Mitigation Assistance Unified Guidance

1660-0072 508_FINAL_Guidance_09112013.pdf

Mitigation Grant Programs /e-Grants

Mitigation Assistance Unified Guidance

OMB: 1660-0072

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Hazard
Mitigation Assistance
Unified Guidance
Hazard Mitigation Grant Program, Pre-Disaster Mitigation Program,
and Flood Mitigation Assistance Program
July 12, 2013
Federal Emergency Management Agency
Department of Homeland Security
500 C Street, S.W.
Washington, DC 20472

Titles of Opportunities:

 Hazard Mitigation Grant Program (HMGP)

 Pre-Disaster Mitigation (PDM) Program

 Flood Mitigation Assistance (FMA)
Funding Opportunity Numbers:

The Catalog of Federal Domestic Assistance (CFDA) numbers for the
three Hazard Mitigation Assistance (HMA) programs are:
 97.039 Hazard Mitigation Grant Program (HMGP)
 97.047 Pre-Disaster Mitigation (PDM) Program

 97.029 Flood Mitigation Assistance (FMA)

Federal Agency Name:

U.S. Department of Homeland Security (DHS) Federal Emergency
Management Agency (FEMA)
Announcement Type:

Initial

CONTENTS

Part I. Funding Opportunity Description................................................................................... 1
A. Authorization and Appropriation........................................................................................ 2
B. Additional Program Information......................................................................................... 3
B.1 Programmatic Changes ..............................................................................................4
Part II. Frontloading HMA Program Eligibility Requirements .............................................. 9
A. Mitigation Planning .......................................................................................................... 11
B. Technical Feasibility and Effectiveness............................................................................ 11
C. Floodplain Management and Protection of Wetlands ....................................................... 11
D. Environmental Planning and Historic Preservation Review and Compliance.................. 12
E. Cost-effectiveness ............................................................................................................. 12
F. Cost Review ...................................................................................................................... 12
G. Project Development ......................................................................................................... 14
H. Advance Assistance .......................................................................................................... 14
I. Strategic Funds Management............................................................................................ 14
J. Project Monitoring ............................................................................................................ 15
K. Closeout ............................................................................................................................ 15
Part III. Award Information...................................................................................................... 16
Part IV. Eligibility Information................................................................................................. 17
A. Eligible Applicants............................................................................................................ 17
A.1 Eligible Subapplicants..............................................................................................17
B. Cost Sharing...................................................................................................................... 18
B.1 Federal Funds Allowed to Be Used as Non-Federal Cost Share..............................20
B.2 Increased Cost of Compliance as Non-Federal Cost Share......................................20
C. Restrictions ....................................................................................................................... 20
C.1 Non-Discrimination Compliance .............................................................................20
C.2 Conflict of Interest ...................................................................................................21
C.3 Duplication of Programs ..........................................................................................21
C.4 Duplication of Benefits ............................................................................................21
D. General Program Requirements ........................................................................................ 22
D.1 Eligible Activities.....................................................................................................22
D.1.1 Mitigation Projects ...................................................................................... 23
D.1.2 Hazard Mitigation Planning ........................................................................ 27
D.1.3 Management Costs ...................................................................................... 29

D.2
D.3
D.4
D.5

Ineligible Activities ..................................................................................................30
Cost-effectiveness ....................................................................................................31
Feasibility and Effectiveness....................................................................................32
Hazard Mitigation Plan Requirement .......................................................................32
D.5.1 Indian Tribal Government Hazard Mitigation Plan Requirement ............... 34
D.5.2 Conformance with Hazard Mitigation Plans ............................................... 34
D.6 Environmental Planning and Historic Preservation Requirement............................34
D.6.1 Floodplain Management and Protection of Wetlands ................................. 35
D.7 National Flood Insurance Program Eligibility Requirements ..................................35
D.7.1 Special Flood Hazard Area Requirements .................................................. 36
D.8 Statutory, Regulatory, and Other Requirements ......................................................36

Part V. Application and Submission Information ................................................................... 38
A. Address to Request Application Package ......................................................................... 38
B. Content and Form of Application ..................................................................................... 38
C. Submission Dates and Times ............................................................................................ 39
D. Intergovernmental Review ................................................................................................ 39
E. Funding Restrictions ......................................................................................................... 39
E.1 HMGP Funding Restrictions....................................................................................39
E.2 PDM Program Funding Restrictions ........................................................................40
E.3 FMA Funding Restrictions.......................................................................................40
E.4 Management Costs Funding Restrictions .................................................................40
F. Other Submission Requirements....................................................................................... 41
F.1 Application Consideration under Multiple HMA Programs ....................................41
F.2 Pre-Award Costs ......................................................................................................41
G. Applicant Guidance .......................................................................................................... 41
G.1 General Applicant Guidance ....................................................................................41
G.2 Minimum Eligibility and Completeness Criteria .....................................................42
H. Scope of Work .................................................................................................................. 43
H.1 Project Scope of Work .............................................................................................43
H.2 Hazard Mitigation Planning Scope of Work ............................................................44
H.3 Management Costs Scope of Work ..........................................................................46
H.4 Schedule ...................................................................................................................46
H.5 Cost Estimate............................................................................................................46
H.5.1 Project Cost Estimate .................................................................................. 47
H.5.2 Hazard Mitigation Planning Cost Estimate ................................................. 47
H.5.3 Management Cost Estimate ......................................................................... 48
I. Cost-effectiveness ............................................................................................................. 48
ii

I.1 Substantial Damage Waiver .....................................................................................48
I.2 Aggregation..............................................................................................................49
I.3 5 Percent Initiative ...................................................................................................49
I.4 Pre-calculated Benefits (Safe rooms) .......................................................................49
I.5 Greatest Savings to the Fund ....................................................................................49
I.6 Environmental Benefits ............................................................................................49
I.7 Benefit-Cost Analysis Resources .............................................................................50
J. Feasibility and Effectiveness Documentation................................................................... 50
K. Environmental Planning and Historic Preservation Documentation ................................ 51
Part VI. Application Review Information ................................................................................ 54
A. Review Criteria ................................................................................................................. 54
A.1 Application Review..................................................................................................54
A.2 Cost-effectiveness Review .......................................................................................54
A.3 Feasibility and Effectiveness Review ......................................................................54
A.4 Environmental Planning and Historic Preservation Review ....................................55
A.5 HMA Efficiencies ....................................................................................................55
A.5.1 Safe Room Projects ..................................................................................... 55
A.5.2 Wind Retrofit Projects ................................................................................. 56
A.5.3 Certain Flood Mitigation Projects ............................................................... 56
B. Review and Selection Process .......................................................................................... 56
B.1 Technical Review .....................................................................................................56
B.2 Requests for Information ..........................................................................................56
B.2.1 Request for Information Timelines ............................................................. 57
B.3 Selection ...................................................................................................................59
B.4 Notification...............................................................................................................59
B.5 Reconsideration Process...........................................................................................59
B.5.1 Consideration of Additional Information .................................................... 60
Part VII. Award Administration Information ......................................................................... 61
A. Notice of Award................................................................................................................ 61
B. Administrative and National Policy Requirements........................................................... 61
B.1 Cost-Share Documentation ......................................................................................61
B.2 Scope of Work Changes ...........................................................................................62
B.3 Budget Changes........................................................................................................62
B.3.1 Non-construction Projects ........................................................................... 62
B.3.2 Construction Projects .................................................................................. 62
B.3.3 Cost Overruns and Underruns ..................................................................... 62
iii

B.4 Program Period of Performance ...............................................................................63
B.4.1 Extensions ................................................................................................... 63
B.5 Requests for Advances and Reimbursements ..........................................................63
B.5.1 Strategic Funds Management ...................................................................... 64
B.6 Program Income .......................................................................................................64
B.7 Federal Income Tax on Mitigation Project Funds....................................................64
B.8 Noncompliance.........................................................................................................65
C. Reporting Requirements ................................................................................................... 65
C.1 Federal Financial Reports.........................................................................................65
C.2 Performance Reports ................................................................................................66
C.3 Final Reports ............................................................................................................67
D. Closeout ............................................................................................................................ 67
D.1 Subgrant Closeout ....................................................................................................67
D.2 Grant Closeout..........................................................................................................68
D.2.1 Update of Repetitive Loss Database ........................................................... 69
Part VIII. FEMA Contacts......................................................................................................... 71
Part IX. Additional Program Guidance.................................................................................... 72
A. Hazard Mitigation Grant Program .................................................................................... 72
A.1 Grantee Request for HMGP Funds ..........................................................................72
A.2 State Administrative Plan .........................................................................................72
A.2.1 Designation of Grantee and SHMO ............................................................ 73
A.2.2 Staffing Requirements and the Mitigation Team ........................................ 73
A.2.3 Procedures to Guide Implementation Activities ......................................... 74
A.2.4 Sliding Scale................................................................................................ 74
A.2.5 Management Costs ...................................................................................... 75
A.2.6 Submission and Approval Deadlines .......................................................... 75
A.3 HMGP Funding ........................................................................................................75
A.4 HMGP Management Costs.......................................................................................76
A.5 Eligible Subapplicants..............................................................................................77
A.6 Submission of HMGP Subapplications ....................................................................78
A.7 Grant Cost-share Requirements ...............................................................................78
A.8 Post-Disaster Code Enforcement Projects................................................................79
A.9 Advance Assistance..................................................................................................80
A.10 Phased Projects.........................................................................................................82
A.10.1 Pre-Screening Process ................................................................................. 83
A.10.2 Phase I Conditional Approval ..................................................................... 83
iv

A.10.3 Phase II Approval-Construction Process..................................................... 84
A.11 The 5 Percent Initiative ............................................................................................84
A.11.1 Availability of Additional Funds for Tornado Mitigation........................... 85
A.12 Appeal Process .........................................................................................................85
B. Pre-Disaster Mitigation Program ...................................................................................... 87
B.1 Allocation .................................................................................................................87
B.2 Small Impoverished Communities ...........................................................................87
B.3 Information Dissemination .......................................................................................87
B.4 Applicant Ranking of Subapplications .....................................................................88
B.5 Selection ...................................................................................................................88
C. Flood Mitigation Assistance Program .............................................................................. 89
C.1 Eligible Properties ....................................................................................................89
C.2 Repetitive Loss Strategy...........................................................................................89
C.3 Cost Sharing .............................................................................................................90
C.4 Applicant Ranking of Subapplications .....................................................................90
C.5 Selection ...................................................................................................................90
Part X. Appendices ..................................................................................................................... 92
A. Acronyms .......................................................................................................................... 92
B. Glossary ............................................................................................................................ 95
C. Additional Resources ...................................................................................................... 103
D. Referenced Regulations, Statutes, Directives, and Guidance ......................................... 107
E. Eligibility and Completeness Review Checklist for Project Subapplications ................ 117
F. Safe Room Application Using Pre-Calculated Benefits ................................................. 120
G. Generator FAQ................................................................................................................ 125
H. Eligibility and Completeness Review Checklist for Planning Subapplications ............. 133
I. EHP Checklist................................................................................................................. 135
J. 8-Step Decision Making Process for Floodplain Management Considerations ............. 137
K. Section 106 Process under the National Historic Preservation Act ................................ 138
L. Application for Advance Assistance............................................................................... 140

List of Figures
Figure 1: Overall Project Lifecycle..................................................................................................9
Figure 2: General Steps in Project Scoping Process ......................................................................10
Figure 3: Frontloading EHP Considerations and the NEPA Process ............................................13
Figure 4: RFI Flowchart.................................................................................................................58
List of Tables
Table 1: Eligible Subapplicants .....................................................................................................18
Table 2: Cost-Share Requirements ................................................................................................19
Table 3: Eligible Activities by Program ........................................................................................23
Table 4: Green Open Space and Riparian Benefits .......................................................................50
Table 5: RFI Timelines ..................................................................................................................57
Table 6: FEMA Regions ................................................................................................................71

PART I. FUNDING OPPORTUNITY

DESCRIPTION

Part I of the Hazard Mitigation Assistance (HMA) Unified Guidance introduces the three HMA
programs and outlines the organization of the document.
The U.S. Department of Homeland Security (DHS) Federal Emergency Management Agency
(FEMA) HMA programs present a critical opportunity to reduce the risk to individuals and
property from natural hazards while simultaneously reducing reliance on Federal disaster funds.
On March 30, 2011, the President signed Presidential Policy Directive 8: National Preparedness
(PPD-8), and the National Mitigation Framework was finalized in May 2013. The National
Mitigation Framework comprises seven core capabilities, including Threats and Hazard
Identification, Risk and Disaster Resilience Assessment, Planning, Community Resilience,
Public Information and Warning, Long-term Vulnerability Reduction, and Operational
Coordination. HMA programs provide funding for eligible activities that are consistent with the
National Mitigation Framework’s Long-term Vulnerability Reduction capability. HMA
programs reduce community vulnerability to disasters and their effects, promote individual and
community safety and resilience, and promote community vitality after an incident.
Furthermore, HMA programs reduce response and recovery resource requirements in the wake of
a disaster or incident, which results in a safer community that is less reliant on external financial
assistance.
Hazard mitigation is any sustained action taken to reduce or eliminate long-term risk to people
and property from natural hazards and their effects. This definition distinguishes actions that
have a long-term impact from those that are more closely associated with immediate
preparedness, response, and recovery activities. Hazard mitigation is the only phase of
emergency management specifically dedicated to breaking the cycle of damage, reconstruction,
and repeated damage. Accordingly, States, Territories, Indian Tribal governments, and
communities are encouraged to take advantage of funding that HMA programs provide in both
the pre- and post-disaster timelines.
Together, these programs provide significant opportunities to reduce or eliminate potential losses
to State, Indian Tribal government, and local assets through hazard mitigation planning and
project grant funding. Each HMA program was authorized by separate legislative action, and as
such, each program differs slightly in scope and intent.
The Hazard Mitigation Grant Program (HMGP) provides funds to States, Territories, Indian
Tribal governments, local governments, and eligible private non-profits (PNPs) following a
Presidential major disaster declaration. The Pre-Disaster Mitigation (PDM) Program and Flood
Mitigation Assistance (FMA) programs provide funds annually to States, Territories, Indian
Tribal governments, and local governments. Although the statutory origins of the programs

Part I. Funding Opportunity Description

differ, both share the common goal of reducing the risk of loss of life and property due to natural
hazards.
This guidance applies to HMGP funds available for disasters declared on or after the date of
publication. The guidance in this document is subject to change based on new laws or
regulations enacted after publication. This guidance is applicable to the PDM and FMA
programs; the application cycles are announced via http://www.grants.gov/. For additional
information, please contact FEMA.
State, Territory, or Indian Tribal governments are eligible Applicants for HMA programs. The
Applicant is responsible for soliciting subapplications from eligible subapplicants, assisting in
the preparation of them, and submitting eligible, complete applications to FEMA in priority
order. HMA grant funds are awarded to Applicants. When funding is awarded, the Applicant
then becomes the “Grantee” and is accountable for the use of the funds, responsible for
administering the grant, and responsible for complying with program requirements and other
applicable Federal, State, Territorial, and Indian Tribal laws and regulations. As the Grantee, the
Applicant is also responsible for financial management of the program and overseeing all
approved projects. In general, the “subapplicant” is a State-level agency, Indian Tribal
government, local government, or other eligible entity that submits a subapplication for FEMA
assistance to the Applicant. If HMA funding is awarded, the subapplicant becomes the
“subgrantee” and is responsible for managing the subgrant and complying with program
requirements and other applicable Federal, State, Territorial, Indian Tribal, and local laws and
regulations. An Indian Tribal government may participate as either the Applicant/Grantee or the
subapplicant/subgrantee (see Part IV, A). For HMGP, “subapplicant” has the same meaning
given to the term “Applicant” in the HMGP regulations at Title 44 of the Code of Federal
Regulations (CFR) Part 206.431.

A. Authorization and Appropriation
HMGP is authorized by Section 404 of the Robert T. Stafford Disaster Relief and Emergency
Assistance Act, as amended (the Stafford Act), Title 42, U.S. Code (U.S.C.) 5170c. The key
purpose of HMGP is to ensure that the opportunity to take critical mitigation measures to reduce
the risk of loss of life and property from future disasters is not lost during the reconstruction
process following a disaster. HMGP is available, when authorized under a Presidential major
disaster declaration, in the areas of the State requested by the Governor. Indian Tribal
governments may also submit a request for a major disaster declaration within their impacted
area. The amount of HMGP funding available to the Applicant is based upon the estimated total
of Federal assistance, subject to the sliding scale formula outlined in 44 CFR Section 206.432(b)
that FEMA provides for disaster recovery under the Presidential major disaster declaration. The
formula provides for up to 15 percent of the first $2 billion of estimated aggregate amounts of
disaster assistance, up to 10 percent for amounts between $2 billion and $10 billion, and up to
7.5 percent for amounts between $10 billion and $35.333 billion. For States with enhanced
Part I. Funding Opportunity Description

plans, the eligible assistance is up to 20 percent for estimated aggregate amounts of disaster
assistance not to exceed $35.333 billion.
The PDM Program is authorized by Section 203 of the Stafford Act, 42 U.S.C. 5133. The PDM
Program is designed to assist States, Territories, Indian Tribal governments, and local
communities to implement a sustained pre-disaster natural hazard mitigation program to reduce
overall risk to the population and structures from future hazard events, while also reducing
reliance on Federal funding in future disasters.
The FMA program is authorized by Section 1366 of the National Flood Insurance Act of 1968,
as amended (NFIA), 42 U.S.C. 4104c, with the goal of reducing or eliminating claims under the
National Flood Insurance Program (NFIP).
The National Flood Insurance Fund (NFIF) provides the funding for the FMA program. The
PDM and FMA programs are subject to the availability of appropriation funding, as well as any
program-specific directive or restriction made with respect to such funds.
More information about each program can be found on the FEMA HMA Web site at
https://www.fema.gov/hazard-mitigation-assistance.

B. Additional Program Information
This guidance consolidates the common requirements for all HMA programs and explains the
unique elements of the programs in individual sections. Additionally, it provides information for
Federal, State, Indian Tribal, and local officials on how to apply for HMA funding for a proposed
mitigation activity.
The organization of this HMA Unified Guidance provides clarity and ease of use by presenting
information common to all programs in general order of the grant life cycle. As a result, closely
related topics may be presented in different sections of the guidance. This guidance is organized
in the following manner:
 Part I, Funding Opportunity Description, introduces the HMA programs;
 Part II, Frontloading HMA Program Eligibility Requirements, provides general

information to facilitate project scoping and the overall decision-making process;

 Part III, Award Information, provides information about available funding and application
deadlines;
 Part IV, Eligibility Information, provides information about eligible Applicants and

subapplicants, cost-sharing requirements, and other program requirements;

 Part V, Application and Submission Information, provides information regarding

application development including funding restrictions;

Part I. Funding Opportunity Description

 Part VI, Application Review Information, summarizes the FEMA review and selection
process;
 Part VII, Award Administration Information, highlights grants management requirements
from the time an award is made through closeout;
 Part VIII, FEMA Contacts, provides Regional and State contact information;
 Part IX, Additional Program Guidance, provides information that is unique to each
program; and
 Part X, Appendices, includes acronyms, a glossary, additional resources, and referenced
regulations and statutes.
 Additional guidance for particular activity types is provided as an Addendum to this
guidance. This additional guidance provides information specific to property acquisition
and structure demolition or relocation, wildfire mitigation, safe room construction,
mitigation reconstruction, and structure elevation projects.

B.1

Programmatic Changes

Although many of the specific requirements of each program remain the same, significant
revisions to programmatic requirements included in this HMA Unified Guidance are:
 Per the Sandy Recovery Improvement Act of 2013 (SRIA), Indian Tribal governments can
submit a request for a major disaster declaration within their impacted areas;
 A new Part II has been created to outline the importance of “frontloading” HMA program
requirements in the project scoping and development process;
 The Biggert-Waters Flood Insurance Reform Act of 2012 eliminated the Repetitive Flood
Claims and Severe Repetitive Loss programs and made the following significant changes
to the FMA program:
 The definitions of repetitive loss and severe repetitive loss properties have been

modified (Part IX, C.1);

 There is no longer a State cap of $10 million or a community cap of $3.3 million for

any 5-year period;

 There is no longer a limit on in-kind contributions for the non-Federal cost share

(previously limited to one-half of the non-Federal share);

 Mitigation reconstruction is an eligible activity;
 Cost-share requirements have changed to allow more Federal funds for properties with

repetitive flood claims and severe repetitive loss properties (Part IV, B);

Part I. Funding Opportunity Description

 The development or update of mitigation plans shall not exceed $50,000 Federal share

to any Applicant or $25,000 Federal share to any subapplicant (Part V, E.3); and

 There is no longer a restriction that a planning grant can only be awarded not more

than once every 5 years to a State or community.

 For Duplication of Benefits (DOB), HMA does not require that property owners seek
assistance from other sources (with the exception of insurance);
 However, other assistance anticipated or received must be reported (Part IV, C.4). A
Privacy Act notice is required to be provided to homeowners participating in mitigation
projects;
 For HMGP, the purchase and installation of stand-alone generators are eligible under
regular HMGP funding if they protect a critical facility and meet all other program
eligibility criteria (Part IV, D.1.1);
 For HMGP and the PDM Program, generators and/or related equipment purchases (e.g.,
generator hook-ups) that are not stand-alone are considered eligible when the generator
and related equipment directly relates to the hazard being mitigated and is part of a more
comprehensive project (Part IV, D.1.1);
 For non-structural retrofits, the elevation of utilities is an eligible activity (Part IV, D.1.1);
 FEMA Policy 104-008-01, “Hazard Mitigation Assistance for Wind Retrofit Projects for
Existing Residential Buildings” dated November 16, 2012, has been incorporated (Part IV,
D.1.1). With the release of this HMA Unified Guidance, the policy has been superseded;
 A mitigation planning subgrant award can result in a mitigation plan adopted by the
jurisdiction(s) and approved by FEMA or it can also include planning-related activities as
outlined in 44 CFR Parts 201 and 206 (Part IV, D.1.2);
 FEMA Mitigation Planning Memorandum (MT-PL) #2 “Guidance For FEMA Regional
Directors Regarding “Extraordinary Circumstances” under which an HMGP Project Grant
may be awarded to Local Jurisdictions without an Approved Local Mitigation Plan” dated
October 28, 2005, has been incorporated. With the release of this HMA Unified
Guidance, the memo has been superseded;
 For PDM and FMA project subgrants, the Region may apply extraordinary circumstances,
when justification is provided, with concurrence received from FEMA Headquarters (Risk
Reduction and Risk Analysis Divisions) prior to granting an exception (Part IV, D.5);
 For the PDM Program, the Federal share to update a hazard mitigation plan has been
reduced to $300,000 (Part V, E.2);
 Applications must contain minimal information in order for FEMA to be able to make a
general eligibility determination (Part V, G.2);

Part I. Funding Opportunity Description

 Applications or subapplications submitted to FEMA that do not contain the minimal
eligibility criteria are subject to immediate denial (Part V, G.2);
♦ Greatest Savings to the Fund (GSTF) extends to properties under HMA (Part V, I);
 An expedited cost-effectiveness methodology (substantial damage waiver) is available for
property acquisition projects when certain conditions are met under all HMA programs;
this was previously limited to HMGP (Part V, I);
 FEMA Policy 108-024-01, “Consideration of Environmental Benefits in the Evaluation of
Acquisition Projects under the Hazard Mitigation Assistance (HMA) Programs” dated
June 18, 2013, has been incorporated (Part V, I). With the release of this HMA Unified
Guidance, this policy has been incorporated;
 Green open space and riparian area benefits can now be included in the project benefit
cost ratio (BCR) once the project BCR reaches 0.75 or greater. The inclusion of
environmental benefits in the project BCR is limited to acquisition-related activities;
 FEMA recommends several HMA efficiencies to facilitate FEMA review and approval
(Part VI, A.5);
 FEMA provides timelines for Applicants to comply with requests for information (RFI)
(Part VI, B.2.1);
 FEMA clarifies the consideration of additional information in support of a subapplication
(Part VI, B.5);
 FEMA clarifies that requests for Scope of Work Changes must address the need for the
change through a revised scope, schedule, and budget (Part VII, B.2);
 FEMA clarifies when prior FEMA approval is needed for a budget change (Part VII, B.3);
 With the publication of this HMA Unified Guidance, the Period of Performance (POP) for
the programs begins with the opening of the application period and ends no later than 36
months from the close of the application period. All requests to extend the grant POP
beyond 12 months from the original grant POP termination date must be approved by
FEMA Headquarters (Part VII, B.4);
 FEMA may elect to provide funding for certain projects in incremental amounts
(Strategic Funds Management [SFM]) (Part VII, B.5.1);
 The Grantee must notify FEMA of each property for which settlement was completed in
that quarter (Part VII, C.2);
 The HMGP final lock-in will be established 12 months after date of declaration. The final
lock-in amount may be greater than or less than the previous calculations. Because the
lock-in estimate is subject to change, FEMA will not obligate more than 75 percent of
any estimate prior to the calculation of the final lock-in without concurrence of the
Regional Administrator or Federal Coordinating Officer with Disaster Recovery Manager
Part I. Funding Opportunity Description

Authority and the Office of Chief Financial Officer (Part IX, A.3);
 With the release of this guidance, Section 1104 of the SRIA is incorporated as Advance
Assistance in (Part IX, A.9);
 Advance Assistance can be used to accelerate the implementation of the HMGP.
Applicants may use Advance Assistance to develop mitigation strategies and obtain data to
prioritize, select, and develop complete HMGP applications in a timely manner (Part IX,
A.9);
 For acquisition projects, clarifications were made regarding the purchase of vacant land,
land already owned by an eligible entity, and outstanding tax liens (Addendum, Part A);
 FEMA will make a determination on the open space compatibility of access to a
subsurface resource (e.g., mineral rights) on a case-by-case basis (Addendum, Part A);
 Acquisitions in Coastal Barrier Resource System (CBRS) units and Other Protected Areas
(OPAs) are eligible under all HMA programs if the projects are otherwise eligible under
the requirements in the 44 CFR and this guidance (Addendum, Part A);
 FEMA clarifies that the relevant event may vary under the HMA programs; however, premarket value or current market value can be used at the Applicant’s discretion for all HMA
programs (Addendum, Part A);
 In accordance with Section 203(a)(1) of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act, the replacement housing allowance for homeowners
may increase from $22,500 to $31,000 on October 1, 2014 (Addendum, Part A);
 With the release of this HMA Unified Guidance, certified clean is defined as a letter from
the appropriate local, State, Indian Tribal, or Federal entity determining that no further
remedial action is required to protect human health or the environment (Addendum,
Part A);
 FEMA Policy MRR-2-08-1, “Wildfire Mitigation Policy for the Hazard Mitigation Grant
Program (HMGP) and Pre-Disaster Mitigation (PDM) Program,” dated September 8,
2008, has been incorporated. With the release of this HMA Unified Guidance, this policy
has now been superseded (Addendum, Part B);
 FEMA urges communities to implement wildfire projects using the materials and
technologies that are in accordance with the International Code Council, FEMA, U.S. Fire
Administration, and the National Fire Protection Association (NFPA) Firewise
recommendations, whenever applicable (Addendum, Part B);
 For wildfire projects, the application will include a narrative statement acknowledging the
information required in the final operations and maintenance plan. The final operations
and maintenance plans must be submitted to FEMA prior to project closeout (Addendum,
Part B);

Part I. Funding Opportunity Description

 FEMA Interim Policy MRR-2-09-1, “Hazard Mitigation Assistance for Safe Rooms,”
dated April 30, 2009, and FEMA Memorandum, subject “Waiver of Two Provisions of
Mitigation Interim Policy MRR-2-09-1, “Hazard Mitigation Assistance for Safe Rooms,”
dated February 07, 2012, have been incorporated. With the release of this HMA Unified
Guidance both policies are now superseded (Addendum, Part C);
 For safe room projects, costs associated with the acquisition of land for a community safe
room are eligible costs (Addendum, Part C);
 For safe room projects, FEMA will review final operations and maintenance plans during
project closeout (Addendum, Part C); and
 For safe room projects, costs associated with fire suppression sprinklers and heating,
ventilation, and air-conditioning (HVAC) systems are an eligible cost (Addendum, Part C).

