollution Control Act;
  • Debarment and suspension, Byrd Anti-Lobbying Amendment clauses and certifications; and
  • Procurement of recovered materials, domestic preferences, and telecommunications contracting prohibitions.

Local Government and PNP Procurement Frameworks

Local governments and PNPs must utilize their own documented procedures, applicable SLTT laws, and federal regulations under 2 C.F.R. § 200.318 through 200.327, adhering to the most restrictive requirement in the event of a conflict.

Mandatory Local Procurement Rules
  • Full and Open Competition: Applicants must provide full and open competition. Tribal applicants may provide preference to Indian-owned economic enterprises if they meet Indian Self-Determination and Education Act rules.
  • Socioeconomic Steps: Applicants must take affirmative steps to include small, minority, women's, and veteran-owned businesses on solicitation lists and divide requirements into smaller tasks when economically feasible.
  • Independent Estimates and Cost Analysis: Applicants must make independent cost estimates before receiving bids or proposals and perform a cost or price analysis for every procurement action above the simplified acquisition threshold.
  • Contractor Exclusions: Contractors that develop or draft specifications, statements of work, or RFPs are strictly excluded from competing for those specific procurements.
  • History Records: Entities must maintain files detailing the procurement history, including the rationale for the procurement method, selection of contract type, contractor selection/rejection, and the basis for the contract price.

Procurement Methods and Prohibitions

Applicants must utilize one of five formal procurement methods: micro-purchases, small purchase procedures, sealed bids (formal advertising), competitive proposals, or noncompetitive proposals.

Noncompetitive (Sole-Source) Solicitations

Sole-sourcing is allowable only under four specific circumstances: the item is available from a single source; public exigency or emergency will not permit competitive delays; FEMA or the recipient expressly authorizes it in writing; or competition is deemed inadequate after soliciting multiple sources. For public exigency or emergency contracts, the sole-source allowance applies only while the immediate threat exists; applicants must immediately begin a competitive procurement process to transition the work as soon as circumstances cease.

Prohibited Contract Types

FEMA flatly prohibits and will not reimburse the increased profit costs associated with cost-plus-percentage-of-cost or percentage-of-construction contract methods, as they provide a financial incentive to the contractor to escalate performance costs. Time-and-materials (T&M) contracts are restricted to instances where a clear SOW cannot be defined, and they must include a strict ceiling price and a high degree of documented applicant oversight.

Cooperative and Piggyback Purchasing Restrictions

FEMA advises against the use of cooperative purchasing programs and piggyback contracting due to frequent compliance conflicts with federal regulations, particularly because standard cooperative agreements rarely match the specific scope of work or open-competition rules required for the disaster area. If used, applicants must explicitly document and prove how the transaction met all federal procurement requirements.

Procurement Non-Compliance Remedies

Enforcement Rule: If an applicant fails to comply with federal procurement requirements, FEMA may deny all costs associated with the contract. Alternatively, if sufficient documentation is provided to substantiate a reasonable amount for eligible work completed, FEMA may choose to reimburse only the portion of costs it deems reasonable and allowable. Non-monetary high-risk remedies may also be imposed.

VI. Programmatic Cost Delivery Frameworks

A. Mutual Aid Reimbursement Structure

FEMA provides PA funding directly to the requesting entity legally responsible for the work, never to the assisting entity providing the resources. Regular time, overtime, and benefits for the assisting entity's personnel are treated as contract labor, provided rates are reasonable. Equipment and personnel transport costs are eligible.

Post-Incident Verbal Agreements

If requesting and assisting entities lack a pre-existing written agreement, they may use a verbal agreement to deploy resources. However, prior to project funding, the verbal agreement must be codified in writing, formally adopted by officials from both entities, and outline the exact resources requested and cost arrangements.

Ineligible Mutual Aid Activities

Reimbursement is prohibited for an assisting entity's deployment preparation, dispatch operations located outside the receiving state/territory, training/exercises, or long-term recovery and mitigation operations.

Emergency Management Assistance Compact (EMAC)

EMAC is a national interstate mutual aid agreement. Work performed outside the receiving state associated with EMAC operations (such as tracking resources) is ineligible unless tied directly to the receiving state's emergency operations. FEMA does not subject EMAC projects to a reasonable cost analysis, provided established EMAC rules were fully followed.

B. Prisoner and National Guard Labor

  • Prisoner Labor: Reimbursed based on the rate the applicant normally pays prisoners. Costs for prisoner transportation, extraordinary security guards, food, and lodging are eligible.
  • National Guard: Personnel activated by the Governor under State Active Duty are eligible for regular and overtime labor costs, including per diem and fringe benefits. Personnel activated under federal Full-Time National Guard Duty (Title 32) or Active Duty (Title 10) are funded by the Department of Defense and are entirely ineligible for PA reimbursement.

C. Direct Federal Assistance (DFA)

When severe disaster impacts overwhelm the capability of SLTT governments to perform or contract emergency protective measures, recipients may request that the federal government provide assistance directly. FEMA issues a formal "Mission Assignment" to task another federal agency with executing the work. DFA is subject to the standard cost-share provisions established in the declaration.