Part I. Funding Opportunity Description

PART II. FRONTLOADING HMA PROGRAM
ELIGIBILITY REQUIREMENTS

Part II provides general information on the importance of “frontloading” HMA Program
eligibility requirements in the project scoping and the overall decision-making process. Project
scoping and project development are two of the earliest steps in the overall project lifecycle (see
Figure 1) and can have a significant impact on the course an application or subapplication takes
through the HMA grant process.
Project scoping (as shown in Figure 2) is the process by which subapplicants develop effective
mitigation alternatives based on a defined set of requirements that meet the stated purpose and
need of the proposed project. Applicants are encouraged to include representatives of the whole
community in planning and scoping the project to gain broad community participation and
support.
The scoping process includes the identification and evaluation of technical feasibility, cost
review, cost-effectiveness, and environmental and cultural resource considerations. Based on
potential impacts to environmental and cultural resources, there may be a legal requirement to
alter the project. The process results in the development of a preferred project alternative that is
then documented through the preparation of the application or subapplication. Applicants and
subapplicants should consider the whole range of program requirements at the beginning stages
of project development. The incorporation of these considerations into the scoping process can
increase the efficiency of program review and ensure that all HMA program requirements are
addressed.
Figure 1: Overall Project Lifecycle

Part II. Frontloading HMA Program Eligibility Requirements

Figure 2: General Steps in Project Scoping Process

Addressing the following HMA program requirements at the earliest stage possible in the
decision-making process is important because it can lead to enhanced project scoping as well as
development and prevent delays later:
 Mitigation Planning;
 Technical Feasibility and Effectiveness;
 Floodplain Management and Protection of Wetlands;
 Environmental Planning and Historic Preservation Review and Compliance;
 Cost-Effectiveness; and
 Cost Review.
Part II. Frontloading HMA Program Eligibility Requirements

“Frontloading” of these requirements at the earliest point in the decision-making process
increases the efficacy of the overall HMA Program. It also reduces the need for RFIs, which
may result in quicker selections of projects for further review or approval. Additionally, early
consideration of Advance Assistance, SFM, project monitoring, and project closeout in the
decision-making process can facilitate the scoping and development of viable projects.

A. Mitigation Planning
Reviewing and incorporating information from the State, Indian Tribal, or local mitigation plan
can help an Applicant or subapplicant facilitate the development of mitigation project
alternatives. Linking the existing mitigation plan to project scoping can support the Applicant
and the subapplicant in selecting the most appropriate mitigation activity that best addresses the
identified hazard(s) while taking into account community priorities. In particular, the mitigation
strategy section of the plan identifies a range of specific mitigation activities that can reduce
vulnerability and includes information on the process that was used to identify, prioritize, and
implement the range of mitigation actions considered. Another resource that may be useful in
developing mitigation alternatives is the “Mitigation Ideas” guide available from the FEMA
Library (see http://www.fema.gov/library/viewRecord.do?id=6938). It is important to reference
the mitigation plan as potential project alternatives may have been considered during the
planning process. If these alternatives were not considered during the mitigation planning
process, please include this information in the next mitigation plan update. For more
information on hazard mitigation planning, see Part IV, D.1.2 (eligible activities), Part V, H.2
(scope of work), Part V, H.5.2 (cost estimate), or Part X, C (additional resources).

B. Technical Feasibility and Effectiveness
Mitigation projects submitted for the HMA grants must be both feasible and effective at
mitigating the risks of the hazard for which the project was designed. The feasibility of the
project is demonstrated through conformance with accepted engineering practices, established
codes, standards, modeling techniques, or best practices. Effective mitigation measures funded
under HMA should provide a long-term or permanent solution. Consideration of technical
feasibility and effectiveness during the project scoping process facilitates project development.
For more information on technical feasibility and effectiveness, see Part VI, A.3 (application
review criteria), Part IV, D.4 (eligibility program requirements), or Part V, J (documentation).

C. Floodplain Management and Protection of Wetlands
HMA programs and grants must conform to 44 CFR Part 9, which incorporates the requirements
of Executive Order (EO) 11988 (Floodplain Management) and EO 11990 (Protection of
Wetlands). All proposed actions should be reviewed to determine if they are in the floodplain or
a wetland. Any actions located in the 100-year floodplain (500-year for critical actions), or
adversely increasing the base flood or adversely affecting a wetland, trigger the requirement to
Part II. Frontloading HMA Program Eligibility Requirements

complete the 8-step decision-making process outlined in 44 CFR Section 9.6, see Part X,
Appendix J. As part of that process, FEMA must consider alternative locations to determine
whether the floodplain or wetland is the only practicable location for that action. If the
floodplain or wetland is the only practicable location, FEMA must avoid or must minimize
adverse impacts to the floodplain or wetland. For more information on floodplain management
and the protection of wetlands, see Part IV, D.6.1 (general program requirements) and Part X,
Appendix J (8-Step Decision Making Process for Floodplain Management Considerations).

D. Environmental Planning and Historic Preservation Review
and Compliance
HMA programs and grants must comply with all environmental and historic preservation (EHP)
laws and with 44 CFR Part 10, which may include identifying alternate locations and, as
necessary, modifying the project. See the EHP Checklist in Part X, Appendix I. Completion of
this list is not a substitute for environmental compliance. The front-loading of EHP into the
decision-making process allows for development of mitigation measures that reduce or eliminate
the proposed project’s impact to the human environment; see Figure 3 for an overview of
frontloading the EHP and National Environmental Policy Act (NEPA) process. Moreover,
compliance with all environmental laws and regulations is a condition of the grant. Two key
considerations are whether the proposed project is located in an area that has endangered or
threatened species or critical habitat and whether the proposed project might impact historic or
cultural resources. If the project could result in adverse impacts to those resources, it might be
necessary to change the scope of the project to avoid those impacts or incorporate mitigation
measures to minimize the impacts to those resources. To determine whether any EHP issues may
be associated with the proposed project, Applicants should review FEMA’s HMA EHP Resources
At-a-Glance Guide, located at http://www.fema.gov/library/viewRecord.do?id=6976. For more
information on EHP, see Part IV, D.6 (general program requirements), Part V, K
(documentation), and Part VI, A.4 (application review).

E. Cost-effectiveness
Mitigation activities are required by statute and regulation to be cost-effective or be in the
interest of the NFIF. Consideration of the cost-effectiveness requirement at the earliest possible
stage of the decision-making process can facilitate project scoping and improve project design.
For more information on cost-effectiveness, see Part IV, D.3 (general program requirements) and
Part V, I (documentation).

F. Cost Review
All costs included in the subapplication should be reviewed to ensure that they are necessary,
reasonable, and allocable consistent with the provisions of Office of Management and Budget
(OMB) Circular A-87 and 2 CFR Part 225, Cost Principles for State, Local, and Indian Tribal
Part II. Frontloading HMA Program Eligibility Requirements

Figure 3: Frontloading EHP Considerations and the NEPA Process

Part II. Frontloading HMA Program Eligibility Requirements

Governments. Conducting this cost review at the earliest possible stage allows for improved
project scoping and facilitates project development, which facilitates FEMA project review.

G. Project Development
Project scoping is not a separate, stand-alone process from project development. It can be
considered the initial stage of project development, during which the details of mitigation
activities are evaluated and developed. State, Local, and Indian Tribal governments that actively
participate in and document their project scoping process put themselves in a greater position for
success during project development. The information gathered in the scoping process serves as
the basis for the development of a more detailed and robust technical design, cost, and
environmental compliance components of the mitigation activity.
During the project development process, the subapplicant may encounter project considerations
such as technical feasibility, cost-effectiveness, and EHP that necessitate the refinement or
adjustment of the mitigation activity. When these situations are encountered, the reason for the
refinement or re-scoping should be fully documented and included with the subapplication.

H. Advance Assistance
Section 1104 of the SRIA authorizes the use of
Advance Assistance to accelerate the implementation
of the HMGP. Applicants may use Advance
Assistance to develop mitigation strategies and obtain
data to prioritize, select, and develop complete
HMGP applications in a timely manner. Using
Advance Assistance can help Applicants develop
eligible and complete applications that include a
feasible project budget and an appropriate project
milestone. See Part IX, A.9 for additional
information on Advance Assistance.

ADVANCE ASSISTANCE
Advance Assistance can be used to
develop mitigation strategies and
obtain data to prioritize, select, and
develop complete HMGP applications.
Consideration of Advance Assistance
early in the decision-making process
can help facilitate the development of
a viable project, as well as project
administration.

Strategic Funds Management

FEMA has implemented SFM. SFM, or
STRATEGIC FUNDS MANAGEMENT
incremental funding, is the concept of fiscal
SFM is a fiscal management approach
program management designed to provide funds
designed to provide funds to the Grantee as
as they are needed to implement approved HMGP
needed to implement approved HMGP
activities.
activities. Through SFM, Applicant recovery and
preparedness, communication and partnership,
and the overall fiscal accuracy are expected to be improved. Considering SFM early in the
decision-making process can help facilitate the development of a feasible project budget and

Part II. Frontloading HMA Program Eligibility Requirements

appropriate project milestones. At the beginning of an SFM project, FEMA and the State will
work together to develop a work schedule.
See Part VII, B.5.1 for additional information on SFM.

J. Project Monitoring
After a grant or subgrant is awarded, the Grantee and subgrantee are required to monitor and
evaluate the progress of the mitigation activity in accordance with the:
 Approved original scope of work (SOW) and budget;
 Administrative requirements of 44 CFR Part 13; and
 Any applicable State requirements.
Sound project monitoring improves the efficiency of the project implementation process and the
obligation of funds process. The satisfactory use of quarterly reporting facilitates project
management and allows the Grantee, subgrantee, and FEMA to monitor obligations and any
unliquidated funds. For additional information on project monitoring (reporting requirements)
see Part VII, C.

K. Closeout
Upon project completion, the Grantee and subgrantee are required to closeout the subgrant or
grant in accordance 44 CFR Section 13.50 (Closeout). The project file should document that the:
 Approved SOW was fully implemented;
 All obligated funds were liquidated and in a manner consistent with the approved SOW;
 All environmental compliance measures or mitigations were implemented;
 The project was implemented in a manner consistent with the grant or subgrant agreement;
 Grantees submitted the required quarterly financial and performance reports; and
 The grant and subgrant were closed out in accordance with the provisions outlined in Part
VII, C and D (subgrant and grant closeout).
For more information on closeout, see Part VII, D.

Part II. Frontloading HMA Program Eligibility Requirements

PART III. AWARD INFORMATION
Funding under HMA programs is subject to the availability of appropriations (as well as any
directive or restriction made with respect to such funds in the law) and, for HMGP, to the amount
of FEMA disaster recovery assistance under the Presidential major disaster declaration.
For additional information about available funding for HMGP, see Part IX, A.3; for the PDM
Program, see Part IX, B.1; and for FMA, see Part IX, C.

Part III. Award Information

PART IV. ELIGIBILITY INFORMATION
Part IV identifies common eligibility requirements for all HMA programs, such as eligible
Applicants and subapplicants, cost-sharing requirements, restrictions on the use of HMA funds,
activities that are eligible for HMA funding, and other program requirements. Additional
program-specific requirements are found in Part IX of this guidance. Additional project-specific
requirements can be found in the Addendum to this guidance. To be eligible for funding,
Applicants and subapplicants must apply for funds as described in this guidance.

A. Eligible Applicants
Entities eligible to apply for HMA grants include the emergency management agency or a similar
office of the 50 States (e.g., the office that has primary emergency management or floodplain
management responsibility), the District of Columbia, American Samoa, Guam, the U.S. Virgin
Islands, Puerto Rico, the Northern Mariana Islands, and Indian Tribal governments. Each State,
Territory, Commonwealth, or Indian Tribal government shall designate one agency to serve as
the Applicant for each HMA program. For the definition of the term Indian Tribal government
refer to 44 CFR Section 206.431.
An Indian Tribal government may have the option to apply for HMA grants through the State as
a subapplicant or directly to FEMA as an Applicant. The option for an Indian Tribal government
to apply directly to FEMA reflects FEMA recognition that Indian Tribal governments are
sovereign nations and share a government-to-government relationship with the United States.
This choice is independent of a designation under other FEMA grants and programs, but is not
available on a project-by-project basis within a single grant program. If an Indian Tribal
government chooses to apply directly to FEMA and is awarded the grant, it bears the full
responsibility of a Grantee for the purposes of administering the grant. For plan requirements
relevant to the options to apply as a subapplicant or an Applicant, see Part IV, D.5.1.

A.1

Eligible Subapplicants

All interested subapplicants must apply to the Applicant. Table 1 identifies, in general, eligible
subapplicants. For specific details regarding eligible subapplicants, refer to 44 CFR Section
206.434(a) for HMGP and 44 CFR Section 79.6(a) for FMA. For HMGP and the PDM Program,
see 44 CFR Section 206.2(a)(16) for a definition of local governments.
Individuals and businesses are not eligible to apply for HMA funds; however, an eligible
Applicant or subapplicant may apply for funding on behalf of individuals and businesses. For
additional information about the eligibility of PNPs for HMGP, see Part IX, A.5.

Part IV. Eligibility Information

Table 1: Eligible Subapplicants
Entity

HMGP

PDM

FMA

State agencies

√

Indian Tribal governments

√

Local governments/communities

√

Private non-profit organizations (PNPs)

√

B. Cost Sharing
Under the HMA programs, the total cost to implement approved mitigation activities is generally
funded by a combination of Federal and non-Federal sources. Both the Federal and the nonFederal cost shares must be for eligible costs used in direct support of the approved activities
under this guidance and the grant award. Contributions of cash, third-party in-kind services,
materials, or any combination thereof, may be accepted as part of the non-Federal cost share.
FEMA administers cost-sharing requirements consistent with 44 CFR Section 13.24 and 2 CFR
Section 215.23. To meet cost-sharing requirements, the non-Federal contributions must be
reasonable, allowable, allocable, and necessary under the grant program and must comply with
all Federal requirements and regulations.
In general, HMA funds may be used to pay up to 75 percent of the eligible activity costs. The
remaining 25 percent of eligible activity costs are derived from non-Federal sources. Exceptions
to the 75 percent Federal and 25 percent non-Federal share (see Table 2) are as follows:
 PDM Program – Small impoverished communities may be eligible for up to a 90 percent
Federal cost share. For information about small impoverished communities, see Part IX,
B.2.
 FMA
 FEMA may contribute up to 100 percent Federal cost share for severe repetitive loss

properties or the expected savings to the NFIF for acquisition or relocation activities
(the GSTF value for property acquisition may be offered to the property owner if the
project is not cost-effective using pre-event or current market value);

 FEMA may contribute up to 90 percent Federal cost share for repetitive loss

properties; and

 FEMA may contribute up to 75 percent Federal cost share for NFIP-insured properties.

 Insular areas, including American Samoa, Guam, the Northern Mariana Islands,
Puerto Rico, and the U.S. Virgin Islands – FEMA automatically waives the non-Federal
cost share when the non-Federal cost share for the entire grant is under $200,000, not an
individual subgrant. If the non-Federal cost share for the entire grant is $200,000 or
Part IV. Eligibility Information

greater, FEMA may waive all or part of the cost share, such a waiver is usually consistent
with that provided for Public Assistance under the disaster declaration. If FEMA does not
waive the cost share, the insular area must pay the entire cost-share amount, not only the
amount over $200,000.
Cost-share requirements also extend to management costs with the following exceptions:
 For HMGP, available HMGP management costs are calculated as a percentage of the
Federal funds provided. There is no additional cost-share requirement for management
costs.
 Under the PDM Program, only Indian Tribal Grantees meeting the definition of a small
impoverished community are eligible for a non-Federal cost share of 10 percent for
management costs.
See Part IX, A.7 for further information about HMGP cost-share requirements and Part V, E.4 for
further information on funding restrictions for management costs.
HMA Federal funds, or funds used to meet HMA cost-share requirements, may not be used as a
cost share for other Federal funds, for lobbying, or intervention in Federal regulatory or
adjudicatory proceedings.

Table 2: Cost-Share Requirements
Mitigation Activity

Grantee
Management Costs

Subgrantee
Management Costs

(Percent of Federal / NonFederal Share)

HMGP

75/25

100/0

–/–(1)

PDM

75/25

PDM – subgrantee is small
impoverished community

90/10

75/25

90/10

PDM – Tribal Grantee is
small impoverished
community

90/10

FMA – insured properties
and planning grants

75/25

FMA – repetitive loss
property(2)

90/10

FMA – severe repetitive loss
property(2)

100/0

Programs

(1) Subapplicants should consult their State Hazard Mitigation Officer (SHMO) for the amount or percentage of HMGP
subgrantee management cost funding their State has determined to be passed through to subgrantees.
(2) To be eligible for an increased Federal cost share a FEMA-approved State or Tribal (Standard or Enhanced) Mitigation
Plan that addresses repetitive loss properties must be in effect at the time of grant award, and the property that is being
submitted for consideration must be a repetitive loss property.

Part IV. Eligibility Information

B.1 Federal Funds Allowed to Be Used as Non-Federal Cost
Share
In general, the non-Federal cost-share requirement may not be met with funds from other Federal
agencies; however, authorizing statutes explicitly allow some Federal funds to be used as a cost
share for other Federal grants. Federal funds that are used to meet a non-Federal cost-share
requirement must meet the purpose and eligibility requirements of both the Federal source
program and the HMA grant program.

B.2 Increased Cost of Compliance as Non-Federal Cost Share
The NFIP Increased Cost of Compliance (ICC) claim payment from a flood event may be used to
contribute to the non-Federal cost-share requirements so long as the claim is made within the
timelines allowed by the NFIP. ICC payments can only be used for costs that are eligible for
ICC benefits; for example, ICC cannot pay for property acquisition, but can pay for structure
demolition or relocation. In addition, Federal funds cannot be provided where ICC funds are
available; if the ICC payment exceeds the required non-Federal share, the Federal funding award
will be reduced to the difference between the cost of the activity and the ICC payment.
If an ICC payment is being used as a subapplicant’s non-Federal cost share, the NFIP
policyholder must assign the claim to the subapplicant. However, only that part of the ICC
benefit that pertains to the property can be assigned to the subapplicant. The NFIP policyholder
can only assign the ICC benefit to the subapplicant; in no case can the policyholder assign the
ICC benefit to another individual. Steps for the assignment of ICC coverage are available at
http://www.fema.gov/national-flood-insurance-program/steps-assignment-coverage-d-increasedcost-compliance-coverage.

C. Restrictions
C.1 Non-Discrimination Compliance
In accordance with Section 308 of the Stafford Act and Title VI of the 1964 Civil Rights Act, all
HMA programs are administered in an equitable and impartial manner, without discrimination on
the grounds of race, color, religion, nationality, sex, age, disability, English proficiency, or
economic status. In addition, Federal assistance distributed by State and local governments is to
be implemented in compliance with all applicable laws.
Applicants and subapplicants must ensure that no discrimination is practiced. Applicants and
subapplicants must consider fairness, equity, and equal access when prioritizing and selecting
project subapplications to submit with their grant application. Subapplicants also must ensure
fairness and equal access to property owners and individuals that benefit from mitigation
activities.

Part IV. Eligibility Information

C.2

Conflict of Interest

Applicants and subapplicants must avoid conflicts of interest. Subapplicants must comply with
the procurement guidelines at 44 CFR Section 13.36, which require subapplicants to avoid
situations in which local officials with oversight authority might benefit financially from the
grant disbursement. Applicants must comply with guidelines for awarding and administering
subgrants as stated in 44 CFR Section 13.37.

C.3

Duplication of Programs

FEMA will not provide assistance for activities for which it determines the primary or more
specific authority lies with another Federal agency or program. Other programs and authorities
should be examined before applying for HMA funding. HMA funds are not intended to be used
as a substitute for other available program authorities. Available program authorities include
other FEMA programs (e.g., Individual Assistance and Public Assistance) and programs under
other Federal agencies, such as the U.S. Environmental Protection Agency, U.S. Army Corps of
Engineers, and the Natural Resources Conservation Service. FEMA may disallow or recoup
amounts that duplicate other authorities.
For additional information about Duplication of Programs for wildfire mitigation projects, see
Addendum, Part B.2.

C.4

Duplication of Benefits

HMA funds cannot duplicate funds received by
or available to Applicants or subapplicants from
other sources for the same purpose. Examples of
other sources include insurance claims, other
assistance programs (including previous project
or planning grants and subgrants from HMA
programs), legal awards, or other benefits
associated with properties or damage that are
subject of litigation.

DUPLICATION OF BENEFITS
DOB is used to describe assistance that is
from more than one source and that is used
for the same purpose or activity. The
purpose may apply to the entire project or
only part of it.
DOB may apply when assistance for the
same purpose:
 Has been received
 Will be received

 Is reasonably available from another
Because the availability of other sources of
source, such as insurance or legal
mitigation grant or loan assistance is subject to
settlements due to the property owners
available information and the means of each
individual Applicant, HMA does not require that property owners seek assistance from other
sources (with the exception of insurance). However, it is the responsibility of the property owner
to report other benefits received, any applications for other assistance, the availability of
insurance proceeds, or the potential for other compensation, such as from pending legal claims
for damages, relating to the property.

Part IV. Eligibility Information

Where the property owner has an insurance policy covering any loss to the property that relates
to the proposed HMA project, the means are available for receiving compensation for a loss or,
in the case of ICC, assistance toward a mitigation project. FEMA will generally require that the
property owner file a claim prior to the receipt of HMA funds.
Information regarding other assistance received by properties in HMA projects may be shared
under 5 U.S.C. 552a (b) of the Privacy Act of 1974. Uses may include sharing with custodians
of property records, such as other Federal or other governmental agencies, insurance companies,
or any public or private entity, for the purposes of ensuring that the property has not received
money that is duplicative of any possible HMA grants received. When obtaining information
from property owners about other sources of assistance, a Privacy Act statement must be
distributed to each owner. For more information about the process of verifying potential
duplication, access the HMA Tool for Identifying Duplication of Benefits at
http://www.fema.gov/library/viewRecord.do?id=6815 and for a copy of the Privacy Act
statement (see Appendix F of that document).
For additional information on DOB for property acquisition and structure demolition or
relocation projects, see Addendum Part A.11.4.

D. General Program Requirements
D.1

Eligible Activities

To be eligible, activities must meet all requirements referenced in this guidance. Eligible
activities for HMA fall into the following categories:
 Mitigation projects (all HMA programs);
 Hazard mitigation planning (all HMA programs); and
 Management costs (all HMA programs).
Table 3 summarizes eligible activities that may be funded by the HMA programs. Detailed
descriptions of these activities follow the table in Part IV, D.1.1, D.1.2, and D.1.3.
The following activities are not eligible as stand-alone activities but are eligible when included
as a functional component of eligible mitigation activities:
 For the PDM Program, generators and/or related equipment purchases (e.g., generator
hook-ups),when the generator directly relates to the hazards being mitigated and is part of
a larger project;
 Real property or easements purchases required for the completion of an eligible mitigation
project; and
 Studies that are integral to the development and implementation of mitigation project,
including hydrologic and hydraulic, engineering, or drainage studies.
Part IV. Eligibility Information

Table 3: Eligible Activities by Program
Eligible Activities

HMGP

PDM

FMA

√

Property Acquisition and Structure Demolition

√

Property Acquisition and Structure Relocation

√

Structure Elevation

√

1. Mitigation Projects

Mitigation Reconstruction

√

Dry Floodproofing of Historic Residential Structures

√

Dry Floodproofing of Non-residential Structures

√

Minor Localized Flood Reduction Projects

√

Structural Retrofitting of Existing Buildings

√

Non-structural Retrofitting of Existing Buildings and Facilities

√

Safe Room Construction

√

Wind Retrofit for One- and Two-Family Residences

√

Infrastructure Retrofit

√

Soil Stabilization

√

Wildfire Mitigation

√

Post-Disaster Code Enforcement

√

Generators

√

5 Percent Initiative Projects

√

Advance Assistance

√

2. Hazard Mitigation Planning

√

3. Management Costs

√

Additional information regarding eligible projects for HMGP is included in Part IX, A.8 and A.9;
and for FMA, see Part IX, C.1.
Costs for eligible activities must be reasonable, allowable, allocable, and necessary as required
by 2 CFR Part 225, Cost Principles for State, Local, and Indian Tribal Governments, 44 CFR
Section 13.22, applicable program regulations, and this guidance.
D.1.1

Mitigation Projects

This section briefly describes the mitigation projects eligible under one or more of the three
HMA programs. Table 3 summarizes the eligibility of the following project types for each
program:
 Property Acquisition and Structure Demolition – The voluntary acquisition of an
existing at-risk structure and, typically, the underlying land, and conversion of the land to
Part IV. Eligibility Information

open space through the demolition of the structure. The property must be deed-restricted
in perpetuity to open space uses to restore and/or conserve the natural floodplain
functions. For property acquisition and structure demolition projects, see Addendum,
Part A.
 Property Acquisition and Structure Relocation – The voluntary physical relocation of
an existing structure to an area outside of a hazard-prone area, such as the Special Flood
Hazard Area (SFHA) or a regulatory erosion zone and, typically, the acquisition of the
underlying land. Relocation must conform to all applicable State and local regulations.
The property must be deed-restricted in perpetuity to open space uses to restore and/or
conserve the natural floodplain functions. For property acquisition and structure
relocation projects, see Addendum, Part A.
 Structure Elevation – Physically raising and/or retrofitting an existing structure to the
Base Flood Elevation (BFE) or higher if required by FEMA or local ordinance. Elevation
may be achieved through a variety of methods, including elevating on continuous
foundation walls; elevating on open foundations, such as piles, piers, posts, or columns;
and elevating on fill. Foundations must be designed to properly address all loads and be
appropriately connected to the floor structure above, and utilities must be properly
elevated as well. FEMA encourages Applicants and subapplicants to design all structure
elevation projects in accordance with the American Society of Civil Engineers/Structural
Engineering Institute (ASCE/SEI) 24-05, Flood Resistant Design and Construction. For
additional information about structure elevation projects, see Addendum, Part E.
 Mitigation Reconstruction – The construction of an improved, elevated building on the
same site where an existing building and/or foundation has been partially or completely
demolished or destroyed. Mitigation reconstruction is only permitted for structures
outside of the regulatory floodway or coastal high hazard area (Zone V) as identified by
the existing best available flood hazard data. Activities that result in the construction of
new living space at or above the BFE will only be considered when consistent with the
mitigation reconstruction requirements.
 Dry Floodproofing – Techniques applied to keep structures dry by sealing the structure to
keep floodwaters out. For all dry floodproofing activities, FEMA encourages Applicants
and subapplicants to design all dry floodproofing projects in accordance with
ASCE/SEI 24-05.
 Dry Floodproofing of Historic Residential Structures is permissible only when

other techniques that would mitigate to the BFE would cause the structure to lose its
status as a Historic Structure, as defined in 44 CFR Section 59.1.

 Dry Floodproofing of Non-residential Structures must be performed in accordance

with NFIP Technical Bulletin (TB) 3-93, Non-Residential Floodproofing—

Part IV. Eligibility Information

Requirements and Certification, and the requirements pertaining to dry floodproofing
of non-residential structures found in 44 CFR Sections 60.3(b)(5) and (c)(4).
 Generators – Generators are emergency
equipment that provide a secondary
source of power. Generators and related
equipment (e.g., hook-ups) are eligible
provided that they are cost-effective,
contribute to a long-term solution to the
problem they are intended to address, and
meet other program eligibility criteria.
 PDM Program: Generators and/or

related equipment purchases (e.g.,
generator hook-ups) are eligible when
the generator directly relates to the
hazards being mitigated and is part of
a larger project.

 HMGP: A permanently installed

GENERATORS
 Stand-alone generators and related
equipment (e.g., generator hook-ups) are
eligible under the 5 Percent Initiative.
 Stand-alone generators (including related
equipment) are eligible for regular HMGP
funding if the generator protects a critical
facility and meets all other program
eligibility criteria.
 Generators (including related equipment)
that constitute a functional portion of an
otherwise eligible mitigation measure are
eligible for HMGP and PDM Program
funding.
 Portable generators are eligible for HMGP
regular funding and the 5 Percent Initiative
if they meet all HMGP requirements as
described in 44 CFR Section 206.434.

generator that is a stand-alone project
can be considered under regular HMGP funding if the generator protects a critical
facility. Critical facilities may include police and fire stations, hospitals, and water
and sewer treatment facilities. A generator that is a component of a larger project
(e.g., elevation of a lift station) can also be funded under regular HMGP funding and
the use of aggregation is permitted. Portable generators are eligible provided that they
meet all HMGP requirements as described in 44 CFR Section 206.434. Stand-alone
generator projects that cannot be determined cost-effective via standard HMA benefitcost methodology may be eligible under the 5 Percent Initiative. See Part IX, A.10 for
additional information about the 5 Percent Initiative.
For additional information on generators please see the Frequently Asked Questions
for Generators in Part X, Appendix G.
HMA funds are not available as a substitute for emergency, temporary, or partial
solutions under the Stafford Act Section 403, Essential Assistance (42 U.S.C. 5170b)
and/or the Stafford Act, Title VI Emergency Preparedness (42 U.S.C. 5195).

 Minor Localized Flood Reduction Projects – Projects to lessen the frequency or severity
of flooding and decrease predicted flood damages, such as the installation or modification
of culverts, and stormwater management activities, such as creating retention and
detention basins. These projects must not duplicate the flood prevention activities of other
Federal agencies and may not constitute a section of a larger flood control system.

Part IV. Eligibility Information

 Under the FMA program, minor localized flood reduction projects should benefit

NFIP-insured properties. Projects will be prioritized based on the number of NFIP
insured properties included in the project. Projects that do not include NFIP-insured
properties will not be considered for funding. Documentation must be provided in the
subapplication to verify the NFIP insurance requirement, which includes flood
insurance policy and property locator numbers as appropriate.

 Structural Retrofitting of Existing Buildings – Modifications to the structural elements
of a building to reduce or eliminate the risk of future damage and to protect inhabitants.
The structural elements of a building that are essential to protect to prevent damage
include foundations, load-bearing walls, beams, columns, building envelope, structural
floors and roofs, and the connections between these elements.
 Non-structural Retrofitting of Existing Buildings and Facilities – Modifications to the
non-structural elements of a building or facility to reduce or eliminate the risk of future
damage and to protect inhabitants. Non-structural retrofits may include bracing of
building contents to prevent earthquake damage or the elevation of utilities.
 Safe Room Construction – Safe room construction projects are designed to provide
immediate life-safety protection for people in public and private structures from tornado
and severe wind events, including hurricanes. For HMA, the term “safe room” only
applies to extreme wind (combined tornado and hurricane) residential, non-residential, and
community safe rooms; tornado community safe rooms; and hurricane community safe
rooms. This type of project includes retrofits of existing facilities or new safe room
construction projects, and applies to both single and dual-use facilities. For additional
information, see Addendum, Part C.
 Wind retrofit projects – Wind retrofit projects of one and two-family residential
buildings must be designed in conformance with the design criteria found in the Wind
Retrofit Guide for Residential Buildings (FEMA P-804) published December 2010. This
document is available in the FEMA Library at
http://www.fema.gov/library/viewRecord.do?id=4569.
 Infrastructure Retrofit – Measures to reduce risk to existing utility systems, roads, and
bridges.
 Soil Stabilization – Projects to reduce risk to structures or infrastructure from erosion and
landslides, including installing geotextiles, stabilizing sod, installing vegetative buffer
strips, preserving mature vegetation, decreasing slope angles, and stabilizing with rip rap
and other means of slope anchoring. These projects must not duplicate the activities of
other Federal agencies.
 Wildfire Mitigation – Projects to mitigate at-risk structures and associated loss of life
from the threat of future wildfire through:

Part IV. Eligibility Information

 Defensible Space for Wildfire – Projects creating perimeters around homes,

structures, and critical facilities through the removal or reduction of flammable
vegetation. For additional information, see Addendum, Part B.3.1.

 Application of Ignition-resistant Construction – Projects that apply ignition-

resistant techniques and/or non-combustible materials on new and existing homes,
structures, and critical facilities. For additional information, see Addendum, Part
B.3.2.

 Hazardous Fuels Reduction – Projects that remove vegetative fuels proximate to at-

risk structures that, if ignited, pose significant threat to human life and property,
especially critical facilities. For additional information, see Addendum, Part B.3.3.

 Post-Disaster Code Enforcement – Projects designed to support the post-disaster
rebuilding effort by ensuring that sufficient expertise is on hand to ensure appropriate
codes and standards, including NFIP local ordinance requirements, are used and enforced.
For additional information, see Part IX, A.8.
 Advance Assistance – Section 1104 of the SRIA authorizes the use of Advance Assistance
to accelerate the implementation of the Hazard Mitigation Grant Program (HMGP).
Applicants may use Advance Assistance to develop mitigation strategies and obtain data
to prioritize, select and develop complete HMGP applications in a timely manner. See
Part IX, A.9 for additional information on Advance Assistance.
 5 Percent Initiative Projects – These projects, which are only available pursuant to an
HMGP disaster, provide an opportunity to fund mitigation actions that are consistent with
the goals and objectives of the State or Indian Tribal (Standard or Enhanced) and local
mitigation plans and meet all HMGP program requirements, but for which it may be
difficult to conduct a standard Benefit-Cost Analysis (BCA) to prove cost-effectiveness.
For additional information, see Part IX, A.10.
D.1.2

Hazard Mitigation Planning

Mitigation plans are the foundation for effective hazard mitigation. A mitigation plan is a
demonstration of the commitment to reduce risks from natural hazards and serves as a strategic
guide for decision-makers as they commit resources.
MITIGATION PLANNINGThe mitigation planning process includes hazard
RELATED ACTIVITIES
identification and risk assessment leading to the
Planning activities can include assessing
development of a comprehensive mitigation strategy
risk and updating the mitigation strategy to
for reducing risks to life and property. The mitigation
reflect current disaster recovery goals.
strategy section of the plan identifies a range of
specific mitigation actions and projects being considered to reduce risks to new and existing
buildings and infrastructure. This section includes an action plan describing how identified
mitigation activities will be prioritized, implemented, and administered.

Part IV. Eligibility Information

Planning activities funded under HMA are designed to develop State, Indian Tribal, and local
mitigation plans that meet the planning requirements outlined in 44 CFR Part 201. A mitigation
planning subgrant award must result in a mitigation plan adopted by the jurisdiction(s) and
approved by FEMA or it must result in a planning related activity approved by FEMA (e.g.,
incorporating new data into the Risk Assessment, or updating the Mitigation Strategy to reflect
current disaster recovery goals) consistent with the requirements in 44 CFR Parts 201 and 206.
For FMA, funds shall only be used to support the flood hazard portion of State, Indian Tribal, or
local mitigation plans to meet the criteria specified in 44 CFR Part 201. Funds are only available
to support these activities in communities participating in the NFIP.
For links to mitigation planning and risk assessment resources, see Part X, C.2.
D.1.2.1

Eligible Hazard Mitigation Planning-Related Activities

Eligible activities include but are not limited to:
 Update or enhance sections of the current FEMA-approved mitigation plan, such as:
 Risk and vulnerability assessment based on new information, including supporting

studies, such as economic analyses;

 Mitigation strategy, specifically strengthening the linkage to mitigation action

implementation, with emphasis on available HMA project grant funding; or

 Incorporate climate adaptation, green building, or smart growth principles into the risk

assessment and/or mitigation strategy.

 Integrate information from mitigation plans, specifically risk assessment or mitigation
strategies, with other planning efforts, such as:


Disaster recovery strategy (pre- or post), preparedness, or response plans;



Comprehensive (e.g., land use, master) plans;



Capital improvement or economic development plans;



Resource management / conservation plans (i.e., storm water, open space); or



Other long-term community planning initiatives (i.e., transportation or housing).

 Building capability through delivery of technical assistance and training.
 Evaluation of adoption and/or implementation of ordinances that reduce risk and/or

increase resilience.

D.1.2.2

Ineligible Hazard Mitigation Planning-Related Activities

The following is a list of activities considered ineligible as “stand alone” planning-related
activities:
Part IV. Eligibility Information

 Hazard identification or mapping and related equipment for the implementation of

mitigation activities (eligible under 5 Percent Initiative);

 Geographic Information System (GIS) software, hardware, and data acquisition whose
primary aim is mitigation (eligible under 5 Percent Initiative);
 Public awareness or education campaigns about mitigation (eligible under 5 Percent

Initiative);

 Project scoping or development (also referred to as “project planning”), such as BCA,
engineering feasibility studies, application development, construction design, or EHP data
collection; and
 Activities not resulting in a clearly defined product or product(s).
D.1.3

Management Costs

Management costs are any indirect costs and administrative expenses that are reasonably
incurred by a Grantee or subgrantee in administering a grant or subgrant award.
Eligible Applicant or subapplicant management cost activities may include:
 Solicitation, review, and processing of subapplications and subgrant awards;
 Subapplication development and technical assistance to subapplicants regarding feasibility
and effectiveness, BCA, and EHP documentation;
 Geocoding mitigation projects identified for further review by FEMA;
 Delivery of technical assistance (e.g., plan reviews, planning workshops, training) to

support the implementation of mitigation activities;

 Managing grants (e.g., quarterly reporting, closeout);
 Technical monitoring (e.g., site visits, technical meetings);
 Purchase of equipment, per diem and travel expenses, and professional development that
is directly related to the implementation of HMA programs; and
 Staff salary costs directly related to performing the activities listed above.
Management costs are only awarded in conjunction with project or planning grants and
subgrants. For more information regarding management costs for HMGP, see Part IX, A.4. For
the PDM Program and FMA, FEMA may provide up to 25 percent of the Applicant’s
anticipated management costs, upon the award and final approval of the first subgrant. The
remaining management costs will be obligated as additional subgrants are awarded.

Part IV. Eligibility Information

D.2

Ineligible Activities

The following list provides examples of activities that are not eligible for HMA funding:
 Projects that do not reduce the risk to people, structures, or infrastructure;
 Projects that are dependent on a contingent action in order to be effective and/or feasible
(i.e., not a stand-alone mitigation project that solves a problem independently or
constitutes a functional portion of a solution);
 Projects with the sole purpose of open space acquisition of unimproved land;
 Projects for which actual physical work such as groundbreaking, demolition, or
construction of a raised foundation has occurred prior to award or final approval. Projects
for which demolition and debris removal related to structures proposed for acquisition or
mitigation reconstruction has already occurred may be eligible when such activities were
initiated or completed under the FEMA Public Assistance program to alleviate a health or
safety hazard as a result of a disaster;
 Projects that involve land that is contaminated with hazardous waste;
 Projects for preparedness activities or temporary measures (e.g., sandbags, bladders,
geotubes);
 Projects that create revolving loan funds;
 Activities required as a result of negligence or intentional actions, or those intended to
remedy a code violation, or the reimbursement of legal obligations such as those imposed
by a legal settlement, court order, or State law;
 FEMA may, at its discretion, choose not to fund projects subject to ongoing litigation if
such litigation may affect eligibility of the project or may substantially delay
implementation of the project;
 All projects located in a CBRS Unit or in OPAs, other than property acquisition and
structure demolition or relocation projects for open space under HMA. For details on
property acquisition and structure demolition or relocation projects for open space within
a CBRS Unit or OPAs see Addendum, Part A.2;
 Activities on Federal lands or associated with facilities owned by another Federal entity;
 Major flood control projects related to the construction, demolition, or repair of dams,
dikes, levees, floodwalls, seawalls, groins, jetties, breakwaters, and erosion projects
related to beach nourishment or re-nourishment;
 Projects for hazardous fuels reduction in excess of 2 miles from structures;
 Projects that address unmet needs from a disaster that are not related to mitigation;

Part IV. Eligibility Information

 Retrofitting facilities primarily used for religious purposes, such as places of worship (or
other projects that solely benefit religious organizations). However, a place of worship
may be included in a property acquisition and structure demolition or relocation project
provided that the project benefits the entire community, such as when the whole
neighborhood or community is being removed from the hazard area;
 Activities that only address manmade hazards;
 Projects that address, without an increase in the level of protection, operation, deferred or
future maintenance, repairs, or replacement of existing structures, facilities, or
infrastructure (e.g., dredging, debris removal, replacement of obsolete utility systems,
bridges, and facility repair/rehabilitation);
 Projects for the purpose of:


Landscaping for ornamentation (e.g., trees, shrubs);



Site remediation of hazardous materials (with the exception eligible activities, such as
the abatement of asbestos and/or lead-based paint and the removal of household
hazardous wastes to an approved landfill);



Water quality infrastructure;



Projects that primarily address ecological or agricultural issues;



Forest management;



Prescribed burning or clear-cutting;



Creation and maintenance of fire breaks, access roads, or staging areas;



Irrigation systems;

 Studies not directly related to the design and implementation of a proposed mitigation
project; and
 Preparedness measures and response equipment (e.g., response training, electronic

evacuation road signs, interoperable communications equipment).

All projects must also comply with any additional project-specific guidance provided in the
Addendum.

D.3

Cost-effectiveness

Mitigation program authorizing statutes (Flood Mitigation Assistance at 42 U.S.C. 4104c, PreDisaster Hazard Mitigation at 42 U.S.C. 5133, and Hazard Mitigation at 42 U.S.C. 5170c)
require that FEMA provide funding for mitigation measures that are cost-effective or are in the
interest of the NFIF. FEMA has specified minimum project criteria via regulation (44 CFR Part
79 and 44 CFR Section 206.434), including that Applicants must demonstrate mitigation projects
are cost-effective. The determination of cost-effectiveness is performed in a variety of ways. It
Part IV. Eligibility Information

is typically demonstrated by the calculation of a BCR, dividing total annualized project benefits
by total annualized project cost. Projects where benefits exceed costs are generally considered
cost-effective (see Part V, I and Part VI, A.2 for additional information).

D.4

Feasibility and Effectiveness

Mitigation projects funded by HMA must be both feasible and effective at mitigating the risks of
the hazard(s) for which the project was designed. A project’s feasibility is demonstrated through
conformance with accepted engineering practices, established codes, standards, modeling
techniques, or best practices. Effective mitigation measures funded under HMA provide a longterm or permanent solution to a risk from a natural hazard.
For additional information about the feasibility and effectiveness requirement for mitigation
reconstruction projects, see the Addendum, Part D.3; for additional feasibility and effectiveness
resources, see Part X, C.5.

D.5

Hazard Mitigation Plan Requirement

In accordance with 44 CFR Part 201, all
Applicants for the PDM Program and FMA
must have a FEMA-approved State or Tribal
(Standard or Enhanced) Mitigation Plan by the
application deadline and at the time of
obligation of the grant funds. The only
exception is for a subapplication for a State or
Indian Tribal (Standard or Enhanced)
Mitigation Plan. In addition, all subapplicants
for the PDM Program and FMA mitigation
projects must have a FEMA-approved local or
Indian Tribal mitigation plan by the application
deadline and at the time of obligation of grant
funds. There is no local or Indian Tribal
mitigation plan requirement for any HMA
program for a planning subgrant.

EXTRAORDINARY
CIRCUMSTANCES EXCEPTION
 For HMGP project subgrants, the Regional
Administrator may grant an exception to a
local or Indian Tribal mitigation plan
requirement in extraordinary circumstances
when justification is provided.
 For the PDM Program and FMA project
subgrants, the Region may apply
extraordinary circumstances when
justification is provided and with concurrence
from FEMA Headquarters (Risk Reduction
and Risk Analysis Divisions) before granting
an exception.

Applicants for HMGP funding must have a FEMA-approved State or Indian Tribal (Standard or
Enhanced) Mitigation Plan at the time of the disaster declaration and at the time HMGP funding
is obligated to the Grantee to receive an HMGP award. For HMGP project subgrants, the
Regional Administrator may grant an exception to the local or Indian Tribal mitigation plan
requirement in extraordinary circumstances, when justification is provided. If this exception is
granted, a local or Indian Tribal mitigation plan must be approved by FEMA within 12 months of
the award of the project subgrant to that community.

Part IV. Eligibility Information

For PDM and FMA project subgrants, the Region may apply extraordinary circumstances when
justification is provided and with concurrence from FEMA Headquarters (Risk Reduction and
Risk Analysis Divisions) prior to granting an exception. If this exception is granted, a local or
Indian Tribal mitigation plan must be approved by FEMA within 12 months of the award of the
project subgrant to that community.
For HMGP, the PDM Program, and FMA, extraordinary circumstances exist when a
determination is made by the Applicant and FEMA that the proposed project is consistent with
the priorities and strategies identified in the State or Indian Tribal (Standard or Enhanced)
Mitigation Plan and that the jurisdiction meets at least one of the criteria below. If the
jurisdiction does not meet at least one of the following criteria, the Region must coordinate with
FEMA Headquarters (Risk Reduction and Risk Analysis Divisions) for HMGP and coordinate
and seek concurrence prior to granting an exception for the PDM Program and FMA:
 The jurisdiction meets the small impoverished community criteria (see Part IX, B.2);
 The jurisdiction has been determined to have had insufficient capacity due to lack of
available funding, staffing, or other necessary expertise to satisfy the mitigation planning
requirement prior to the current disaster or application deadline;
 The jurisdiction has been determined to have been at low risk from hazards due to low
frequency of occurrence or minimal damages from previous occurrences due to sparse
development;
 The jurisdiction experienced significant disruption from a declared disaster or another
event that impacts its ability to complete the mitigation planning process prior to award or
final approval of a project grant; and
 The jurisdiction does not have a mitigation plan for reasons beyond the control of the
State, Indian Tribal or local community, such as Disaster Relief Fund (DRF) restrictions
that delay FEMA from awarding project grants prior to the expiration of the local or
Indian Tribal mitigation plan.
For HMGP, the PDM Program, and FMA, the Applicant must provide written justification that
identifies the specific criteria from above or circumstance, explain why there is no longer an
impediment to satisfying the mitigation planning requirement, and identify the specific actions or
circumstances that eliminated the deficiency.
In determining whether to grant the exception, FEMA takes into consideration factors including
whether an Applicant has prioritized its authorized HMA project assistance for use in those
communities with an approved local or Indian Tribal mitigation plan, whether there are
additional project funds available for award to a jurisdiction that does not have an approved local
or Indian Tribal mitigation plan, and whether an Applicant has placed higher priority for grant
funding on communities with higher risks. In all cases, a local or Indian Tribal mitigation plan
must be completed and approved by FEMA within 12 months of the award. If a local or Indian

Part IV. Eligibility Information

Tribal mitigation plan is not approved by FEMA within this timeline, the project subgrant will be
terminated and any costs incurred after the notice of the subgrant’s termination will not be
reimbursed by FEMA.
When an HMGP project subgrant is awarded under extraordinary circumstances, the Grantee
shall acknowledge in writing to the Regional Administrator that a plan will be completed within
12 months of the award of the project grant. The Grantee must provide a work plan for
completing the local or tribal mitigation plan, including milestones and a timetable, to ensure that
the jurisdiction will complete the plan in the required time. This requirement shall be
incorporated into the grant award (both the planning and project subgrant agreements, if a
planning subgrant is also awarded).
D.5.1

Indian Tribal Government Hazard Mitigation Plan Requirement

Indian Tribal governments with an approved Indian Tribal mitigation plan in accordance with 44
CFR Section 201.7 may apply for assistance from FEMA as a Grantee. In addition, if an Indian
Tribal government with an approved Indian Tribal mitigation plan in accordance with 44 CFR
Section 201.7 coordinates the review of their Indian Tribal mitigation plan with the State or
another Indian Tribal government, it has the option to apply as a subapplicant through that State
or Indian Tribal government, except as prohibited by State law.
D.5.2

Conformance with Hazard Mitigation Plans

Projects submitted for consideration for HMA funding must be consistent with the goals and
objectives identified in the current, FEMA-approved State or Indian Tribal (Standard or
Enhanced) Mitigation Plan and local or Indian Tribal mitigation plan for the jurisdiction in which
the activity is located.