D. Time-Limited Increased Federal Cost Share

When an increased federal cost share is authorized for a limited window, it applies strictly to eligible costs related to work performed through 11:59 p.m. (local time zone) on the expiration date. Applicants must clearly delineate costs:

  • Employees/Leased Equipment: Reimbursed at the higher rate for hours worked or prorated lease durations up to the exact time of expiration.
  • Contracts: Reimbursed based on work completed prior to the deadline. If costs cannot be split by date, FEMA prorates costs based on the percentage of work completed before versus after the deadline.

E. Donated Resources Credit Offsets

FEMA does not provide direct funding for the value of donated resources; instead, the value of third-party volunteer labor, donated equipment, or materials is used as an offset to credit and reduce the applicant's non-federal local cost share.

  • Emergency Work (Categories A & B): Donated credits are aggregated and applied across the combined non-federal share for all the applicant's debris and emergency protective projects under the declaration. The credit is prepared as a separate Category B project and is not obligated until after all standard emergency projects are obligated.
  • Permanent Work: Credits are strictly tied to the specific permanent project for which the resources were donated and cannot exceed the non-federal cost share or SOW line items for that specific project.
Donated Resource Valuation Standards
  • Volunteer Labor: Valued based on the straight-time hourly rate and fringe benefits of a similarly qualified person in the applicant's organization performing similar work. Overtime or premium rates are prohibited.
  • Equipment and Supplies: Equipment offsets are based on standard force account hourly rates and cannot exceed fair rental value. Supplies are valued based on current commercial market rates validated via local vendor pricing.

F. Project and Grant Management Services

  • Project Management and Design: Costs for monitoring contractor work, construction oversight, legal contract reviews, engineering design, and EHP technical studies are eligible provided they are tracked, documented, and directly related to a specific project. Management and design costs tied to ineligible work or unapproved Improved Project elements are ineligible.
  • Grant Management Costs (Category Z): Covers administrative expenses associated with developing and managing grants. For recipients, management costs are funded based on actual costs incurred up to 7 percent of the total award amount. For subrecipients, funding is capped at actual costs incurred up to 5 percent of their total award amount.

G. Damage Assessment Survey Restrictions

Costs related to assessing overall incident impacts, locating general debris, or conducting preliminary damage assessments (PDAs) are ineligible as direct project costs, though they may be claimed as Category Z management costs if the underlying facility is eligible. Further, detailed engineering inspections performed after the declaration to determine the explicit repair method or debris quantities are eligible as direct project costs. For partially damaged systems, inspection costs are prorated based on the percentage of the system that sustained incident damage.

VII. Duplication of Benefits

FEMA is legally prohibited from duplicating funding from other sources, including other federal agencies, insurance proceeds, cash donations, or third-party legal liability. If financial assistance is received from another source for the same work, FEMA reduces eligible project costs or deobligates funding by the duplicated amount.

A. Insurance Reductions

FEMA reduces eligible project costs by the actual insurance proceeds received, or by the anticipated proceeds based on the policy if the final settlement is unknown. Applicants must make reasonable, documented efforts to pursue all claims to which they are entitled.

Settlement Allocation Rules

If insurance covers both eligible and ineligible losses (such as business interruption), FEMA calculates the reduction based on the explicit proceeds specified by type of loss in settlement documents, policy category limits, or the ratio of total eligible losses to total ineligible losses. Reasonable legal or adjusting costs expended by the applicant to pursue more insurance proceeds than the initial settlement amount may be used to offset the overall insurance reduction.

B. Non-Federal Grants, Cash Donations, and Third-Party Liability

  • Designated Purpose Donations: If non-federal grants or cash donations are designated for the same purpose as eligible PA work, they must be applied to the non-federal cost share. Any amount not applied to the cost share, or any amount exceeding the total cost share, is considered a duplication of benefits and reduces eligible project funding.
  • Non-Specific Donations: If cash donations are non-specific, they may be applied to the non-federal share, and any excess may be applied to ineligible work without reducing FEMA funding.
  • Third-Party Liability: When a third party causes damage or increases cleanup costs, the applicant must make reasonable efforts to recover costs from them. FEMA reduces eligible funding based on the recovered amount, using a relative ratio of eligible to ineligible losses if the settlement is combined.

VIII. Ineligible Costs

The Stafford Act does not authorize FEMA to provide PA funding for the following specific losses or cost categories:

  • Loss of Revenue: Funding is prohibited for revenue lost due to the incident, such as hospitals releasing noncritical patients, waiving toll fees on a road or ferry for evacuation purposes, waiving landfill tipping fees, or cancelling revenue-generating events due to a venue being used for emergency sheltering.
  • Loss of Useful Service Life: Funding is prohibited for the projected loss of useful structural service life, such as the long-term structural effects of flood water inundation on a road surface, or the projected loss of landfill capacity due to ingesting incident debris.
  • Tax Assessments: Costs incurred by SLTT governments to re-assess real property values after an incident are ineligible, as they are neither essential to addressing immediate emergency threats nor connected to physical permanent restoration.
  • Increased Operating Costs: General increased costs related to operating a facility or meeting an increased demand for services due to the incident are ineligible. Short-term increased costs are eligible only if directly related to executing specific emergency health and safety tasks under Category B (such as extra fuel for a pumping station during a flood).

FEDERAL REGULATIONS & LAWS CITED

BACK TO TOP