D.6 Environmental Planning and Historic Preservation
Requirement
HMA programs, and grants awarded pursuant to these programs, must conform to 44 CFR Parts
9 and 10, and with all applicable EHP laws, implementing regulations, and EOs, such as the
NEPA, the National Historic Preservation Act (NHPA), the Endangered Species Act (ESA), EO
11988 (Floodplain Management), EO 11990 (Protection of Wetlands), and EO 12898
(Environmental Justice). EHP requirements ensure appropriate consideration of reasonable
alternatives, taking the project’s impacts to the human environment into account in the decisionmaking process. The project, when completed, must comply with all applicable environmental
laws and regulations as a condition of grant eligibility.
FEMA reviews the completeness of the responses to the questions in the EHP review section of
the project subapplication and supporting documentation. For HMA project subapplications that
do not include the required information for each property identified in the subapplication, there
Part IV. Eligibility Information

may be a delay in identifying outstanding EHP compliance measures. Lack of the required
information by the application deadline may prohibit FEMA from awarding a grant or subgrant.
FEMA has developed guidance to assist in completing the EHP information section of a project
subapplication, including an eLearning Tool, online training, and information about historic
preservation. For links to these EHP resources, see Part X, C.5.
D.6.1

Floodplain Management and Protection of Wetlands

As noted in Part IV D.6, all activities funded by HMA programs must conform to 44 CFR Part 9.
Activities involving development will only be eligible for a grant if the Applicant demonstrates
that there is no practicable alternative to such development in accordance with 44 CFR Section
9.9. In addition, HMGP funds cannot be used to fund new construction or Substantial
Improvement in a floodway or new construction in a coastal high hazard zone. However, the
costs to elevate or floodproof a damaged structure or facility are not included in determining
whether the Substantial Improvement threshold is triggered.
For additional information see 44 CFR Section 9.11(d).

D.7

National Flood Insurance Program Eligibility Requirements

HMA eligibility is related to the NFIP as follows:
 Subapplicant eligibility: All subapplicants for FMA must currently be participating in
the NFIP, and not withdrawn or suspended, to be eligible to apply for grant funds. Certain
non-participating political subdivisions (i.e., regional flood control districts or county
governments) may apply and act as subgrantees on behalf of the NFIP-participating
community in areas where the political subdivision provides zoning and building code
enforcement or planning and community development professional services for that
community;
 Project eligibility: HMGP and PDM mitigation project subapplications for projects sited
within an SFHA are eligible only if the jurisdiction in which the project is located is
participating in the NFIP. There is no NFIP participation requirement for HMGP and
PDM project subapplications for projects located outside of the SFHA;
 Hazard mitigation planning eligibility: There are no NFIP participation requirements for
HMGP and PDM hazard mitigation planning subapplications; and
 Property eligibility: Properties included in a project subapplication for FMA funding
must be NFIP insured at the time of the application submittal. Flood insurance must be
maintained for the life of the structure.

Part IV. Eligibility Information

D.7.1

Special Flood Hazard Area Requirements

For structures that remain in the SFHA after the implementation of the mitigation project, flood
insurance must be maintained for the life of the structure to an amount at least equal to the
project cost or to the maximum limit of coverage made available with respect to the particular
property, whichever is less. The maximum limit of coverage made available is defined as the
replacement cost value of the structure up to $250,000 for residential and $500,000 for nonresidential. Insurance coverage on the property must be maintained during the life of the
property regardless of transfer of ownership of such property.
The subgrantee (or property owner) must legally record, with the county or appropriate
jurisdiction’s land records, a notice that includes the name of the current property owner
(including book/page reference to record of current title, if readily available), a legal description
of the property, and the following notice of flood insurance requirements:
This property has received Federal hazard mitigation assistance. Federal law
requires that flood insurance coverage on this property must be maintained during
the life of the property regardless of transfer of ownership of such property.
Pursuant to 42 U.S.C. 5154a, failure to maintain flood insurance on this property
may prohibit the owner from receiving Federal disaster assistance with respect to
this property in the event of a flood disaster. The Property Owner is also required
to maintain this property in accordance with the floodplain management criteria
of 44 CFR Part 60.3 and City/County Ordinance.
Applicants/subapplicants receiving assistance for projects sited in an SFHA must ensure that
these requirements are met by requesting that the participating property owner(s) sign an
Acknowledgement of Conditions for Mitigation of Property in an SFHA with FEMA Grant Funds
form and providing the form to FEMA prior to award or final approval. This form is available
on the FEMA Web site at http://www.fema.gov/library/viewRecord.do?id=3592, or from the
appropriate FEMA Regional Office (for Regional Office information, see Part VIII). Properties
that do not meet these requirements will not be eligible to receive assistance under the HMA
programs.
If an approved HMA project affects the accuracy of the applicable Flood Insurance Rate Map
(FIRM), the subgrantee is responsible for ensuring that appropriate map amendments or
revisions are made. Costs associated with map amendments may be identified in the cost
estimate section of a subgrant application.

D.8

Statutory, Regulatory, and Other Requirements

Mitigation activities must adhere to all relevant statutes, regulations, and requirements,
including:
 Sections 203 (PDM Program) and 404 (HMGP) of the Stafford Act;

Part IV. Eligibility Information

 Section 1366 (FMA) of the NFIA;

 Section 322 of the Stafford Act (Mitigation Planning);

 Section 324 of the Stafford Act (Management Costs);

 NHPA;

 NEPA;

 Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970;

 Floodplain Management and Protection of Wetlands (44 CFR Part 9);

 Environmental Considerations (44 CFR Part 10, NEPA, and ESA);

 Coastal Barriers Resources Act (CBRA; 44 CFR Part 206, Subpart J);

 Uniform Administrative Requirements for Grants and Cooperative Agreements to States

and Local Governments (44 CFR Part 13);
 Uniform Administrative Requirements for Grants and Agreements with Institutions of
Higher Education, Hospitals, and other Non-Profit Organizations (2 CFR Part 215);
 Floodplain Management (44 CFR Part 60);
 Flood Mitigation Grants (44 CFR Part 79);
 Property Acquisition and Relocation for Open Space (44 CFR Part 80);
 Hazard Mitigation Planning (44 CFR Part 201);
 Hazard Mitigation Grant Program (44 CFR Part 206, Subpart N);
 Management Costs (44 CFR Part 207);
 Cost Principles for Educational Institutions (2 CFR Part 220, OMB Circular A-21); Cost
Principles for State, Local, and Indian Tribal Governments (2 CFR Part 225, OMB
Circular A-87); Cost Principles for Nonprofit Organizations (2 CFR Part 230, OMB
Circular A-122);
 OMB Circular A-94, Guidelines and Discount Rates for Benefit-Cost Analysis of Federal
Programs;
 OMB Circular A-133, Audits of States, Local Governments, and Non-Profit
Organizations;
 Federal Acquisition Regulations (FAR) Subpart 31.2, Contracts with Commercial
Organizations; and
 Other applicable Federal, State, Indian Tribal, and local laws, implementing regulations,
and EOs (e.g., EO 11988, EO 11990).

Part IV. Eligibility Information

PART V. APPLICATION AND

SUBMISSION INFORMATION

Part V provides guidance on developing HMA applications or subapplications, and on related
funding restrictions.

A. Address to Request Application Package
Applications for HMGP are processed through the National Emergency Management
Information System (NEMIS). Applicants may use the Application Development Module of
NEMIS to create project applications and submit them to the appropriate FEMA Region in
digital format for the relevant disaster. For NEMIS Helpdesk resources, see Part X C.6.
Applications for the PDM Program and FMA are processed through the eGrants system. The
eGrants system encompasses the entire grant application process and provides the means to
electronically create, review, and submit a grant application to FEMA via the Internet.
Applicants and subapplicants can access eGrants at https://portal.fema.gov/famsVuWeb/home.
The FEMA Technical Service desk phone number is 1 (877) 611-4700. For additional eGrants
resources, see Part X C.6.
For more information about using NEMIS or eGrants, contact the appropriate FEMA Regional
Office (see Part VIII).

B. Content and Form of Application
For HMGP, subapplication packages are available from eligible Applicants following
Presidential major disaster declarations. The Applicant selects and prioritizes subapplications
and submits them to FEMA. Applicants must submit an SF-424, Application for Federal
Assistance, before HMGP funding can be obligated. The Applicant submits the subapplications
both in digital format via NEMIS and in hard copy format.
Applications and subapplications for the PDM Program and FMA are submitted via the eGrants
system. If a subapplicant does not use the eGrants system, the Applicant must enter the paper
subapplication(s) into the eGrants system on the subapplicant’s behalf. Blank applications that
conform to the eGrants format are available for printing from the eGrants system and the FEMA
Web site. Supporting documentation that cannot be electronically attached to the eGrants
application (e.g., engineering drawings, photographs, and maps) must be submitted to the
appropriate FEMA Regional Office. The entire application, including all paper documentation,
must be received by the appropriate FEMA Regional Office no later than the application
deadline.

Part V. Application and Submission Information

C. Submission Dates and Times
HMGP submittal deadlines for applications are established based on the disaster declaration
date. For submission of an application for HMGP, see Part IX, A.1 and A.6.
Completed applications for the PDM Program and FMA must be submitted to FEMA through
eGrants. Application submission due dates and times are posted to the HMA Web site at
https://www.fema.gov/hazard-mitigation-assistance. Subapplicants should consult the official
designated point of contact (POC) for their Applicant for more information regarding the
application process. For more information on FEMA and Applicant contacts, see Part VIII. For
additional information on HMA application cycles either contact FEMA or go to
http://www.grants.gov/.

D. Intergovernmental Review
It may be necessary to allow sufficient time for an intergovernmental review of an application as
established by EOs 12372 and 12416 (Intergovernmental Review of Federal Programs). If an
Applicant has chosen not to participate in the intergovernmental review process, the application
may be sent directly to FEMA. Guidance on the intergovernmental review process, including the
names and addresses of the single POCs as listed by OMB, is available at
http://www.whitehouse.gov/omb/grants_spoc.

E. Funding Restrictions
HMA programs allow the funding of eligible costs for mitigation activities as outlined in Part IV,
D.1. Subapplications that propose a Federal expenditure in excess of the Federal funding limit
will not be considered for an award. For each program, additional funding restrictions apply as
described below.

E.1

HMGP Funding Restrictions

 Up to 7 percent of the Grantee’s HMGP ceiling may be used for mitigation planning

activities in compliance with 44 CFR Section 201.3(c)(4).

 Up to 5 percent of the Grantee’s HMGP ceiling may be used for mitigation measures that
are difficult to evaluate against traditional program cost-effectiveness criteria (i.e., the
5 Percent Initiative).
 For Presidential major disaster declarations for tornadoes and high winds, an additional 5
percent of the Grantee’s HMGP ceiling may be used to fund hazard mitigation measures
(e.g., warning systems) to address the unique hazards posed by tornadoes.
For more information on the 5 Percent Initiative and the additional 5 percent for tornadoes, see
Part IX, A.10.

Part V. Application and Submission Information

E.2

PDM Program Funding Restrictions

 Up to $800,000 Federal share may be
requested in a subapplication for a planning
grant to develop a new hazard mitigation
plan.
 Up to $300,000 Federal share may be
requested in a subapplication for a planning
grant to update a hazard mitigation plan.

MAXIMUM AMOUNTS OF
MITIGATION PLANNING GRANTS
Under the PDM Program, the maximum
mitigation planning grant is $800,000 for a
new plan and $300,000 for an update.
Under FMA, the maximum individual
planning grant is $50,000 for any Applicant
and $25,000 for any subapplicant.

 Up to $3 million Federal share may be requested in a subapplication to implement a

mitigation project.

 The cumulative Federal award for subapplications awarded during a single application
cycle to any one Applicant shall not exceed 15 percent of the total appropriated PDM
Program funds for that application cycle.

E.3

FMA Funding Restrictions

 Individual planning grants using FMA funds shall not exceed $50,000 to any Applicant or
$25,000 to any subapplicant. FMA funds can only be used for the flood hazard
component of a hazard mitigation plan that meets the planning criteria outlined in 44 CFR
Part 201.

E.4

Management Costs Funding Restrictions

For all HMA programs, indirect costs may be included as a part of the management cost estimate
shown in the application or subapplication.
For HMGP only: The Grantee may request a flat percentage rate (4.89 percent) of the projected
eligible program costs for management costs. The Grantee is responsible for determining the
amount, if any, of funds that will be passed through to the subgrantee(s) for their management
costs. For further information on HMGP management costs, see Part IX, A.2.5 and A.4.
Applicants for the PDM Program and FMA may apply for a maximum of 10 percent of the total
funds requested in their grant application budget (Federal and non-Federal shares) for
management costs to support the project and planning subapplications included as part of their
grant application. Applicants requesting Applicant management costs must submit a separate
Management Costs subapplication in eGrants. This subapplication must be included in the
overall grant application or the request will not be considered. Applicants who are not awarded
grants funds for project or planning activities will not receive reimbursement for the
corresponding costs incurred in developing and submitting applications.

Part V. Application and Submission Information

Subapplicants for the PDM Program and FMA may apply for a maximum of 5 percent of the
total funds requested in a subapplication for management costs. Subapplicants requesting
management costs must include them in the project or planning subapplication for consideration
as separate activities in the Mitigation Activity section of eGrants. Subapplicants who are not
awarded subgrants for project or planning activities will not receive reimbursement for the
corresponding costs incurred in developing and submitting subapplications.

F. Other Submission Requirements
F.1

Application Consideration under Multiple HMA Programs

FEMA will only consider applications and subapplications submitted to a specific HMA
program. If an applicant would like to have a subapplication considered under multiple HMA
programs, the applicant must submit that subapplication to each HMA program separately.

F.2

Pre-Award Costs

Costs incurred after the HMA application period has opened, but prior to the date of the grant
award or final approval, are identified as pre-award costs. For HMGP, the opening of the
application period is the date when HMGP is authorized, which is generally the date of
declaration. The opening of the application period for the PDM Program and FMA is
established annually by FEMA.
Pre-award costs directly related to developing the application or subapplication may be funded
through HMA as funds are available. Such costs may have been incurred, for example, to
develop a BCA, to gather EHP data, for preparing design specifications, or for workshops or
meetings related to development and submission of HMA applications and subapplications.
Costs associated with implementation of the activity but incurred prior to grant award or final
approval are not eligible (projects initiated or completed prior to grant award or full approval of
the project are not eligible). To be eligible for HMA funding, pre-award costs must be identified
as separate line items in the cost estimate of the subapplication. Applicants and subapplicants
may identify such pre-award costs as their non-Federal cost share. Applicants and subapplicants
who are not awarded grants or subgrants will not receive reimbursement for the corresponding
pre-award costs.

G. Applicant Guidance
G.1 General Applicant Guidance
FEMA will not direct the Applicant on how to submit its applications. The Applicant may
submit a single application representing all subapplications or they may submit multiple
applications. When submitting multiple subapplications, they should be ranked in priority order.
Part V. Application and Submission Information

Before forwarding subapplications to FEMA, Applicants also should review subapplications to
document that:
 The subapplicant has documented its capacity to manage the subgrant funds;
 The subapplicant has documented its capacity to complete the mitigation activity in the
time specified;
 Non-Federal cost-share funds are or will be available for the project;
 The maintenance requirements have been sufficiently identified, and the subapplicant or
another authorized entity has accepted the maintenance responsibility;
 The underlying cost-effectiveness data are accurate and complete; and
 All program- and project-specific requirements have been met and are documented as
appropriate.
If the subapplication is considered to be deficient, the Applicant may revise or augment the
subapplication in consultation with the subapplicant. Applicants must certify that they have
evaluated the activities included in each subapplication and that activities will be implemented in
accordance with 44 CFR Part 13 and other applicable program or activity type requirements.

G.2 Minimum Eligibility and Completeness Criteria
FEMA will no longer accept incomplete and
MINIMUM ELIGIBILITY AND
placeholder project applications. Incomplete
COMPLETENESS REQUIREMENTS
applications or subapplications delay project
Applications and subapplications submitted
approval because they do not contain sufficient
to FEMA must meet the minimal eligibility
information for FEMA to make program eligibility
and completeness criteria, as there is no
method to determine eligibility without
determinations. Applications and subapplications
these data. For a detailed Eligibility and
submitted to FEMA must meet the minimal
Completeness checklist please see Part X,
eligibility and completeness criteria as there is no
Appendix E for projects and Part X,
Appendix H for plans.
method to determine eligibility without these data.
These minimal eligibility criteria are required for all
submittals including over-submittals and placeholder applications. Additional information may
be requested during FEMA review. The following list is not all inclusive. For a more detailed
checklist please see Part X, Appendix E for projects and Part X, Appendix H for plans.
Unless otherwise noted, the following criteria apply to plans, management costs, and
project subapplications and applications:
 Eligible Applicant;
 Meets all plan requirements per 44 CFR Parts 201 and 206;
 Provides a detailed SOW as described in Part V, H;

Part V. Application and Submission Information

 Provides a work schedule of 3 years or less;
 If project is suitable for phased or incremental funding, the schedule reflects activities and
timelines for each funding increment (projects);
 Budget/Match Source;



A detailed cost estimate/budget is provided that supports the SOW;

 Cost-effectiveness and Feasibility (projects);
 Project includes a FEMA-approved BCA or FEMA-approved alternate cost-

effectiveness documentation (see Part V, I for additional information);

 The proposed activity is feasible and effective as demonstrated through conformance

with accepted engineering practices, established codes, standards, modeling
techniques, or best practices (see Part V, J for additional information);

 EHP;
 Project includes information and documentation to demonstrate conformance with all

applicable laws and regulations (e.g., NEPA and State Historic Preservation Act);

 Project demonstrates that it minimizes harm to the environment and is the best

alternative from a range of options considered (see Part V, K for additional
information); and

 Assurances.

H. Scope of Work
The SOW identifies the eligible mitigation activity, as described in Part IV, D.1; describes what
will be accomplished; and explains how the mitigation activity will be implemented. The
mitigation activity must be described in sufficient detail to verify the cost estimate. All activities
for which funding is requested must be identified in the SOW prior to the close of the application
period.

H.1

Project Scope of Work

The project subapplication SOW provides detailed information about the project, as well as
applicable references and supporting documentation. The SOW includes:
 Purpose of the project – The intended outcome or objectives of the project;
 Clear, concise description of the proposed project – Proposed conceptual design, means
of implementation of the project, and responsible party for implementation;
 Identification of properties to be mitigated – All properties to be mitigated must be
identified, including additional, alternate properties that may be substituted should one or

Part V. Application and Submission Information

more of the other properties be withdrawn for eligibility or other reasons. In order for
alternate properties to be properly considered in the event of a substitution, the same level
of information for the alternate properties is required as is provided for the proposed
properties;
 Outcomes – Proposed project accomplishments, problem(s) that the project will solve,
parties that will directly or indirectly benefit from the project, and ways that the risks of
damage or harm will be reduced;
 Special project components – New technologies that will be used during project
implementation and how they are expected to provide the necessary results, and necessary
laboratory tests or field-testing;
 Other projects – Other projects that are currently being implemented or expected to be
implemented that will affect the proposed project;
 Extraordinary Circumstances – If this exception is used, a plan must be completed
within 12 months of the award of the project grant, per Part IV, D.5 (Hazard Mitigation
Plan Requirement); and
 Latitude/Longitude and site photographs – Subapplicants must identify the proposed
project location on a map and provide the latitude/longitude and any relevant photographs
including, but not limited to sides of the building, foundation, roof, both sides of the
culvert, and the surrounding project area.
The required documentation depends upon the nature of the proposed project and may include:
proposed schematics, drawings or sketches, photographs, maps, sections of hazard maps, a Flood
Insurance Study, or a FIRM. Whenever possible, data used to document existing conditions must
be obtained from recognized sources, such as Federal agencies, State agencies, and academic
organizations. The references and/or supporting documentation from qualified and credible
sources such as Professional Engineers or local government records should be included when
using locally developed data. Deviations from standard procedures, methods, techniques,
technical provisions of the applicable codes, or best practices must be thoroughly explained and
documented. Subapplicants must identify the proposed project location on a map and provide
any relevant photographs including, but not limited to, sides of the building, foundation, and roof
(as appropriate).

H.2

Hazard Mitigation Planning Scope of Work

The hazard mitigation planning subapplication SOW must describe the development of a hazard
mitigation plan or planning-related activity that is consistent with the requirements identified in
44 CFR Part 201.
For a hazard mitigation plan, the SOW must:
 Describe the proposed planning activity, including whether it will:
Part V. Application and Submission Information

 Result in a new or updated hazard mitigation plan that complies with the requirements

identified in 44 CFR Part 201; or

 Enhance an existing mitigation plan through a planning related activity that is

consistent with 44 CFR Part 201.

 Identify the jurisdiction(s) or tribe(s) that will participate in developing the plan or the
planning-related activity and describe the jurisdictions;
 Provide a statement on how the overall planning effort will be coordinated;
 Describe the process for plan development or the planning-related activity, clearly
demonstrating what applicable regulatory requirements will be met. Document in detail
the activities the jurisdiction(s) will complete to develop the plan or the planning related
activity, including public involvement, identification of hazards, development of a
comprehensive risk/vulnerability assessment, identification of mitigation goals and
strategies, and plan implementation, and describe how these activities relate to the cost
estimate; and
 For new or updated hazard mitigation plans, describe the plan adoption process for the
jurisdiction(s) or tribe(s) to ensure sufficient time to complete the plan, as well as time for
State and FEMA review and, if necessary, time to complete any required revisions and to
formally adopt the plan.
Additionally, for an update to a hazard mitigation plan, the SOW must include the reasons for the
update and describe the process for plan update, clearly demonstrating that applicable regulatory
requirements will be met. Also, provide a statement on how the overall planning effort will be
coordinated.
If available, the subapplication also should include a copy of the plan review document (i.e.,
review tool or crosswalk) from the FEMA approval of the previous plan.
For planning related activities, the SOW should describe the:
 Final product(s);
 Process and level of effort to develop the final product(s), including key milestones (such
as meetings; data research, collection, and analysis; drafts; and outreach); and
 Process to incorporate the product(s) or results into the update of the next mitigation plan.
Applicants/subapplicants are advised to make use of already developed materials and to seek
available resources when developing a new mitigation plan or updating a mitigation plan. For
links to mitigation planning and risk assessment resources, see Part X, C.2.

Part V. Application and Submission Information

H.3

Management Costs Scope of Work

For the Applicant management cost subapplication, the SOW must describe the activities and
specific tasks related to developing subapplications, and implementing as well as closing
subgrants. The SOW should state whether the work will be conducted by the Applicant’s staff or
by contractor staff.

H.4

Schedule

Subapplications should include a work schedule for all project tasks identified in the SOW, such
as data collection, site survey, permitting and inspections, site preparation, and construction. The
schedule should identify timelines for accomplishing significant milestones, including
anticipated quarterly usage of Federal funds. Proposed schedules for individual subapplications
should not exceed 36 months (see Part VII, B.4).
For planning subapplications, the work schedule must allow sufficient time for State and FEMA
reviews; preparation of required revisions, if needed; formal adoption by the jurisdiction(s); and
FEMA approval.

H.5

Cost Estimate

The cost estimate describes all of the subapplicant’s
COST ESTIMATES
anticipated costs associated with the SOW for the proposed
FEMA will accept cost estimates
mitigation activity. Cost estimates must include detailed
used to support budgets and BCAs
estimates of various cost item categories, such as labor,
if the Applicant or subapplicant
certifies that the estimates are
materials, equipment, and subcontractor costs. No lumpbased on nationally published or
sum estimates will be accepted. The cost estimate must
local cost-estimating guides.
identify the cost categories and value for which anticipated
cash and third-party in-kind contributions will be used to meet the non-Federal cost share.
FEMA will accept cost estimates that the Applicant or subapplicant certifies were established
using nationally published or local cost estimating guides to support the budget and BCA. The
Applicant or subapplicant must include appropriate documentation in the application or
subapplication that demonstrates a national published standard or local cost estimating guide was
used. If a cost estimate is based on a contractor's bid or historic costs from another activity,
detailed documentation must be provided. The applicant must document actual costs for eligible
activities at closeout. Separate cost line items in a subapplication are required to ensure that cost
thresholds are not exceeded. As applicable, the following line items must be listed separately in
the budget:
 Pre-award costs;
 Subapplicant management costs for the PDM Program and FMA, and HMGP if the

Grantee has agreed to pass through funds to the subgrantee; and

Part V. Application and Submission Information

 Information dissemination costs (for the PDM Program).
Additionally, the cost estimate should indicate items for which the cost may change, such as a
price quoted by a contractor that is only valid for 1 year. Neither contingency nor escalation
costs are permitted as individual line items in the cost estimate.
H.5.1

Project Cost Estimate

In addition to the items described in Part V, H.5, the project cost estimate must include a lineitem breakdown of all anticipated costs including, as applicable:
 Costs for anticipated environmental resource impact treatment or historic property

treatment measures;

 Costs for engineering designs/specifications, including hydrologic and hydraulic

studies/analyses required as an integral part of designing the project;

 Construction/demolition/relocation costs, such as survey, permitting, site preparation, and
material/debris disposal costs; and
 All other costs required to implement the mitigation project, including any applicable
project-type specific costs identified in the Addendum of this guidance.
For additional information about cost estimates for property acquisition and structure demolition
or relocation projects, see Addendum, Parts A.5 and A.6; for wildfire mitigation projects, see
Addendum, Part B.3; for safe room construction projects, see Addendum, Part C.3.4; for
mitigation reconstruction see projects Addendum, Parts D.2 and D.5; and for structure elevation
projects, see Addendum, Part E.3.
H.5.2

Hazard Mitigation Planning Cost Estimate

In addition to the items described in Part V, H.5, the hazard mitigation planning cost estimate
must include a line-item breakdown of costs associated with all elements described in the SOW,
such as:
 Meetings and public outreach, including the costs associated with what is necessary and
reasonable;
 Data research and collection, including eligible mapping activities or risk assessment;
 Plan drafting, review, and final production;
 Information dissemination activities, including printing and advertising; and
 Professional development training, tuition, and travel for the purpose of carrying out the
planning SOW.

Part V. Application and Submission Information

H.5.3

Management Cost Estimate

Applicants and subapplicants requesting management costs should provide supporting
documentation and include these costs as separate line items in the cost estimate portion of the
application or subapplication.
A narrative must accompany a request for management costs. The narrative should describe the
activities, personnel requirements, and other costs for which the Grantee and/or subgrantee will
use management cost funding. It should provide information on how the funds will be expended
and monitored and show that sufficient funds will be available for closeout.
For more information on HMGP management costs, see Part IX, A.4.

Cost-effectiveness

FEMA will only consider applications that use a FEMA-approved methodology to demonstrate
cost-effectiveness. This is typically demonstrated by the calculation of a BCR. Projects for
which benefits exceed costs are generally considered cost-effective. Benefits may include
avoided damages, loss of function, and displacement.
FEMA provides BCA software that allows Applicants to calculate a project BCR. Written
materials and training are also available. The FEMA BCA software utilizes the OMB Circular
A-94, Guidelines and Discount Rates for Benefit-Cost Analysis of Federal Programs. FEMA
requires using approved BCA software (version 4.5.5 or greater) to help ensure that calculations
are consistent with OMB Circular A-94. The current software is available at the FEMA Regional
Office or from the BCA Technical Assistance Helpline.
If FEMA standard values are used, then no additional documentation is required. If non-standard
values are used, then documentation is required. Documentation must be accurate and
sufficiently detailed for the analysis to be validated. FEMA recommends that supporting
documentation be obtained from credible sources, such as a Flood Insurance Study.
Data associated with the various methodologies for analyzing cost-effectiveness are available
from the appropriate FEMA Regional Office (see Part VIII) or the BCA Technical Assistance
Helpline.

I.1

Substantial Damage Waiver

An expedited cost-effectiveness methodology is
available for property acquisition projects when
certain conditions are met. Structures that are
declared Substantially Damaged as a result of
flooding and located in a riverine SFHA on a

Part V. Application and Submission Information

SUBSTANTIAL DAMAGE
WAIVER EXTENDED
TO ALL HMA PROGRAMS
An expedited cost-effectiveness analysis
methodology is available for property
acquisition projects when certain conditions
are met.

preliminary or effective FIRM are considered cost-effective for acquisition projects. If this
methodology is used, the project application should include a certification that the structures
meet these conditions.

I.2

Aggregation

An evaluation of the cost-effectiveness of a project
AGGREGATION
should include all activities included within the
It is appropriate to aggregate benefits from
SOW. This may include activities in multiple
multiple activities and multiple jurisdictions if
part of the same project.
jurisdictions. It may also include combining
benefits from multiple activities and multiple
hazards, such as wind and flood, if it is a part of the same project.

I.3

5 Percent Initiative

For 5 Percent Initiative subapplications for HMGP funding, a narrative description of the
project’s cost-effectiveness must be provided. For more information on the 5 Percent Initiative,
see Part IX, A.10.

I.4

Pre-calculated Benefits (Safe rooms)

For Safe Room Construction projects, an expedited cost-effectiveness methodology is available
that identifies the benefits associated with certain types of safe rooms (see Appendix F). If this
methodology is used, the submitted project application should include a copy of the data relevant
to the project location.

I.5

Greatest Savings to the Fund

FEMA also allows for the use of the GSTF data and
methodology to demonstrate cost-effectiveness for
properties included in mitigation projects under
HMA. Subapplicants are not required to use this
methodology when submitting projects for funding
and may utilize the current applicable BCA version
(4.5.5 or greater) methodology.

I.6

Environmental Benefits

FEMA has identified and quantified environmental
benefits for mitigation activities. Incorporating
environmental benefits into the overall quantification
of benefits for acquisition-related activities supports

Part V. Application and Submission Information

GREATEST SAVINGS
TO THE FUND METHODOLOGY
GSTF can be used to demonstrate costeffectiveness of a project under all HMA
programs.

INCLUSION OF ENVIRONMENTAL
BENEFITS INTO THE BCA TOOLKIT
Green open space and riparian benefits
have been identified and quantified for
acquisition projects. The BCR for an
acquisition project must be 0.75 before the
environmental benefit can be incorporated.

FIMA’s mission of risk reduction, environmental compliance, and preservation of the natural and
beneficial functions of the floodplain.
Specifically, FEMA developed economic values for green open space and riparian areas. FEMA
will be incorporating the environmental benefits for green open space and riparian areas into the
BCA toolkit for acquisition projects.
The economic value for green open space is $7,853 per acre per year. For riparian areas, the
economic value is $37,493 per acre per year. When incorporating these values into FEMA’s
BCA, the yearly benefits accrue over the 100-year project useful life and are discounted at
7 percent per year to meet OMB requirements. Table 4 provides the green open space and
riparian benefits per acre per year and per square foot.

Table 4: Green Open Space and Riparian Benefits
Total Estimated Benefits
(per acre per year)

Total Estimated Benefits(1)
(per square foot)

Green Open Space

$7,853

$2.57

Riparian

$37,493

$12.29

Land Use

(1)

Projected for 100 years with 7 percent discount rate

For an acquisition project, the BCR for a project must be 0.75 before incorporating the
environmental benefit. This ensures projects funded by HMA are primarily associated with risk
reduction activities. Once a project’s BCR reaches 0.75, the appropriate environmental
benefit can be included for the individual properties.

I.7

Benefit-Cost Analysis Resources

Other methods to demonstrate cost-effectiveness may be used when they address a noncorrectable flaw in the FEMA-approved methodologies or propose a new approach that is
unavailable using current tools. New methodologies may be used only if FEMA approves the
methodology before application submission. For more information on resources, see Part X, C.3.
BCA Helpline
Telephone: (855) 540-6744
Email: [email protected]
BCA Policies, Overview, and Software
http://www.fema.gov/benefit-cost-analysis

J. Feasibility and Effectiveness Documentation
FEMA will use the information provided in the subapplication, including the SOW, the cost
estimate, and supporting documentation to determine the feasibility and effectiveness of the

Part V. Application and Submission Information

proposed mitigation activity. FEMA accepts the engineering design for a project if a registered
Professional Engineer (or other design professional) certifies that the design meets the
appropriate code or industry design and construction standards. FEMA will accept the certified
engineering design in lieu of a comprehensive technical feasibility review. If accepted
codes/standards are used, no additional documentation is required. See Part X, Appendix D
(Referenced Regulations, Statutes, Directives, and Guidance) for examples of codes and
standards used for various projects types.
If an alternative design is proposed the application/subapplication should contain:
 Applicable building code/edition or engineering standard used;
 Level of protection provided by the proposed project and description of how the proposed
activity will mitigate future losses;
 For the retrofit of existing buildings or infrastructure protection projects, an assessment of
the vulnerabilities of the existing building;
 Any remaining risk to the structure after project implementation; and
 Proposed schematic drawings or designs (as applicable).
Project subapplications that do not include appropriate documentation to support the
determination of feasibility and effectiveness may be removed from consideration. Upon
request, FEMA will provide technical assistance regarding engineering documentation.
For structure elevation and dry floodproofing activities, a statement certifying that the project
will be designed in conformance with ASCE/SEI 24-05 will assist in satisfying the feasibility and
effectiveness requirement.

K. Environmental Planning and Historic Preservation
Documentation
The Applicant and subapplicant should ensure that the project SOW takes into account all
potential EHP compliance issues. When completing the subapplication, the
Applicant/subapplicant must answer a series of EHP review questions and provide information
about potential impacts on environmental resources and cultural resources (if applicable) in the
project area. For additional information, see Part X, Appendix I (EHP Checklist) and Part X,
Appendix J (8-Step Decision Making Process for Floodplain Considerations), and Part X,
Appendix K (Section 106 Process under the National Historic Preservation Act).
If potential impacts are identified through the responses to these EHP review questions, the
Applicant/subapplicant must provide additional information, (as applicable), such as:
 The property address, original date of construction, and two color photographs for any
buildings, structures, objects, or manmade sites/landscapes features that are 50 years or

Part V. Application and Submission Information

more in age. At least one of the two photographs provided of a building should be the
front or primary façade showing the elevation;
 Any identified federally listed threatened or endangered species and/or designated critical
habitat in the project area;
 Vegetation, including amount (area), type, and extent to be removed or affected;
 Identification of all surface waters in the project area regardless of drainage area, size, or
perceived hazard level. Information about surface waters should include dimensions,
proximity of the project activity to the water, and the expected and possible impacts of the
project upon surface waters, if any; and
 A description of any adverse effects on low income or minority populations in the project
area.
Applicants seeking to determine whether there are any EHP issues associated with the proposed
project should consult the HMA EHP Resources At-a-Glance Guide, located at
http://www.fema.gov/library/viewRecord.do?id=6976 and the HMA EHP at a Glance at
http://www.fema.gov/library/viewRecord.do?id=5904. This Guide also provides key contacts,
Web sites, and search engines to assist in early identification of EHP issues and to facilitate
coordination with the appropriate State and Federal agencies.
If EHP issues are identified, the Applicant/subapplicant should initiate coordination with the
relevant State and Federal agencies as early in the project planning stages as possible to address
any potential EHP compliance issues associated with proposed projects. This coordination does
not substitute, and shall not be interpreted to mean, that formal consultation has occurred
between FEMA and the applicable resource agency.
Additional EHP compliance review activities may be necessary to facilitate project approval,
such as environmental impact statements, environmental assessments, Phase I environmental site
assessments, biological assessments, archeological or standing structures surveys and
documentation, wetlands delineations, and air quality conformity analysis or determinations.
If FEMA or the Applicant/subapplicant identifies any potential impacts through the EHP review
process described above, the following requirements must be completed before a grant award
may be made:
 Evaluate any potential effects to environmental and historic resources and provide the
required information and documentation to identify the impact on these resources;
 Complete an evaluation of alternatives to the proposed action that will avoid or minimize
these impacts, including consideration of the environmental impact of taking no action;
 Complete any required consultation and/or coordination with the appropriate parties (e.g.,
the State Historic Preservation Officer, the U.S. Fish and Wildlife Service, the National

Part V. Application and Submission Information

Marine Fisheries Service) to evaluate potential effects of the proposed project and to
identify any measures necessary to avoid or minimize these effects;
 Demonstrate that the project will comply with all environmental laws and regulations; and
 Make certain that the costs of any measures to treat adverse effects are realistically

reflected in the project budget estimate.

Applicants/Grantees may incur costs for significant EHP compliance review activities and/or
EHP mitigation measures. FEMA will consider the following factors to determine whether to
reimburse costs:
 Nature of the analysis or study required (e.g., environmental impact statement);
 Costs of EHP activities compared to project costs;

 Complexity of the proposed project; and

 Nature and extent of potential adverse impacts to environmental and/or historic resources.
Applicants should consider potential EHP costs during application development and submission
and should seek to avoid activities that may negatively impact EHP resources.
FEMA may remove projects from consideration for full approval and/or funding when EHP
compliance review activities are not progressing and the Applicant/Grantee has not dedicated
resources and/or provided required documentation in a timely manner.
For additional information on required EHP documentation, see Part X, C.5.

Part V. Application and Submission Information

PART VI. APPLICATION
REVIEW INFORMATION
Part VI provides information about the review process so that Applicants and subapplicants can
prepare applications that meet FEMA review criteria. During an application review, FEMA may
request additional information or documentation from Applicants.

A. Review Criteria
While review processes vary somewhat among HMA programs, FEMA reviews all
applications for:
 Application eligibility;
 Cost-effectiveness;
 Feasibility and effectiveness; and
 EHP compliance.

A.1

Application Review

FEMA will review all applications and subapplications for eligibility and completeness.
Applications and subapplications that do not satisfy the eligibility and completeness
requirements will not be funded. The eligibility and completeness requirements are outlined in
Parts IV and V.

A.2

Cost-effectiveness Review

FEMA will review the documentation provided in support of the subapplication costeffectiveness to validate the accuracy and credibility of data and ensure the appropriate use of the
cost-effectiveness methodologies. Only subapplications meeting HMA cost-effectiveness
requirements will be considered eligible.

A.3

Feasibility and Effectiveness Review

FEMA will use the information provided in the subapplication, including the SOW and project
cost estimate sections, as well as any supporting documentation to determine the feasibility and
effectiveness of the mitigation activity.
For project subapplications, FEMA will consider the following criteria in reviewing feasibility
and effectiveness:
 Conformance to accepted engineering practices, established codes, standards, modeling
techniques, or best practices, as well as work schedule;
Part VI. Application Review Information

 Effectiveness in mitigating the risks of the hazard(s); and
 Reasonableness of the cost estimate.

A.4

Environmental Planning and Historic Preservation Review

Applicants and subapplicants are required to provide information to support the FEMA EHP
compliance review. FEMA, in consultation with appropriate Federal and State resource
agencies, will use the information provided in the application/subapplication, including the
SOW, project cost estimate, as well as any supporting documentation, to ensure compliance with
EHP requirements.
As part of the EHP review process, FEMA will assess compliance with applicable requirements
including NEPA, NHPA, ESA, CBRA, EO 11988 (Floodplain Management), EO 11990
(Protection of Wetlands), and EO 12898 (Environmental Justice). Funds will not be awarded,
and the Applicant/subapplicant may not initiate the project, other than planning or preparatory
work not involving construction or alteration of the land, until FEMA has completed this review
and it is demonstrated that the project, when completed, will comply with all environmental laws
and regulations.

A.5

HMA Efficiencies

FEMA accepts the engineering design for a project if
HMA EFFICIENCIES
a registered Professional Engineer (or other design
FEMA provides opportunities to
professional) certifies that the design meets the
streamline application requirements by
appropriate code, or industry design and construction
allowing Applicants to use:
standards. FEMA will accept the certified
 FEMA technical publications
engineering design in lieu of the FEMA
 National standards and codes
comprehensive technical feasibility review. For
 Design criteria such as ASCE criteria
example, if a registered Professional Engineer
 Pre-calculated benefits
certifies that design of a community safe room project
meets or exceeds FEMA P-361 standards for design and construction, FEMA will not perform a
detailed design review to ensure compliance with the standard.
Additionally, in the development of applications and subapplications, the following resources
and approaches should be considered as they will promote efficiencies in FEMA review and
approval.
A.5.1

Safe Room Projects

Applicants must document that the proposed safe
room project is consistent with the requirements
of FEMA P-320 or FEMA P-361. Applicants
must use the expedited HMGP application for
Part VI. Application Review Information

PRE-CALCULATED BENEFITS
FOR SAFE ROOMS UNDER HMGP
If the Applicant submits a residential safe room
project with costs that are less than the precalculated benefit, then FEMA will consider the
project to be cost effective.

Residential Safe Rooms to apply pre-calculated benefits under HMGP (see Part X, Appendix F).
This pre-calculated benefit provides standardized benefits associated with residential safe rooms
so that individual BCAs are not required as long as the project costs do not exceed the benefits.
A.5.2

Wind Retrofit Projects

FEMA P-804 provides design guidance for wind-retrofit projects on existing one- and twofamily dwellings in coastal areas. Mitigation projects funded under HMGP and the PDM
Program are required to be implemented in conformance with FEMA-804. If a subapplication
complies with FEMA P-804, no additional technical information is required in the
subapplication.
A.5.3

Certain Flood Mitigation Projects

FEMA recommends HMA flood mitigation projects be designed and constructed in conformance
with the design criteria of ASCE/SEI 24-05 as a minimum standard. FEMA will consider a
project application utilizing ASCE/SEI 24-05 as being consistent with HMA engineering
feasibility and effectiveness requirements. Project applications that do not use ASCE/SEI 24-05
must submit documentation to demonstrate the project meets the engineering feasibility and
effectiveness requirement.

B. Review and Selection Process
B.1

Technical Review

FEMA will conduct a technical review for all project subapplications that are forwarded from the
initial FEMA review, for the following:
 Cost-effectiveness;
 Feasibility and effectiveness; and
 EHP compliance.

B.2

Requests for Information

FEMA may request additional information or documentation from Applicants to resolve
outstanding administrative or procedural requirements. RFIs can take various forms, including
email requests, documented telephone calls, or formal letters. Failure to provide requested
information by the deadline identified in the request may result in denial, because eligibility
cannot be determined. Technical assistance is available, if requested.
Comments may be provided by FEMA on subapplications determined ineligible so that
subapplicants can modify their subapplication for resubmission in future grant cycles.

Part VI. Application Review Information

B.2.1

Request for Information Timelines

Table 5 provides timelines for stepwise information
REQUEST FOR INFORMATION
requests and assistance offers. Figure 4 outlines the
If a subapplication does not meet the
RFI process and assigned responsible party. The RFI
administrative or procedural information
requirements, FEMA may request
process involves an eligibility review to determine if
additional information in the form of an RFI.
the subapplication and subapplicant are eligible, then
If the Regional Administrator does not
a completeness review is conducted to determine if a
receive the requested information by the
final deadline, the project will be denied.
complete subapplication was submitted. If the
subapplication is determined to be incomplete, there
are three steps FEMA will take to request further information from the subapplicant. At each
step throughout the RFI process, FEMA will work with the Applicant and subapplicant to
determine available options to develop a viable project. Some options include technical
assistance from FEMA or implementing a phased project. If the requested information is not
received by the Regional Administrator before the deadline, the project will be denied as FEMA
will have no basis to make an eligibility determination. Upon receipt of the requested
information and confirmation it adequately addresses the RFI, FEMA will proceed with making a
determination of project eligibility.

Table 5: RFI Timelines
Request
Format

Timeline

Informal –
First Request

The Project Officer requests additional information. If the requested
information is not received within 30 calendar days from the date of the
request, FEMA will consider the application to be incomplete and not
approvable. FEMA may provide technical assistance if requested, unless the
HMA program is competitive. The Applicant may consider phasing the project
if it is feasible to do so.

Informal –
Second Request

The Hazard Mitigation Branch Chief requests additional information. If the
requested information is not received within 14 calendar days from the date of
the request, FEMA will consider the application to be incomplete and not
approvable. FEMA may provide technical assistance if requested, unless the
HMA program is competitive. FEMA, Grantee, and Applicant staff should
meet to resolve any open items within the allotted timeframe, if necessary.

Formal

The Regional Administrator requests additional information and will document
previous requests. If the requested information is not received within 30
calendar days from the date of the request, FEMA will consider the application
to be incomplete and not approvable.

Formal

If the Regional Administrator does not receive the requested information within
30 calendar days, he or she will determine the requested project application
be ineligible for funding under HMGP. The second formal letter is a denial.

Part VI. Application Review Information

Figure 4: RFI Flowchart

Part VI. Application Review Information

The Regional Administrator may choose to allow more time, with justification. FEMA
encourages Applicants to coordinate early with the State or eligible Indian Tribal government to
identify potential technical assistance. If technical data is not readily available, the subapplicant
should coordinate with Grantee to determine whether the project should be phased in order to
develop required data. States or Indian Tribal governments with Grantee status could contact the
FEMA regional office to request technical assistance, relevant training or other needed support.

B.3

Selection

FEMA selects eligible subapplications based on priorities set by the Applicant or program
priorities, if applicable. For more information for the PDM Program, see Part IX, B.5, for FMA,
see Part IX, C.4.

B.4

Notification

For the PDM Program and FMA, during the review and selection process FEMA will notify
Applicants as to whether subapplications have been identified for further review, determined
eligible but will not be funded, or determined ineligible for funding. A determination of
“identified for further review” is not notification or guarantee of an award.
FEMA will work with Applicants on subapplications identified for further review. Applicants
will be notified of activities required, such as an EHP review; verification of subapplicant
commitments; verification of hazard mitigation plan status; and of the date by which all required
activities must be completed.
Comments may be provided by FEMA on subapplications determined ineligible so that
subapplicants can modify their subapplication for resubmission in future grant cycles.
The PDM Program and FMA have specific ranking criteria in addition to those described in this
part. For information about ranking criteria and on the review and selection process for the PDM
Program, see Part IX, B.4; and FMA, see Part IX, C.4.

B.5

Reconsideration Process

For the FMA and PDM programs, FEMA will reconsider its determination of a subapplication
evaluated on a competitive basis only when there is an indication of a substantive technical or
procedural error by FEMA. Only information provided in the submitted subapplication is
considered supporting documentation for the request for reconsideration. The amount of funding
available for Applicant management costs will not be reconsidered.
FEMA may evaluate subapplications on a competitive basis when:
 Submitted subapplications exceed available funds;
 Law or regulation requires the administration of a competitive program; or
Part VI. Application Review Information

 Circumstances merit the administration of funds in a competitive manner.
Applicants must send requests for reconsideration based upon technical or procedural error to
FEMA within the time specified in the notification letter to the Applicant. A FEMA decision to
uphold or overturn a decision regarding a subapplication evaluated on a competitive basis is
final.
B.5.1

Consideration of Additional Information

FEMA may, at its discretion, notify Applicants that it will consider additional information in
support of a subapplication.

FEMA will accept supplemental or corrected data in support of a subapplication when:
 Submitted subapplications do not exhaust available program funds;
 Law or regulation do not require the administration of a competitive program; or
 When determined appropriate by the program office.
Instructions for submitting supplemental data will be provided within the FEMA notification
letter, if applicable.
For information on appeal and administration of HMGP subapplications, see Part IX, A.11.

Part VI. Application Review Information

PART VII. AWARD ADMINISTRATION

INFORMATION

Part VII describes how successful Applicants will receive award information. Additionally, this
part describes administrative requirements from the time an award is made through closeout and
the maintenance actions that must occur after an activity is complete.

A. Notice of Award
FEMA will provide an award package to the Applicant for successful subapplications.
Subapplicants will receive notice of award from the Applicant.
Award packages for the PDM Program and FMA include an award letter, FEMA Form 76-10A,
Obligating Document for Awards/Amendments, and Articles of Agreement, EHP, and/or other
conditions that must be signed by the Applicant in eGrants and returned to FEMA for approval
before funds can be obligated.
For HMGP, award packages for subgrants include an approval letter, an obligation document,
and EHP and/or other conditions.
When the Applicant or subapplicant accepts an award, they are denoted as Grantee and
subgrantee, respectively. The Grantee and subgrantee agree to abide by the grant award terms
and conditions as set forth in the Articles of Agreement or the FEMA-State Agreement.

B. Administrative and National Policy Requirements
B.1

Cost-Share Documentation

Requirements for cash and third-party in-kind contributions can be found in 44 CFR Section
13.24. Third-party in-kind and cash contributions are only allowable for eligible program costs.
The following documentation is required for cash and third-party in-kind contributions:
 Record of donor;
 Dates of donation;
 Rates for staffing, equipment or usage, supplies, etc.;
 Amounts of donation or value of donation; and
 Deposit slips for cash contributions.
Such documentation must be kept on file by the Grantee and subgrantee.

Part VII. Award Administration Information

B.2

Scope of Work Changes

SCOPE CHANGE
In accordance with 44 CFR Section 13.30,
Grantees and subgrantees must request FEMA’s
Grantees must obtain FEMA’s prior approval
approval for a change in scope after the grant has
whenever there is a proposed SOW change.
been awarded. The change must be consistent
Requests for changes to the SOW after award are
with the intent of the program. Requests must be
made in writing and demonstrate the need for a
permissible as long as they are consistent with
change.
the intent of the program. Requests must be
made in writing and demonstrate the need for the
scope change. The request also should include a revised scope, schedule, and budget. Any SOW
changes are subject to all programmatic requirements. All approvals will be at FEMA’s
discretion.

B.3

Budget Changes

Grantees and subgrantees are permitted to rebudget within
BUDGET CHANGE
the approved direct cost budget to meet unanticipated
In limited cases, Grantees and
requirements and may make limited program changes to
subgrantees are permitted to make
the approved budget. For more information on direct cost
adjustments within the approved direct
cost category to meet unanticipated
categories, please see OMB Circular A-87 and 2 CFR Part
requirements.
225, Cost Principles for State, Local, and Indian Tribal
Governments. Unless expressly waived by FEMA, the
following types of post-award changes to budgets will require the prior written approval of
FEMA:
B.3.1

Non-construction Projects

 Non-construction subgrant adjustments of more than 10 percent in any direct cost

categories; and

 Any changes that would result in additional funding to the grant.
B.3.2

Construction Projects

 All construction cost adjustments that lead to the need for additional funds.
When budget changes are made, all programmatic requirements continue to apply. Additional
information regarding budget adjustments and revisions can be found in 44 CFR Section 13.30.
B.3.3

Cost Overruns and Underruns

A cost overrun or underrun can result from a scope, schedule, or budget change.

Part VII. Award Administration Information

Grantees must notify FEMA prior to redirecting funds from an underrun to other approved
subgrants for which an overrun has been requested. The subgrant must continue to meet
programmatic eligibility requirements including cost share.

B.4

Program Period of Performance

The POP is the period during which the Grantee is
expected to complete all grant activities and to incur
costs. The POP for the Program begins with the
opening of the application period and ends no later than
36 months from the close of the application period.

PERIOD OF PERFORMANCE
With the publication of this HMA Unified
Guidance, the POP for the Program
begins with opening of the application
period and ends no later than 36 months
from the close of the application period.

FEMA will not establish activity completion timelines
for individual subgrants. Grantees are responsible for ensuring that all approved activities are
completed by the end of the grant POP.
B.4.1

Extensions

Requests for extensions to a grant POP will be evaluated by FEMA but will not be approved
automatically. The Regional Administrator can extend the POP for up to 12 months with
justification. All requests to extend the grant POP beyond 12 months from the original grant
POP end date must be approved by FEMA Headquarters.
All extension requests must be submitted to FEMA at least 60 days prior to the expiration of the
grant POP and justifications must be submitted in writing. The justification must include:
 Verification that progress has been made as described in quarterly reports;
 Reason(s) for delay;
 Current status of the activity/activities;
 Current POP termination date and new projected completion date;
 Remaining available funds, both Federal and non-Federal;
 Budget outlining how remaining Federal and non-Federal funds will be expended; and
 Plan for completion, including updated schedule.

B.5

Requests for Advances and Reimbursements

The Grantee’s responsibility of an HMA grant is to process requests for advances and
reimbursements of funds. The Grantee should establish accounting procedures to disburse
money to subgrantees in a timely manner and should provide to subgrantees a POC for
information on requesting and receiving the funds, records that must be maintained, forms to be
used, and timelines for requesting the funds.
Part VII. Award Administration Information

For the PDM Program and FMA, Payment and Reporting System (PARS) is used to transfer
funds between FEMA and Grantees. Grantees shall submit to FEMA a copy of the Standard
Form (SF-425).
For HMGP, the Department of Health and Human Services, Division of Payment Management,
Payment Management System, SMARTLINK, is used to transfer funds between FEMA and
Grantees. Grantees shall submit to FEMA a copy of the SF-425.
B.5.1

Strategic Funds Management

In accordance with the needs of the Disaster
Relief Fund as well as Grantee priorities and
ability to execute the project in a timely manner,
FEMA may elect to provide funding for certain
projects in incremental amounts, including
advance payments (Strategic Funds Management
or SFM). SFM allows FEMA to schedule
obligations to be available when the State is
ready to execute an HMGP subgrant or
components of the subgrant. SFM also allows
for incremental obligations as needed within the
3-year POP requirements to support project
activities as described in the project work
schedule.
SFM does not allow funds to be advanced for an
HMGP project that is not approved and eligible.

B.6

DIFFERENCE BETWEEN STRATEGIC
FUNDS MANAGEMENT, PHASED
PROJECTS, PRE-AWARD COSTS,
AND ADVANCE ASSISTANCE
SFM is designed to provide incremental funding
for eligible activities when the funds are
required.
Phased projects are those that receive
funding for only certain complex activities that
are approved to allow the Applicant to develop
a full work scope/data package to support the
full project description.
Pre-award costs are eligible costs incurred by
the Applicant in advance of receiving funds.
These activities are reimbursed when the
project is approved and funded.
Advance Assistance provides States and
Indian Tribal governments with resources to
develop mitigation strategies and obtain data
to prioritize, select, and develop complete
HMGP applications in a timely manner.

Program Income

FEMA encourages Grantees and subgrantees to generate program income to help defray program
costs. Program income is gross income received by the Grantee or subgrantee directly generated
by a grant-supported activity or earned only as a result of the grant during the grant POP.
Program income may be derived from use or rental of real or personal property acquired with
grant funds, and sale of commodities or items fabricated under the grant award. Subgrantees
deduct this income from total project costs as specified in 44 CFR Section 13.25(g)(1). This
income may not count towards the non-Federal cost share.

B.7

Federal Income Tax on Mitigation Project Funds

FEMA mitigation payments that benefit property owners through the mitigation of their
structures are not subject to Federal income taxation. FEMA mitigation payments to acquire a
property will be treated as an involuntary conversion for tax purposes. These tax relief measures
Part VII. Award Administration Information

are effective for such payments made in all prior years. For more information, property owners
should consult the Internal Revenue Service (IRS) office or a tax advisor.

B.8

Noncompliance

If a Grantee or subgrantee materially fails to comply with any term of an award, whether stated
in a Federal statute or regulation, an assurance, a State Administrative Plan or application, a
notice of award, or elsewhere, including in this guidance, FEMA may take one or more of the
following actions, as appropriate:
 Temporarily withhold cash payments pending correction of the deficiency by the Grantee
or subgrantee;
 Disallow (that is, deny both use of funds and matching credit for) all or part of the cost of
the activity or action not in compliance;
 Wholly or partly suspend or terminate the current award for the Grantee’s or subgrantee’s
HMA grant program(s);
 Withhold further awards for HMA grant program(s); or
 Take other remedies that may be legally available.
Additional details can be found in 44 CFR Section 13.43.

C. Reporting Requirements
Grantees and subgrantees must maintain records of work and expenditures. Grantees submit
quarterly financial and performance reports to FEMA on January 30, April 30, July 30, and
October 30. The first quarterly reports are due within 30 days of the end of the first Federal
quarter following the initial grant award. FEMA may waive the initial reports. The Grantee
shall submit quarterly financial status and performance reports thereafter until the grant ends.
Failure to submit financial and performance reports to FEMA in a timely manner may result in
an inability to access grant funds until proper reports are received by FEMA. Grantees are
encouraged to contact FEMA should this occur.
The PDM Program and FMA quarterly reports can be submitted via eGrants. For HMGP,
quarterly performance reports can be submitted via NEMIS or a hard copy to the Region. PDM
Program and FMA quarterly financial reports must be submitted via PARS.

C.1

Federal Financial Reports

Grantees shall submit a quarterly Federal Financial Report (FFR). Obligations and expenditures
must be reported on a quarterly basis through the FFR (SF-425), which is due to FEMA within
30 days of the end of each calendar quarter (e.g., for the quarter ending March 31, the FFR is due
no later than April 30). A report must be submitted for every quarter of the POP, including
Part VII. Award Administration Information

partial calendar quarters, as well as for periods where no grant activity occurs. Future awards
and fund drawdowns may be withheld if these reports are delinquent. The final FFR is due 90
days after the end date of the POP.
OMB has directed that the FFR (SF-425) replace the use of the SF-269, SF-269A, SF-272, and
SF-272A. The SF-425 consolidates the Federal Status Report and the Federal Cash Transaction
Report into a single report. The SF-425 is intended to provide Federal agencies and grant
recipients with a standard format and consistent reporting requirements.
Reporting periods and due dates:
 October 1 – December 31; Due January 30
 January 1 – March 31; Due April 30
 April 1 – June 30; Due July 30
 July 1 – September 30; Due October 30
FEMA may suspend drawdowns from SMARTLINK or PARS if quarterly financial reports are
not submitted on time.

C.2

Performance Reports

The Grantee shall submit a quarterly performance report for each grant award. Performance
reports should include:
 Reporting period, date of report, and Grantee POC name and contact information;
 Project identification information, including FEMA project number (including disaster
number and declaration date for the HMGP), subgrantee, and project type using standard
eGrants/NEMIS project type codes;
 Significant activities and developments that have occurred or have shown progress during
the quarter, including a comparison of actual accomplishments to the work schedule
objectives established in the subgrant;
 Percent completion and whether completion of work is on schedule; a discussion of any
problems, delays, or adverse conditions that will impair the ability to meet the timelines
stated in the subgrant; and anticipated completion date;
 Status of costs, including whether the costs are: (1) unchanged, (2) overrun, or (3)
underrun. If there is a change in cost status, the report should include a narrative
describing the change. Also, include amount dispersed to subgrantee by activity;
 A statement of whether a request to extend the grant POP is anticipated;
 Incremental funding amounts (SFM) and progress completed;

Part VII. Award Administration Information

 For acquisition projects, the Grantee must notify FEMA on the current status of each
property for which settlement was completed in that quarter; and
 FEMA may require additional information as needed to assess the progress of a grant.
FEMA may suspend drawdowns from SMARTLINK or PARS if quarterly performance reports
are not submitted on time.

C.3

Final Reports

The Grantee shall submit a Final SF-425 and Performance Report no later than 90 days after the
end date of the POP, per 44 CFR Section 13.50.

D. Closeout
D.1

Subgrant Closeout

Upon subgrant completion, the Grantee must ensure that:
 Each subgrant has been completed in compliance with the approved SOW. The Grantee
must conduct a site visit or collect photographs for a project subgrant to ensure the
approved SOW was completed;
 Each subgrant has been completed in compliance with all environmental mitigation
conditions attached to it;
 Actual expenditures have been documented and are consistent with the SF-424A or SF424C;
 All program income has been deducted from total project costs as specified in 44 CFR
Section 13.25(g)(1);
 All project work was performed in accordance with all required permits and applicable
building codes as modified or protected by the approved project;
 For projects involving an insurable facility, the required hazard insurance (e.g., NFIP) has
been secured;
 Geospatial coordinates, in the form of latitude and longitude with an accuracy of +/- 20
meters (64 feet), have been provided for the project. For minor localized flood reduction,
hazardous fuels reduction, and soil stabilization projects, an accurate recording of the
official acreage, using open file formats geospatial files (i.e., shapefiles), has been
submitted;
 For new or updated hazard mitigation plans, a final copy of the FEMA-approved and
community-adopted plan has been submitted; and
 For planning related activities, the activity is consistent with 44 CFR Parts 201 or 206 (HMGP).
Part VII. Award Administration Information

For project-specific requirements, see the Appendices and the Addendum to this HMA Unified
Guidance. Grantees should close out subgrants as activities are completed. In addition, as cost
underruns are identified, the Grantee should submit de-obligation requests to FEMA.
The subgrantee is required to keep records for at least 3 years from the date when the Grantee
submits to FEMA the single or final expenditure report for the subgrantee in accordance with 42
U.S.C. 705 and 44 CFR Section 13.42.
For additional information about closeout for property acquisition and structure demolition or
relocation projects, see Addendum, Parts A.13 and A.15. For additional information about
closeout for mitigation reconstruction projects, see Addendum, Part D.9.

D.2

Grant Closeout

The Grantee has up to 90 days following the expiration of the grant POP to liquidate valid
expenditures incurred during the POP. Cost underruns remaining after the post-POP liquidation
period date must be reported to FEMA for de-obligation. The closeout process for the Grantee
involves the following steps:
 The Grantee ensures all subgrants have been closed out as identified in Part VII, D.1;
 The Grantee reconciles/adjusts subgrant costs, ensures that non-Federal share costs are
documented, and ensures that all costs submitted are eligible according to the FEMAapproved SOW;
 The Grantee receives and processes cost adjustments or returns unobligated funds to
FEMA via SMARTLINK or PARS. Final payment is made to the Grantee;
 The Grantee submits a closeout letter to FEMA with supporting documentation, including:
 Statement that SOW(s) has been completed as approved and all EHP requirements

have been satisfied;



SF-425 (for PARS, the final SF-425 is also submitted via PARS);



SF-270, Request for Advance or Reimbursement, if applicable, or request for deobligation of unused funds, if applicable;

 FEMA Form 20-18, Report on Government Property, if applicable; and

 The Grantee notifies FEMA that the grant is ready for final closeout.
The Grantee must maintain the complete grant closeout records file for at least 3 years from the
submission date of its single or last expenditure report in accordance with 44 CFR Section
13.42.
For HMGP, FEMA can track closeouts using the Project Closeout module in NEMIS.

Part VII. Award Administration Information

D.2.1

Update of Repetitive Loss Database

Grantees with projects that mitigate a repetitive loss property, as identified by the NFIP, must
update the NFIP Repetitive Loss Database as project activities are completed.
 For acquisition and demolition or relocation projects, Grantees must provide this update
when there is no longer an insurable structure on the property; and
 For elevation, reconstruction, floodproofing, and minor flood control projects, Grantees
must provide this update when the approved activity is complete or otherwise effective.
The NFIP defines a repetitive loss property as any insurable building for which two or more
claims of more than $1,000 were paid by the NFIP within any rolling 10-year period since 1978.
At least two of the claims must be more than 10 days apart but within 10 years of each other. A
repetitive loss property may or may not be currently insured by the NFIP.
Please note this definition of repetitive loss property is different from the FMA definition of
repetitive loss property located in Part IX, C.1.
To gain access to sensitive NFIP data, government officials are required to obtain a User Name
and Password for access to Data Exchange, the Repetitive Loss Database that is managed by the
NFIP Legacy Systems Contractor. Currently, only two access accounts are permitted per State
and are reserved for the State Hazard Mitigation Officer (SHMO) and the State NFIP
Coordinator or their designee. To obtain a User Name and Password for access to Data
Exchange, send an email with your name, title, contact information, and the reason that access to
Data Exchange is needed to FEMA. Once FEMA authorizes you for NFIP Legacy Systems
access to Data Exchange, you will be notified via email.
To maintain accurate, up-to-date records for all repetitive loss properties mitigated as a result of
HMA grant funds, FEMA requires that the Grantee submit FEMA Form AW-501, NFIP
Repetitive Loss Update Worksheet (OMB 1660-0022). Form AW-501 must be submitted along
with documentation supporting the change in the mitigated status of a structure (e.g., elevation
certificate). This form must be submitted for each property mitigated with HMA grant funds
prior to closeout. The AW-501 form and instructions for completing and submitting it can be
found on the FEMA Web site: http://www.fema.gov/library/viewRecord.do?id=3244. Detailed
AW-501 forms for individual repetitive loss properties can be obtained by accessing Data
Exchange and selecting the link to AW-501 data after selecting to look up property by property
locator or repetitive loss number.
States accessing NFIP data via the electronic systems (Data Exchange) are advised of, and must
acknowledge, the sensitive nature of the information and the need to prevent the release of the
data to unauthorized users. When the data is released to a local government by either the State or
the appropriate FEMA Regional Office, the local government must be notified in writing that the
records relating to individuals and individual properties are:

Part VII. Award Administration Information

being made available through the FEMA routine use policy for the specific
purposes of mitigation planning, research, analysis, and feasibility studies
consistent with the NFIP and for uses that further the floodplain management and
hazard mitigation goals of the States and FEMA.

Part VII. Award Administration Information

PART VIII. FEMA CONTACTS
Part VIII identifies resources that may help Applicants and subapplicants request HMA funds.
If requested, FEMA will provide technical assistance to both Applicants and subapplicants
regarding:
 General questions about the HMA programs;
 Specific questions about subapplications after the application period opens;
 Feasibility and effectiveness, cost-effectiveness, and EHP compliance during the
application period; and
 The eGrants application processes.
For additional technical assistance resources, including HMA application and award resources,
see Part X, C.7.

FEMA encourages Applicants and subapplicants to seek technical assistance early in the

application period by contacting their appropriate FEMA Regional Office. Table 6 shows which
States are served by each FEMA Region.

Contact information for FEMA Regional Offices is provided at http://www.fema.gov/regionaloperations.

Contact information for each SHMO is provided at http://www.fema.gov/state-hazardmitigation-officers.

Table 6: FEMA Regions
FEMA
Region

Serving

Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, Vermont

New Jersey, New York, Puerto Rico, U.S. Virgin Islands

III

Delaware, District of Columbia, Maryland, Pennsylvania, Virginia, West Virginia

Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina, South Carolina, Tennessee

Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin

Arkansas, Louisiana, New Mexico, Oklahoma, Texas

VII

Iowa, Kansas, Missouri, Nebraska

VIII

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

Arizona, California, Hawaii, Nevada, American Samoa, Guam, the Northern Mariana Islands

Alaska, Idaho, Oregon, Washington

Part VIII. FEMA Contacts

PART IX. ADDITIONAL PROGRAM
GUIDANCE

Part IX provides additional information applicable to assistance available under each particular
HMA grant program. This section supplements the information provided in Parts I through VIII,
and the unique project type guidance included in the Addendum. Part IX does not provide all of
the information necessary to apply for funding through an HMA program and must be read in
conjunction with other relevant sections of this guidance.

A. Hazard Mitigation Grant Program
Most of the information that an Applicant or subapplicant needs to apply for an HMGP award or
that a Grantee or subgrantee needs to manage a HMGP award is provided in Parts I through VIII,
and Part X. This section contains supplemental guidance specific to HMGP.

A.1

Grantee Request for HMGP Funds

HMGP is authorized through a Presidential major disaster declaration for activities that provide a
beneficial impact to the disaster area. A Governor may request that HMGP funding be available
throughout the State or only in specific jurisdictions. For information regarding the declaration
process and authorization of HMGP, see 44 CFR Part 206, Subpart B, and seek assistance from
the appropriate FEMA Regional Office.
The Governor’s Authorized Representative (GAR) serves as the grant administrator for all funds
provided under HMGP 44 CFR Section 206.438 (d). The GAR responsibilities include
providing technical advice and assistance to eligible subapplicants and/or subgrantees and
ensuring that all potential subapplicants are aware of available assistance for the submission of
all documents necessary for grant award.

A.2

State Administrative Plan

The State Administrative Plan is a procedural guide that details how the Grantee will administer
HMGP. Grantees must have a current Administrative Plan approved by FEMA before receiving
HMGP funds. The State Administrative Plan may become an annex or chapter of the State’s
overall emergency response and operations plan or comprehensive mitigation program strategy.
At a minimum, the State Administrative Plan must:
 Designate the State agency that will act as Grantee;
 Identify the SHMO;
 Identify staffing requirements and resources, including a procedure for expanding staff
temporarily following a disaster, if necessary;

Part IX. Additional Program Guidance: Hazard Mitigation Grant Program

 Establish procedures to guide implementation activities, including Grantee management
costs and distribution of subgrantee management costs; and
 Comply with 44 CFR Section 206.437.
A.2.1

Designation of Grantee and SHMO

Typically, the agency designated to act as Grantee manages the State responsibilities for Federal
and State disaster assistance and is responsible for meeting the mitigation planning requirement.
Although a single agency may administer the funding, the Governor may establish an
interagency mitigation team to manage the State mitigation program.
The SHMO is typically responsible for managing the State’s mitigation program, coordinating
the mitigation team, and developing as well as implementing the hazard mitigation plan. States
often rely on staff from the emergency management agency or other State agencies to augment
the staff of the SHMO following a disaster.
A.2.2

Staffing Requirements and the Mitigation Team

The State Administrative Plan should identify the positions and minimum number of personnel
needed to implement HMGP. Key positions may include clerical, administrative, and financial
management staff; program specialists to support mitigation planning and the implementation of
mitigation activities and to conduct BCAs; and environmental planners. However, the
organizational structure of the staff should remain flexible as it may be augmented as needed
with emergency management agency staff, staff from other State agencies, or temporary staff or
contractors hired to administer HMGP effectively. The State Administrative Plan should include
a procedure for expanding staff resources and using HMGP management costs.
The mitigation team may include representatives of agencies involved with emergency
management, natural resources, floodplain management, environmental issues and historic and
archeological preservation, soil conservation, transportation, planning and zoning, housing and
economic development, building regulations, infrastructure regulations or construction, public
information, insurance, regional and local government, academia, business, and non-profit
organizations. With the varied backgrounds and specialized expertise of members, the team
creates interagency, interdisciplinary insight regarding risks and potential solutions. The
interagency aspect of the team can diffuse political pressure on the Grantee agency and increase
the availability of resources. The mitigation team may support the Grantee agency by:
 Developing a comprehensive mitigation strategy;
 Supporting development and implementation of the State Mitigation Plan;
 Communicating with local governments regarding State mitigation priorities;
 Building public and business/industry support for mitigation initiatives;

Part IX. Additional Program Guidance: Hazard Mitigation Grant Program

 Reviewing, assigning priority, and recommending mitigation actions for implementation;
and
 Seeking funding for implementation of mitigation measures.
A.2.3

Procedures to Guide Implementation Activities

The State Administrative Plan must establish procedures to:
 Identify and notify potential subapplicants of the availability of HMGP funding;

 Provide potential subapplicants information on the application process, program

eligibility, and deadlines;

 Determine subapplicant eligibility;

 Provide information for environmental and floodplain management reviews in

conformance with 44 CFR Parts 9 and 10;
 Process requests for advances of funds and reimbursements;
 Monitor and evaluate the progress and completion of funded mitigation activities;
 Review and approve cost overruns;
 Process appeals;
 Provide technical assistance as required to subgrantees;
 Comply with the administrative requirements of 44 CFR Parts 13 and 206;
 Comply with audit requirements of 44 CFR Section 13.26 and OMB Circular A-133; and
 Provide quarterly progress reports to FEMA on funded mitigation activities.
A.2.4

Sliding Scale

The maximum amount of HMGP funding available is calculated using a “sliding scale” formula
based on a percentage of the estimated total Federal assistance under the Stafford Act, excluding
administrative costs for each Presidential major disaster declaration. Applicants with a FEMAapproved State or Tribal Standard Mitigation Plan may receive:
 Up to 15 percent of the first $2 billion of the estimated aggregate amount of disaster

assistance;

 Up to 10 percent for the next portion of the estimated aggregate amount more than $2
billion and up to $10 billion; and
 Up to 7.5 percent for the next portion of the estimated aggregate amount more than $10
billion and up to $35.333 billion.

Part IX. Additional Program Guidance: Hazard Mitigation Grant Program

Applicants with a FEMA-approved State or Indian Tribal Enhanced Mitigation Plan are eligible
for HMGP funding not to exceed 20 percent of the estimated total Federal assistance under the
Stafford Act, up to $35.333 billion of such assistance, excluding administrative costs authorized
for the disaster.
THE HMGP FINAL LOCK-IN

A.2.5 Management Costs
The Grantee must amend its State
Administrative Plan to include procedures for
determining the reasonable amount or
percentage of management costs that it will pass
through to the subgrantee, as well as closeout
and audit procedures before FEMA will obligate
any management costs (see 44 CFR Sections
207.4(c) and 207.7(b)). The State will
determine the amount, if any, of management
costs it will pass through to the subgrantee.
FEMA has not established any minimum for
what constitutes a reasonable amount.

Because lock-in estimates are subject to
change, FEMA will not obligate more than 75
percent of any estimate before the final lock-in
is calculated.
Total State Management Cost (SMC)
(4.89% of Total Available HMGP):
Prior to 12 Months:
FEMA obligates up to 75 percent of
total HMGP funding separate from SMC
At 12 Months:
FEMA establishes the full HMGP ceiling
amount

A.2.6 Submission and Approval
Deadlines

At 18 Months:
For a catastrophic disaster, the final
lock-in amount may be adjusted upon

A State may forward a new or updated State Administrative Plan to FEMA for approval at any
time. A State should review and update their plan annually and must review and update it
following a Presidential major disaster declaration if required to meet current policy guidance or
changes to the administration of the program. If a review indicates that there will be no changes
to the current State Administrative Plan, the Grantee should notify FEMA of this within 90 days
of the disaster declaration.

A.3

HMGP Funding

FEMA will determine the funding it will make available for the HMGP by a lock-in, which will
act as a ceiling for funds available to a Grantee, including its subgrantees. The level of HMGP
funding available for a given disaster is based on a percentage of the estimated total Federal
assistance under the Stafford Act, excluding administrative costs for each Presidential major
disaster declaration, as described in 44 CFR Section 206.432(b) and Part III, A of this guidance.
An initial estimate will be provided within 35 days of the disaster declaration or soon thereafter,
in conjunction with calculation of the preliminary lock-in amount(s) for management costs.
The 6-month estimate is no longer the floor or a guaranteed minimum funding for HMGP. The
12-month lock-in is the maximum amount available. Prior to 12 months, total obligations are

Part IX. Additional Program Guidance: Hazard Mitigation Grant Program

limited to not more than 75 percent of any current estimate, without the concurrence of the
Regional Administrator or Federal Coordinating Officer (FCO) with Disaster Recovery Manager
authority and the Office of the Chief Financial Officer (OCFO).
FEMA will establish the HMGP funding ceiling for each disaster at 12 months after the disaster
declaration. This amount, also known as the “lock-in” value for HMGP, is the maximum that
FEMA can obligate for eligible HMGP activities. The OCFO will continue to provide HMGP
estimates prior to 12 months; however, these estimates will not represent a minimum or floor
amount.
In rare circumstances, when a catastrophic disaster has resulted in major fluctuations of projected
disaster costs, FEMA may, at the request of the Grantee, conduct an additional review 18 months
after the disaster declaration. If the resulting review shows that the amount of funds available for
HMGP is different than previously calculated, the final lock-in amount will be adjusted
accordingly.
The Grantee must justify in writing to the Regional Administrator any requests to change the
amount of the lock-in or perform subsequent reviews. The Regional Administrator will
recommend to the Chief Financial Officer whether to approve the change. Changes to the lockin will not be made without the approval of the Chief Financial Officer. The Chief Financial
Officer may change the amount of the lock-in if it is determined that the projections used to
determine the lock-in were inaccurate to such a degree that the change to the lock-in would be
material, or for other reasons in his or her discretion that may reasonably warrant such changes.
The Chief Financial Officer will not make such changes without consultation with the Grantee
and the Regional Administrator.

A.4

HMGP Management Costs

The amounts, allowable uses, and procedures for HMGP management costs are established in
44 CFR Part 207. Examples of allowable management costs are listed in Part IV, D.1.3. HMGP
management costs will be provided at a rate of 4.89 percent of the HMGP ceiling. The Grantee,
in its State Administrative Plan, will determine the amount, if any, of management costs it will
pass through to the subgrantee (see Part IX, A.2.5). Management costs are provided outside of
and separate from the HMGP ceiling amount. There is no additional cost-share requirement for
HMGP management costs.
FEMA will establish the amount of funds that it will make available for management costs by a
lock-in, which will act as a ceiling for management cost funds available to a Grantee, including
its subgrantees. FEMA will determine, and provide to the Grantee, management cost lock-ins at
30 days (or soon thereafter), at 6 months, and at 12 months from the date of declaration, or upon
the calculation of the final HMGP lock-in ceiling, whichever is later.

Part IX. Additional Program Guidance: Hazard Mitigation Grant Program

Upon receipt of the initial 30-day lock-in, Grantees may request that FEMA obligate 25 percent
of the estimated lock-in amount(s) to the Grantee. No later than 120 days after the date of
declaration, the Grantee must submit documentation to support costs and activities for which the
projected lock-in for management cost funding will be used. In extraordinary circumstances,
FEMA may approve a request by a Grantee to submit supporting documentation after 120 days.
FEMA will work with the Grantee to approve or reject the documentation submitted within 30
days of receipt. If the documentation is rejected, the Grantee will have 30 days to resubmit it for
reconsideration and approval. FEMA will not obligate any additional management costs unless
the Grantee’s documentation is approved.
The documentation for management costs must include:
 A description of activities, personnel requirements, and other costs for which the Grantee
will use the management cost funding provided under this part;
 The Grantee’s plan for expending and monitoring the funds provided under this part and
ensuring sufficient funds are budgeted for grant closeout; and
 An estimate of the percentage or amount of pass-through funds for management costs
provided under this part that the Grantee will make available to subgrantees, and the basis,
criteria, or formula for determining the subgrantee percentage or amount (e.g., number of
projects, complexity of projects, etc.).
Upon receipt of the 6-month management costs lock-in, and if the Grantee can justify a bona fide
need for additional management costs, the Grantee may submit a request to the Regional
Administrator for an interim obligation. Any interim obligation must be approved by the Chief
Financial Officer and will not exceed an amount equal to 10 percent of the 6-month lock-in
amount, except in extraordinary circumstances.
The Grantee must justify in writing to the Regional Administrator any requests to change the
amount of the lock-in or the cap, extend the time period before lock-in, or request an interim
obligation of funding at the time of the 6-month lock-in adjustment. The Regional Administrator
will recommend to the Chief Financial Officer whether to approve the extension, change, or
interim obligation. Extensions, changes to the lock-in, or interim obligations will not be made
without the approval of the Chief Financial Officer.
For additional information on HMGP management costs see 44 CFR Part 207.

A.5

Eligible Subapplicants

In addition to the eligible subapplicants described in Part IV, A.1, PNP organizations may act as
the subapplicant for HMGP. PNP organizations or institutions that own or operate a PNP facility
are defined in 44 CFR Section 206.221(e). Each subapplication from a PNP must include either:

Part IX. Additional Program Guidance: Hazard Mitigation Grant Program

 An effective ruling letter from the IRS granting tax exemption under Section 501(c), (d),
or (e) of the Internal Revenue Code of 1954, as amended; or
 State certification, under State law, of non-profit status.
A qualified conservation organization, as defined at 44 CFR Section 80.3(h), is the only PNP
organization eligible to apply for property acquisition and demolition or relocation projects.

A.6

Submission of HMGP Subapplications

The Grantee must submit all HMGP subapplications to FEMA within 12 months of the date of
the disaster declaration. Upon written request and justification from the Grantee, FEMA may
extend the application submission timeline in 30- to 90-day increments not to exceed a total
extension of 180 days, in the event of extraordinary conditions. For additional information see
44 CFR Section 206.436. Additional time may be available based on meeting the criteria of the
Stafford Act, Section 301. To qualify, the requestor must justify how the event for which the
additional time is needed created the situation in which the Grantee cannot meet the regulatory
administrative deadline.
Extensions beyond regulatory time limits will be considered on a case-by-case basis. Stafford
Act Section 301 provides relief for the rare circumstance when the magnitude of the event for
which the extension is requested prevents the Grantee from meeting program administrative
requirements. The Grantee must make the request to the Flood Insurance and Mitigation
Administration Associate Administrator by submitting through the Regional Administrator, or if
there is a Joint Field Office submit through the FCO. The Regional Administrator or FCO will
provide his or her comments or concurrence and forward the request. The maximum time
available is 90 days. The request must describe the conditions that preclude the Grantee from
meeting the administrative requirements and must include a summary of current status, planned
actions to meet the extension, and any resources that may be required. FEMA will consider the
request and will provide a decision within 30 days.

A.7

Grant Cost-share Requirements

HMGP grants are required to have at least a 25 percent non-Federal cost share.
The Grantee may choose to meet the cost-share requirement by ensuring a minimum 25 percent
non-Federal share for the overall HMGP grant award, rather than on an individual activity basis.
Grantees choosing this option should develop a cost-share strategy as part of their Administrative
Plan for review and approval by FEMA.
If an Applicant chooses to fund individual projects with non-Federal cost shares below 25
percent, the Applicant must notify FEMA. If an Applicant intends to implement this approach,
the State Administrative Plan must explain how the Applicant will:
 Apply this approach in a fair and impartial manner to all subapplications;
Part IX. Additional Program Guidance: Hazard Mitigation Grant Program

 Monitor the cost share for the overall grant throughout the POP; and
 Address any cost-share shortfalls that may occur during the POP and at closeout.
If, at closeout, the non-Federal cost share of the grant is less than 25 percent of the total amount,
FEMA will recoup the amount of Federal funds needed to bring the cost share into compliance.

A.8

Post-Disaster Code Enforcement Projects

HMGP will fund extraordinary post-disaster code enforcement costs. Extraordinary needs
associated with enforcing local building codes during post-disaster reconstruction may include
the performance of building department functions, such as building inspections, and the
performance of Substantial Damage determinations under the NFIP.
A post-disaster code enforcement project may be funded through HMGP if:
 The Grantee assesses existing building code and/or zoning and land use management
regulations and determines that they adequately address the identified natural hazard risks.
The Grantee determines that the local community has adopted a building code consistent
with a recent edition of the International Code Series, conforms to State-model or Statemandated building codes, and, if the local community participates in the NFIP, has local
floodplain management measures in place that meet the minimum requirements for
participation in the NFIP;
 The Grantee evaluates the building department and determines that its organization,
funding, and enforcement and inspection processes are sufficient to ensure proper
enforcement of all applicable laws and ordinances during normal operations; and

 The Grantee evaluates the building department and identifies deficiencies, and the local
community agrees to address any deficiencies identified in this evaluation as a condition
of receiving the subgrant. This agreement can be a simple statement attached to the
evaluation and should include an implementation schedule that is mutually satisfactory to
the Grantee, the subgrantee, and FEMA. The agreement should include an
acknowledgment by the subgrantee that failure to meet the agreed upon implementation
schedule can result in the loss of all current and/or future building department assistance
used to support post-disaster operations.
The State’s assessment can be accomplished through various mechanisms. Any assessment
should include a discussion of the community’s compliance with the NFIP. Suggested
approaches include (but are not limited to):
 Employing a mutual-aid agreement among communities to use other local building
officials;

 Entering into a contractual agreement with a State or regional government entity that is
well versed in building codes and proper administration of a building department;

Part IX. Additional Program Guidance: Hazard Mitigation Grant Program

 Entering into a contractual agreement with one of the model building code organizations;
 Employing building code experts temporarily;
 Deploying FEMA mitigation staff knowledgeable of building codes and proper building
department administration. Former local building officials can often provide the requisite
knowledge; or
 Requesting the Hazard Mitigation Technical Assistance Program.
HMGP funds only extraordinary post-disaster code enforcement costs. Extraordinary postdisaster code enforcement costs are the costs to ensure disaster-resistant codes are implemented
during disaster reconstruction after normal costs of the building department are deducted. Costs
might include staffing, equipment purchases, office rental, transportation, supplies, and similar
expenses. Extraordinary costs equal disaster costs minus normal costs and cost of fees or fee
waivers.
 Disaster costs can be determined by the payroll and office expenses during the period of
assistance. If the subapplicant must purchase new equipment, only the equivalent rental
cost of this equipment for the period of assistance is considered a disaster cost. The
revenues generated by fees for inspections or permits, whether collected or not, must be
deducted;
 Normal costs can be determined from a monthly average of payroll and office expenses
during the most recent 12-month period that does not included Federal, State, or local
disaster declarations; and
 If a community has already received Federal assistance for meeting emergency building
inspection needs (such as determining habitability), these costs must be deducted in
determining extraordinary costs.

A.9

Advance Assistance

Advance Assistance is authorized by the SRIA, which
allows advancing up to 25 percent of the HMGP
ceiling or $10 million to Applicants, whichever is less.
The purpose of Advance Assistance is to provide
States and Tribes resources to develop mitigation
strategies and obtain data to prioritize, select, and
develop complete HMGP applications in a timely
manner. FEMA expects States and Tribes that receive
Advance Assistance to submit complete project
applications up to or over the HMGP ceiling by the
application deadline.

Part IX. Additional Program Guidance: Hazard Mitigation Grant Program

ADVANCE ASSISTANCE
FEMA may provide up to 25 percent
(with a limit of $10 million) of the amount
of estimated HMGP costs to States and
Indian Tribal governments in advance of
incurring eligible costs.
FEMA expects States that receive
Advance Assistance to submit complete
project applications up to or over the
available HMGP ceiling by the final
HMGP project application deadline.

FEMA will continue to implement Advance Assistance on a pilot basis for any State or Indian Tribal
government having a declaration with an open application period. Advance Assistance is not automatic.
States and Tribes may request Advance Assistance by submitting an HMGP application form to
the Regional Mitigation Division Director. The application must identify the proposed use of the
funds, including costs in sufficient detail for each proposed activity and milestones for
submitting completed HMGP applications to FEMA. Advance Assistance is subject to the
HMGP cost-share requirements and SFM (i.e., FEMA will not obligate funds until the State has
an immediate need for the funds). Advance Assistance is part of the HMGP ceiling amount.
States may use Advance Assistance for the following activities:
 Obtain staff or resources to develop a cost-share strategy and identify potential match
funding;
 Evaluate facilities or areas to determine appropriate mitigation actions;
 Incorporate environmental considerations early into program decisions;
 Collect data for BCAs, environmental compliance and other program requirements;
 Scope and prioritize hazard mitigation projects (including State coordination of local
projects) to incorporate sustainability, resilience, and renewable building concepts;
 Develop hazard mitigation projects, including engineering design and feasibility actions;
 Incorporate SFM principles into mitigation project work schedules and budgets that will
facilitate compliance with the legislative requirement to expend obligated funds within 24
months;
 Conduct meetings, outreach, and coordination with potential subapplicants and
community residents to identify potential participants for property acquisition and
demolition or relocation projects;

 Conduct engineering design and feasibility studies for larger or complex community
drainage projects or critical facility retrofits (such as for phased projects);
 Conduct hydrologic and hydraulic studies for unmapped flood zones or Approximate A
Zone areas where communities propose to submit hazard mitigation projects;
 Perform professional cost estimation services to aid consistency in project budgeting
across subapplications;
 Rectify data consistency needs for other project application categories, such as EHP, cost
sharing mechanisms, and work schedules; and
 Complete necessary documents for deed restricting properties such as acknowledgement
of voluntary participation, or Model Acknowledgement of Conditions for Mitigation of
Property in a Special Flood Hazard Area with FEMA Grant Funds for property acquisition
projects.
Part IX. Additional Program Guidance: Hazard Mitigation Grant Program

Requirements and Deliverables Associated with Advance Assistance and Resulting HMGP
Applications may include:
 Documentation of Advance Assistance Accomplishments: Applicants must submit
documentation to FEMA to support that they accomplished all activities listed in their
Advance Assistance application.
 Submission of Projects up to the HMGP Ceiling: FEMA expects States that receive
Advance Assistance to submit complete project applications up to or over the available
HMGP ceiling by the final HMGP project application deadline.
 Accounting for Use of Advance Assistance Funds: For accounting and audit purposes, the
State must submit sufficient financial detail to demonstrate that no costs claimed under
Advance Assistance are duplicated in subsequent HMGP project applications or in State
Management Cost budgets.
 Documentation of Environmental Considerations: The Applicant must document that
effects to environmental and historic resources were considered early in the planning and
project scoping processes. This requirement is in addition to ensuring environmental
compliance.
For additional information on Advance Assistance, please see Appendix L, Advance
Assistance Optional Application.

A.10 Phased Projects
In general, sufficient technical information is provided by the Applicant or subapplicant to allow
FEMA to make an eligibility determination on a subapplication. The costs to obtain this
information are generally eligible as pre-award costs (See Part V, F.2 for more information).
However, in rare circumstances it is beyond the subapplicant’s technical and financial resources
to provide the complete technical information required for a full eligibility or environmental
review of a complex project. The Applicant and FEMA may provide technical assistance to the
subapplicant to develop this complete body of technical data by approving a subapplication to
complete a Phase I design, engineering, environmental, or feasibility study. The Phase I study
provides FEMA with a technical body of information mutually concurred on by the subapplicant,
the Applicant, and FEMA to determine project eligibility. If the results of the Phase I review
indicate that the project meets HMGP requirements, the project would then be eligible for
funding for construction under a Phase II approval. Phase I study funding is part of the project’s
total estimated cost, and is subject to HMGP cost-share requirements.
The use of a Phase I study should be limited to complex projects that require technical or
environmental data beyond the scope of that generally required for a typical HMGP project. The
following provides guidelines and outlines the process for selecting projects for Phase I/Phase II
project approval.

Part IX. Additional Program Guidance: Hazard Mitigation Grant Program

A.10.1 Pre-Screening Process
The project must meet the following pre-screening criteria for a conditional Phase I approval in
the following sequence:
 State or Indian Tribal (Standard or Enhanced) Mitigation Plan – The proposed project
must be in conformance with the State or Tribal (Standard or Enhanced) Mitigation Plan;
 Justification for Selection of the Proposed Project – Justification must be provided for the
selection of the proposed solution after consideration of a range of options;
 Potential Cost-effectiveness – The project demonstrates potential cost-effectiveness based
on a preliminary assessment of anticipated project benefits and cost. The subapplicant
must be aware that this preliminary assessment is solely for the purpose of the Phase I prescreening process and is not the final cost-effectiveness determination;
 EHP Review – Initial environmental review to identify major EHP compliance issues.
The Phase I study is categorically excluded from NEPA review; and
 Hydrologic and Hydraulic or Other Relevant Technical Data – The subapplicant provides
available hydrologic and hydraulic data based on existing models and other relevant
technical data, as appropriate.
A.10.2 Phase I Conditional Approval
The Applicant and FEMA may approve projects meeting the above pre-screening requirements
for technical assistance under a Phase I conditional approval. FEMA and the Applicant will
coordinate closely to ensure mutual concurrence on all data and technical information as the
Phase I technical review process proceeds. The sequence for the process is as follows:
 Hydrologic and Hydraulic or Other Relevant Technical Data – If appropriate, the
Applicant and FEMA will review the hydrologic and hydraulic or other technical data
provided by the subapplicant;
 Preliminary Engineering Design – Based upon the technical data, the subapplicant
develops a preliminary engineering design and layout and cost estimates with ad-hoc
technical assistance from the Applicant and FEMA;

 EO 11988 – If applicable, based upon the technical data and revised engineering design,
the project must demonstrate compliance with floodplain management requirements under
this EO. If a FIRM amendment or revision will be necessary, the Applicant and FEMA
will provide the subapplicant with technical assistance to meet this requirement;
 Refinement of the Cost-Effectiveness Assessment – Based upon the revised design and
cost estimates, the Applicant and FEMA will refine the preliminary assessment of costeffectiveness conducted in the Phase I pre-screening process. This will result in a final

Part IX. Additional Program Guidance: Hazard Mitigation Grant Program

BCR to evaluate the project’s cost-effectiveness, which will include all the project costs
including Phase I; and
 EHP Review – The Applicant and FEMA will conduct a review of the revised project
design to ensure EHP compliance. The project will meet EHP requirements before Phase
II approval.
A.10.3 Phase II Approval-Construction Process
If the project is determined to be eligible, technically feasible, cost-effective, and compliant with
EHP requirements under the Phase I technical review, the project may then be approved for
construction under Phase II.

A.11 The 5 Percent Initiative
Some mitigation activities are difficult to evaluate using FEMA-approved cost-effectiveness
methodologies. Up to 5 percent of the total HMGP funds may be set aside by the Grantee to pay
for such activities. These funds are not eligible to be used in situations where the mitigation
activities can be evaluated under FEMA-approved cost-effectiveness methodologies but do not
meet the required BCA threshold.
To be eligible for the 5 Percent Initiative, activities must:
 Be difficult to evaluate against traditional program cost-effectiveness criteria;
 Comply with all applicable HMGP eligibility criteria as well as with Federal, State, and
local laws and ordinances;
 Be consistent with the goals and objectives of the State or Indian Tribal (Standard or
Enhanced) and local or Tribal mitigation plans; and
 Be submitted for review with a narrative that indicates that there is a reasonable
expectation that future damage or loss of life or injury will be reduced or prevented by the
activity.
Activities that might be funded under the 5 Percent Initiative include:
 The use, evaluation, and application of new, unproven mitigation techniques, technologies,
methods, procedures, or products;
 Equipment and systems for the purpose of warning citizens of impending hazards;
 Purchase of generators or related equipment, such as generator hook-ups;
 Hazard identification or mapping and related equipment for the implementation of
mitigation activities;
 GIS software, hardware, and data acquisition whose primary aim is mitigation;

Part IX. Additional Program Guidance: Hazard Mitigation Grant Program

 Public awareness or education campaigns about mitigation; and
 Evaluation of model building codes in support of future adoption and/or implementation.
A.11.1 Availability of Additional Funds for Tornado Mitigation
FEMA allows increasing the 5 Percent Initiative amount up to 10 percent for a Presidential major
disaster declaration for tornadoes and high winds at the discretion of the Grantee. The increased
initiative funding can be used for activities that address the unique hazards posed by tornadoes.
To qualify for this funding, the Grantee must, in its State or Indian Tribal (Standard or Enhanced)
Mitigation Plan, or other comprehensive plan, address warning of citizens (ensuring 90 percent
coverage), further the safe room concept in construction or rehabilitation of residences or
commercial structures, and address sheltering in mobile home parks. The plan, also, must
explain how the Grantee will implement an ongoing public education program so that citizens
are aware of warning systems and their meaning and the availability of in-home shelter designs.
Similar information should be included in the subgrantee’s local or Indian Tribal mitigation plan.

A.12 Appeal Process
An eligible subapplicant, subgrantee, or Grantee may appeal any FEMA determination regarding
subapplications or applications submitted for funding under HMGP. FEMA will only consider
appeals in writing that contain documentation that justifies the request for reconsideration. The
appeal should specify the monetary figure in dispute and the provisions in Federal law,
regulation, or policy with which the appellant believes the initial action was inconsistent.
Whether the appeal is originated by the Grantee or by a subapplicant/subgrantee, the appeal must
be submitted in writing to the Regional Administrator by the Grantee. The Regional
Administrator is the decision-maker on first appeals. If there is an appeal of the Regional
Administrator’s decision on any first appeal, the Assistant Administrator for Mitigation is the
decision-maker for the second appeal. In some cases the appeal may involve highly technical
issues. In these cases, FEMA may consult independent scientific or technical experts on the
subject under appeal.
Appellants must make appeals within 60 days after receipt of a notice of the action that is being
appealed. The Grantee must forward any appeal from a subapplicant/subgrantee with a written
recommendation to the Regional Administrator within 60 days of receipt. Within 90 days
following the receipt of an appeal, FEMA will notify the Grantee in writing of the disposition of
the appeal or of the need for additional information.
If additional information is needed, FEMA will determine a date by which the information must
be provided. Within 90 days following the receipt of the requested additional information (or 90
days after the information was due), FEMA will notify the Grantee in writing of the disposition
of the appeal.

Part IX. Additional Program Guidance: Hazard Mitigation Grant Program

FEMA will provide its decision to the Grantee in writing. If the decision is to grant the appeal,
the Regional Administrator will take the appropriate action.
Additional information regarding appeals can be found at 44 CFR Section 206.440.

Part IX. Additional Program Guidance: Hazard Mitigation Grant Program

B. Pre-Disaster Mitigation Program
Most of the information that an Applicant or subapplicant needs to apply for a PDM award or
that a Grantee or subgrantee needs to manage a PDM award is provided in Parts I through VIII,
and Part X. This section contains supplemental guidance specific to the PDM Program.

B.1

Allocation

FEMA will allocate funds for eligible projects to States and Territories consistent with
applicable, statutory base and/or maximum allocations in the authorizing and appropriation laws.
FEMA will administer the program as directed by Congress.

B.2

Small Impoverished Communities

Grants awarded to small impoverished communities may receive a Federal cost share of up to 90
percent of the total amount approved under the grant award to implement eligible approved
activities in accordance with the Stafford Act. A small impoverished community must:
 Be a community of 3,000 or fewer individuals identified by the State as a rural community
that is not a remote area within the corporate boundaries of a larger city;
 Be economically disadvantaged, with residents having an average per capita annual
income not exceeding 80 percent of the national per capita income, based on best available
data. For the most current information, go to http://www.bea.gov;
 Have a local unemployment rate that exceeds by 1 percentage point or more the most
recently reported, average yearly national unemployment rate. For the most current
information, go to http://www.bls.gov/eag/eag.us.htm; and

 Meet other criteria required by the Applicant in which the community is located.
Applicants must certify and provide documentation of the community status with the appropriate
subapplication to justify the 90 percent cost share. If documentation is not submitted with the
subapplication, FEMA will provide no more than the standard 75 percent of the total eligible
costs.

B.3

Information Dissemination

Under the PDM Program, subapplicants may include eligible information dissemination
activities in their project or planning subapplication. Eligible information dissemination
activities include public awareness and education (brochures, workshops, videos, etc.) that
directly relate to the eligible mitigation activity proposed in the subapplication. Information
dissemination activities are limited to a maximum of 10 percent of the total cost of a
subapplication.

Part IX. Additional Program Guidance: Pre-Disaster Mitigation Program

B.4

Applicant Ranking of Subapplications

Applicants must rank each subapplication included in their grant application in order of their
priority for funding. Each subapplication must be assigned a unique rank in eGrants. Applicants
must provide an explanation for the rank given to each subapplication and demonstrate how it is
consistent with their State or Tribal (Standard or Enhanced) Mitigation Plan.

B.5

Selection

FEMA will identify subapplications for further review based on Applicant rank. FEMA may
identify a subapplication for further review out of rank order based on considerations such as
program priorities, available funds, and policy factors.
FEMA will notify Applicants whose subapplications are identified for further review; however,
this notification and conducting FEMA-requested pre-award activities are not considered
notification or guarantee of a grant award.

Part IX. Additional Program Guidance: Pre-Disaster Mitigation Program

C. Flood Mitigation Assistance Program
Most of the information that an Applicant or subapplicant needs to apply for an FMA award or
that a Grantee or subgrantee needs to manage an FMA award is provided in Parts I through VII,
and Part IX. This section contains supplemental guidance specific to FMA.

C.1

Eligible Properties

Properties included in a project subapplication for FMA funding must be NFIP-insured at the
time of the application submittal. Flood insurance must be maintained through completion of the
mitigation activity and for the life of the structure.
Residential or non-residential properties currently insured with the NFIP are eligible to receive
FMA funds. In order to receive an increased Federal cost share, properties must meet one of the
definitions below (consistent with the legislative changes made in the Biggert-Waters Flood
Insurance Reform Act of 2012):
 A severe repetitive loss property is a structure that:
(a) Is covered under a contract for flood insurance made available under the NFIP; and
(b) Has incurred flood related damage –
(i) For which 4 or more separate claims payments have been made under flood
insurance coverage with the amount of each such claim exceeding $5,000, and
with the cumulative amount of such claims payments exceeding $20,000; or
(ii) For which at least 2 separate claims payments have been made under such
coverage, with the cumulative amount of such claims exceeding the market value
of the insured structure.
 A repetitive loss property is a structure covered by a contract for flood insurance made
available under the NFIP that:
(a) Has incurred flood-related damage on 2 occasions, in which the cost of the repair, on
the average, equaled or exceeded 25 percent of the market value of the structure at the
time of each such flood event; and
(b) At the time of the second incidence of flood-related damage, the contract for flood
insurance contains increased cost of compliance coverage.

C.2

Repetitive Loss Strategy

To be eligible for an increased Federal cost share, a FEMA-approved State or Tribal (Standard or
Enhanced) Mitigation Plan that addresses repetitive loss properties must be in effect at the time
of grant award and the property that is being submitted for consideration must be a repetitive loss
property. Guidance on addressing repetitive loss properties can be found in the State MultiHazard Mitigation Planning Guidance and in 44 CFR Section 201.4(c)(3)(v). The Repetitive
Part IX. Additional Program Guidance: Flood Mitigation Assistance Program

Loss Strategy must identify the specific actions the State has taken to reduce the number of
repetitive loss properties, which must include severe repetitive loss properties, and specify how
the State intends to reduce the number of such repetitive loss properties. In addition, the hazard
mitigation plan must describe the State’s strategy to ensure that local jurisdictions with severe
repetitive loss properties take actions to reduce the number of these properties, including the
development of local or Tribal mitigation plans. For information about the Repetitive Loss
Database, see Part VII, D.2.1.

C.3

Cost Sharing

Consistent with the legislative changes made in the Biggert-Waters Flood Insurance Reform Act
of 2012, cost-share availability under the FMA program depends on the type of properties
included in the grant. For example, severe repetitive loss properties may receive up to 100
percent Federal funding and repetitive loss properties may receive up to 90 percent.
 In the case of mitigation activities to severe repetitive loss structures:
 FEMA may contribute up to 100 percent Federal funding of all eligible costs, if the

activities are technically feasible and cost-effective; or

 The expected savings to the NFIF from expected avoided damages through acquisition

or relocation activities, if the activities will eliminate future payments from the NFIF
for severe repetitive loss structures through an acquisition or relocation activity.

 In the case of mitigation activities to repetitive loss structures, FEMA may contribute up to
90 percent Federal funding of all eligible costs.
 In the case of all other mitigation activities, FEMA may contribute up to 75 percent
Federal funding of all eligible costs.

Structures with varying cost-share requirements can be submitted in one application. Applicants
must provide documentation in the project application showing how the final cost share was
derived. The final cost share will be entered into the eGrants system and documentation showing
how the final cost share was derived must be attached to the application.

C.4

Applicant Ranking of Subapplications

Applicants must rank each subapplication included in their grant application in order of priority
for funding. Each subapplication must be assigned a unique rank in eGrants. Applicants must
provide an explanation for the rank given to each subapplication and demonstrate how it is
consistent with their State or Tribal (Standard or Enhanced) Mitigation Plan.

C.5

Selection

FEMA will identify subapplications for further review based on a number of criteria, including
but not limited to: savings to the NFIF, applicant rank, and property status (e.g., repetitive loss
Part IX. Additional Program Guidance: Flood Mitigation Assistance Program

property, severe repetitive loss property). FEMA also may identify a subapplication for further
review out of rank order based on considerations such as program priorities, available funds, and
other factors.
FEMA will notify Applicants whose subapplications are identified for further review; however,
this notification and conducting FEMA-requested pre-award activities are not considered
notification or guarantee of a grant award.

Part IX. Additional Program Guidance: Flood Mitigation Assistance Program

PART X. APPENDICES
A. Acronyms
ABFE

Advisory Base Flood Elevation

ADA

Americans with Disabilities Act

ADR

Alternative Dispute Resolution

ASCE

American Society of Civil Engineers

BCA

Benefit-Cost Analysis

BCR

Benefit-Cost Ratio

BFE

Base Flood Elevation

BIA

Bureau of Indian Affairs

BLM

Bureau of Land Management

CBRA

Coastal Barrier Resource Act

CBRS

Coastal Barrier Resource System

CDBG

Community Development Block Grant

CFDA

Catalog of Federal Domestic Assistance

CFR

Code of Federal Regulations

CRS

Community Rating System

DHS

Department of Homeland Security

DOB

Duplication of Benefits

DOI

Department of the Interior

DOP

Duplication of Programs

DOT

Department of Transportation

eGrants

Electronic Grants

EHP

Environmental Planning and Historic Preservation

Executive Order

EOC

Emergency Operations Center

EPA

U.S. Environmental Protection Agency

ESA

Endangered Species Act

FCO

Federal Coordinating Officer

FEMA

Federal Emergency Management Agency

FHWA

Federal Highway Administration

Part X. Appendix A: Acronyms

FIMA

Flood Insurance and Mitigation Administration

FIRM

Flood Insurance Rate Map

FIS

Flood Insurance Study

FMA

Flood Mitigation Assistance

Fiscal Year

GAR

Governor’s Authorized Representative

GIS

Geographic Information System

GSTF

Greatest Savings to the Fund

Hazus

Hazards United States

HMA

Hazard Mitigation Assistance

HMGP

Hazard Mitigation Grant Program

HUD

U.S. Department of Housing and Urban Development

HVAC

Heating, Ventilation, and Air Conditioning

IBC

International Building Code

ICC

Increased Cost of Compliance

IRS

Internal Revenue Service

ITP

Independent Third Party

NAP

Non-Insured Crop Disaster Assistance Program

NEMIS

National Emergency Management Information System

NEPA

National Environmental Policy Act

NFIA

National Flood Insurance Act

NFIF

National Flood Insurance Fund

NFIP

National Flood Insurance Program

NFPA

National Fire Protection Association

NHPA

National Historic Preservation Act

NOAA

National Oceanic and Atmospheric Administration

NPS

National Park Service

NRCS

Natural Resources Conservation Service

O&M

Operations and Maintenance

OMB

Office of Management and Budget

OPA

Otherwise Protected Area

PARS

Payment and Reporting System

Part X. Appendix A: Acronyms

PDM

Pre-Disaster Mitigation

PNP

Private Non-profit

POC

Point of Contact

POP

Period of Performance

SBA

Small Business Administration

SEI

Structural Engineering Institute

Standard Form

SFHA

Special Flood Hazard Area

SFM

Strategic Funds Management

SHMO

State Hazard Mitigation Officer

SOW

Scope of Work

SRIA

Sandy Recovery Improvement Act of 2013

Stafford Act

Robert T. Stafford Disaster Relief and Emergency Assistance Act

Technical Bulletin

URA

Uniform Relocation Assistance and Real Property Acquisition Act of 1970

USACE

U.S. Army Corps of Engineers

U.S.C.

United States Code

USDA

U.S. Department of Agriculture

USFA

U.S. Fire Administration

USFS

U.S. Forest Service

USFWS

U.S. Fish and Wildlife Service

USGS

U.S. Geological Survey

WUI

Wildland-Urban Interface Area

Part X. Appendix A: Acronyms

B. Glossary
Applicant: The entity, such as a State, Territory, or Indian Tribal government, applying to FEMA
for a grant that will be accountable for the use of the funds. Once grant funds are awarded, the
Applicant becomes the “Grantee.”
Base Flood: A flood having a 1 percent chance of being equaled or exceeded in any given year.
Base Flood Elevation (BFE): The elevation shown on the Flood Insurance Rate Map (FIRM)
for Zones AE, AH, A1–A30, AR, AR/A, AR/AE, AR/A1–A30, AR/AH, AR/AO, V1–V30, and
VE that indicates the water surface elevation resulting from a flood that has a 1 percent chance of
equaling or exceeding that level in any given year.
Benefit-Cost Analysis (BCA): A quantitative procedure that assesses the cost-effectiveness of a
hazard mitigation measure by taking a long-term view of avoided future damages as compared to
the cost of a project.
Benefit-Cost Ratio (BCR): A numerical expression of the cost-effectiveness of a project
calculated as the net present value of total project benefits divided by the net present value of
total project costs.
Biomass: Biological material derived from living, or recently living organisms.
Building: A structure with two or more outside rigid walls and a fully secured roof that is affixed
to a permanent site; a manufactured home or a mobile home without wheels, built on a chassis
and affixed to a permanent foundation, that is regulated under the community’s floodplain
management and building ordinances or laws. “Building” does not mean a gas or liquid storage
tank or a recreational vehicle, park trailer, or other similar vehicle.
Clean-site certification: A letter from the appropriate local, State, Indian Tribal, or Federal
entity determining that no further remedial action is required to protect human health or the
environment.
Coastal Barrier Resource System (CBRS): A geographic unit designated to serve as a
protective barrier against forces of wind and tidal action caused by coastal storms and serving as
habitat for aquatic species. Congress restricted Federal spending and assistance for
development-related activities within CBRS units to protect them from further development.
Federal flood insurance is unavailable in these areas. CBRS units are identified on FEMA
FIRMs.
Coastal High Hazard Area: An area of special flood hazard extending from offshore to the
inland limit of a primary frontal dune along an open coast and any other area subject to high
velocity wave action from storms or seismic sources.

Part X. Appendix B: Glossary

Combustible material: Any material that, in the form in which it is used and under the
conditions anticipated, will ignite and burn or will add appreciable heat to an ambient fire.
Community Rating System (CRS): A program developed by FEMA to provide incentives for
those communities in the NFIP that have gone beyond the minimum floodplain management
requirements to develop extra measures to provide protection from flooding.
Cost-effectiveness: Determined by a systematic quantitative method for comparing the costs of
alternative means of achieving the same stream of benefits for a given objective. The benefits in
the context of hazard mitigation are avoided future damages and losses. Cost-effectiveness is
determined by performing a BCA.
Cost share: The portion of the costs of a federally assisted project or program not borne by the
Federal Government.
Defensible space: An area that is either natural or manmade, where material capable of allowing
a fire to spread unchecked has been treated, cleared, or modified to slow the rate and intensity of
an advancing wildfire and to create an area for fire-suppression operations to occur.
Dwelling: A building designed for use as a residence for no more than four families or a singlefamily unit in a building under a condominium form of ownership.
Elevated Building: A building that has no basement and a lowest floor that is elevated to or
above the BFE by foundation walls, shear walls, posts, piers, pilings, or columns. Solid
perimeter foundations walls are not an acceptable means of elevating buildings in Zones V and
VE.
Environmental Benefits: Environmental benefits are direct or indirect contributions that
ecosystems make to the environment and human populations. For FEMA BCA, certain types of
environmental benefits may be realized when homes are removed and land is returned to open
space uses. Benefits may include flood hazard reduction; an increase in recreation and tourism;
enhanced aesthetic value; and improved erosion control, air quality, and water filtration.
Equipment: Tangible, nonexpendable, personal property having a useful life of more than 1 year
and an acquisition cost of $5,000 or more per unit. A Grantee may use its own definition of
equipment provided such definition would at least include all equipment defined above.
Federal Agency: Any department, independent establishment, Government corporation, or other
agency of the executive branch of the Federal Government, including the U.S. Postal Service, but
not the American National Red Cross.
Federal Cognizant Agency: The Federal agency responsible for reviewing, negotiating, and
approving cost allocation plans or indirect cost proposals developed on behalf of all Federal
agencies. The OMB publishes a list of Federal Cognizant Agencies.

Part X. Appendix B: Glossary

Firebreak: a strip of cleared land that provides a gap in vegetation or other combustible
material that is expected to slow or stop the progress of a wildfire.
Fire-proofing: Removal or treatment of fuels to reduce the danger of fires igniting or spreading.
(e.g., fire-proofing roadsides, campsites, structural timber).
Fire-resistant material: Material that has a property that prevents or retards the passage of
excessive heat, hot gases, or flames under conditions of use.
Fire retardant: A chemical applied to lumber or other wood products to slow combustion and
flame spread.
Fire Severity Zone: Three concentric zones around a building used to determine the most
effective design for defensible space.
Flammability: The relative ease with which fuels ignite and burn regardless of the quantity of
the fuels.
Flood Insurance Rate Map (FIRM): Official map of a community on which FEMA has
delineated both the special hazard areas and the risk premium zones applicable to the
community.
Floodplain: Any land area that FEMA has determined has at least a 1 percent chance in any
given year of being inundated by floodwaters from any source.
Floodplain Management: The operation of an overall program of corrective and preventive
measures for reducing flood damage, including but not limited to, emergency preparedness plans,
flood control works, and floodplain management regulations.
Floodway: The channel of a river or other watercourse and the adjacent land areas that must be
reserved in order to discharge the base flood without cumulatively increasing the water surface
elevation more than a designated height. Communities regulate development in these floodways
to ensure that there are no increases in upstream flood elevations.
Freeboard: Freeboard is a factor of safety usually expressed in feet above a flood level for
purposes of floodplain management. “Freeboard” tends to compensate for the many unknown
factors that could contribute to flood heights greater than the height calculated for a selected size
flood and floodway conditions, such as wave action, bridge openings, and the hydrological effect
of urbanization of the watershed.
Fuel break: A natural or manmade change in fuel characteristics that affects fire behavior so that
fires burning into them can be more readily controlled.
Fuel condition: Relative flammability of fuel as determined by fuel type and environmental
conditions.

Part X. Appendix B: Glossary

Governor’s Authorized Representative (GAR): The individual, designated by the Governor,
who serves as the grant administrator for all funds provided under HMGP; the person
empowered by the Governor to execute, on behalf of the State, all necessary documents for
disaster assistance.
Grant: An award of financial assistance for a specified purpose by the Federal government to an
eligible Grantee.
Grantee: The entity, such as a State, Territory, or Indian Tribal government to which a grant is
awarded and that is accountable for the use of the funds provided. The Grantee is the entire legal
entity even if only a particular component of the entity is designated in the grant award
document.
Green Open Space: Green open space is land that does not directly touch a natural body of
water, such as a river, lake, stream, creek, or coastal body of water.
Hazardous fuels reduction: An area strategically located in relation to predicted fire hazard and
occurrence where the vegetation has been permanently modified or replaced so that fires burning
into it can be more easily controlled (e.g., vegetation management activities).
Hazard mitigation planning: A process used by governments to identify risks, assess
vulnerabilities, and develop long-term strategies for protecting people and property from the
effects of future natural hazard events.
HMGP Lock-In Ceiling: The level of HMGP funding available to a Grantee for a particular
Presidential major disaster declaration.
Identified for Further Review: Subapplications identified for further review contain sufficient
information for a preliminary determination of cost-effectiveness and feasibility. In certain
instances, FEMA may work with Applicants to confirm cost-effectiveness and feasibility.
Identification for further review is not a notification of award.
Ignition-resistant construction: Construction standards based on use of fire-resistant materials,
non-combustible materials, and 1-hour fire-rated assemblies.
Increased Cost of Compliance: Coverage for expenses a property owner must incur, above and
beyond the cost to repair the physical damage the structure actually sustained from a flooding
event, to comply with mitigation requirements of State or local floodplain management
ordinances or laws; acceptable mitigation measures are structure elevation, dry floodproofing,
structure relocation, structure demolition, or any combination thereof.

Part X. Appendix B: Glossary

Indian Tribal Government: A federally recognized governing body of an Indian or Alaska
Native Tribe, band, nation, pueblo, village, or community that the Secretary of the Interior
acknowledges to exist as an Indian Tribe under the Federally Recognized Tribe List Act of 1994,
25 U.S.C. 479a. This does not include Alaska Native corporations, the ownership of which is
vested in private individuals.
Indirect cost: Cost that is incurred by a Grantee for a common or joint purpose benefitting more
than one cost objective that is not readily assignable to the cost objectives specifically benefited.
Indirect cost rate: Percentage established by a Federal department or agency for a Grantee to
use in computing the dollar amount it charges to the grant to reimburse itself for indirect costs
incurred in doing the work of the grant activity.
Management costs: Any indirect costs, administrative expenses, and any other expenses not
directly chargeable to a specific project that are reasonably incurred by a Grantee or subgrantee
in administering and managing a grant or subgrant award. For HMGP, management cost funding
is provided outside of Federal assistance limits defined at 44 CFR Section 206.432(b).
Manufactured (Mobile) home: A structure, transportable in one or more sections that is built on
a permanent chassis and designed for use with or without a permanent foundation when attached
to the required utilities.
Mitigation: Any sustained action taken to reduce or eliminate long-term risk to life and property
from a hazard event.
Mitigation activity: A mitigation measure, project, plan, or action proposed to reduce risk of
future damage, hardship, loss, or suffering from disasters. The term “measure” is used
interchangeably with the term “project” in this program.
National Flood Insurance Program (NFIP): Provides the availability of flood insurance in
exchange for the adoption of a minimum local floodplain management ordinance that regulates
new and Substantially Improved development in identified flood hazard areas.
Non-combustible material: Material of which no part will ignite and burn when subjected to
fire, such as any material conforming to ASTM E 136.
Nonflammable: Material unlikely to burn when exposed to flame under most conditions.
Non-Federal funds: Financial resources provided by sources other than the Federal
Government. The term does not included funds provided to a State or local government through
a Federal grant unless the authorizing statute for that grant explicitly allows the funds to be used
as cost share for other Federal grants.

Part X. Appendix B: Glossary

Non-Residential structure: Includes, but is not limited to small business concerns, places of
worship, schools, farm buildings (including grain bins and silos), pool houses, clubhouses,
recreational buildings, mercantile structures, agricultural and industrial structures, warehouses,
hotels and motels with normal room rentals for less than 6 months’ duration, and nursing homes.
Office of Environmental Planning and Historic Preservation: Integrates the protection and
enhancement of environmental, historic, and cultural resources into the FEMA mission and
FEMA programs and activities; ensures that FEMA activities and programs related to disaster
response and recovery, hazard mitigation, and emergency preparedness comply with Federal
environmental and historic preservation (EHP) laws and Executive orders; and provides EHP
technical assistance to FEMA staff, local, State, and Federal partners, and Grantees and
subgrantees.
Otherwise Protected Areas (OPAs): Designation created by the Coastal Barrier Improvement
Act. Flood insurance is restricted in OPAs even though they are not in the CBRS and may
receive other forms of Federal assistance. OPAs are identified on FEMA FIRMs.
Period of Performance (POP): The period of time during which the Grantee is expected to
complete the grant activities and to incur and expend approved funds.
Pile burning: Piling removed vegetation into manageable piles and burning the individual piles
during safe and approved burning conditions.
Post-FIRM Building: A building for which construction or Substantial Improvement occurred
after December 31, 1974, or on or after the effective date of an initial FIRM, whichever is later.
Practicable: An action that is capable of being done within existing constraints. The test of
what is practicable depends upon the situation and includes consideration of all pertinent factors,
such as environment, cost, and technology.
Pre-FIRM Building: A building for which construction or Substantial Improvement occurred on
or before December 31, 1974, or before the effective date of an initial FIRM.
Prescribed burning: The deliberate and managed use of fire ignited by management actions to
meet specific fuels management objectives.
Presidential Major Disaster: Any natural catastrophe (including any hurricane, tornado, storm,
high water, wind-driven water, tidal wave, tsunami, earthquake, volcanic eruption, landslide,
mudslide, snowstorm, or drought) or, regardless of cause, any fire, flood, or explosion, in any
part of the United States, which in the determination of the President causes damage of sufficient
severity and magnitude to warrant major disaster assistance under the Stafford Act to supplement
the efforts and available resources of States, local governments, and disaster relief organizations
in alleviating the damage, loss, hardship, or suffering caused thereby.

Part X. Appendix B: Glossary

100

Private non-profit (PNP): Any non-governmental agency or entity that currently has: (i) an
effective ruling letter from the Internal Revenue Service granting tax exemption under section
501(c), (d), or (e) of the Internal Revenue Code of 1954; or (ii) satisfactory evidence from the
State that the organization or entity is a non-profit one organized or doing business under State
law.
Project: Any mitigation measure or action proposed to reduce risk of future damage, hardship,
loss, or suffering from disasters.
Public Assistance: Supplementary Federal assistance provided under the Stafford Act to State
and local governments or certain PNP organizations other than assistance for the direct benefit of
individuals and families. For further information, see 44 CFR Part 206, Subparts G and H. Fire
Management Assistance Grants under section 420 of the Stafford Act are also considered Public
Assistance.
Replacement cost value: The cost to replace property with materials of like kind and quality,
without any deduction for depreciation.
Riparian Area: The land that directly abuts a natural body of water, such as a river, lake, stream,
creek, or coastal body of water.
Slash: The accumulation of vegetative materials such as tops, limbs, branches, brush, and
miscellaneous residue results from forest management activities such as thinning, pruning,
timber harvesting, and wildfire hazard mitigation.
Special Flood Hazard Area (SFHA): The land in the floodplain within a community subject to
a 1 percent or greater chance of flooding in any given year. An area having special flood,
mudflow, or flood-related erosion hazards, and shown on a Flood Hazard Boundary Map or a
FIRM as Zone A, AO, A1–A30, AE, A99, AH, AR, AR/A, AR/AE, AR/AH, AR/AO, AR/A1–
A30, V1–V30, VE, or V.
State Hazard Mitigation Officer (SHMO): The representative of a State government who is
the primary point of contact with FEMA, other Federal agencies, and local units of government
in the planning and implementation of pre- and post-disaster mitigation activities.
Structural fire protection: The protection of homes or other buildings from wildland fire.
Subapplicant: The entity, such as a community/local government, Tribal government, or PNP,
that submits a subapplication for FEMA assistance to the Applicant. Once funding is awarded,
the subapplicant becomes the “subgrantee.”
Subgrant: An award of financial assistance under a grant by a Grantee to an eligible subgrantee.
Subgrantee: The entity, such as a community/local government, Tribal government, or PNP to
which a subgrant is awarded and who is accountable to the Grantee for the use of the funds
provided.
Part X. Appendix B: Glossary

101

Substantial Damage: Damage of any origin sustained by a building whereby the cost of
restoring the building to its before-damaged condition would equal or exceed 50 percent of the
market value of the building before the damage occurred.
Wildfire: An uncontrolled fire spreading through vegetative fuels, exposing and possibly
consuming structures.
Wildland-Urban Interface Area: That geographical area where structures and other human
development meet or intermingle with wildland or vegetative fuels.
All terms not listed above are used consistent with the term definitions used in 44 CFR unless
otherwise specified.

Part X. Appendix B: Glossary

102

C. Additional Resources
Description

Web Link or Contact Information

1. NFIP Resources
National Flood Insurance Program

http://www.floodsmart.gov

Floodplain Management

http://www.fema.gov/national-flood-insurance-program

Map Service Center

http://msc.fema.gov
Telephone: (877) FEMA-MAP (336-2627)

FIRMs

http://www.fema.gov/national-flood-insurance-program-1/floodinsurance-rate-map-firm

ABFEs

Mississippi: http://www.fema.gov/news-release/abfes-are-bestresources-mississippians-rebuilding-now
Louisiana: http://www.fema.gov/news-release/2006/02/06/postkatrina-policy-building-elevations

Flood Insurance Studies

http://www.fema.gov/national-flood-insurance-program-2/floodinsurance-study-fis

FEMA Form AW-501

http://www.fema.gov/national-flood-insurance-program1/mitigated-properties-updates

2. Mitigation Planning and Risk Assessment Resources
Hazard Mitigation Planning Overview

http://www.fema.gov/hazard-mitigation-planning-overview

Local Mitigation Planning Handbook
(FR302-094-1)

http://www.fema.gov/library/viewRecord.do?id=7209

Local Mitigation Plan Review Guide

http://www.fema.gov/library/viewRecord.do?fromSearch=fromse
arch&id=4859

Mitigation Planning Guidance

http://www.fema.gov/mitigation-planning-laws-regulationsguidance

Mitigation Planning Policies

http://www.fema.gov/mitigation-planning-laws-regulationsguidance

Mitigation Ideas: A Resource for Reducing
Risk to Natural Hazards

http://www.fema.gov/library/viewRecord.do?id=6938

Integrating Hazard Mitigation Into Local
Planning: Case Studies and Tools for
Community Officials

http://www.fema.gov/library/viewRecord.do?id=7130

Mitigation Planning How-To Guides (FEMA)

http://www.fema.gov/hazard-mitigation-planning-resources

Hazard Mitigation Planning Risk Assessment

http://www.fema.gov/hazard-mitigation-planning-riskassessment

IS-318: Mitigation Planning for Local and
Tribal Communities

http://training.fema.gov/EMIWeb/IS/courseOverview.aspx?code
=is-318

IS-328: Plan Review for Local Mitigation
Plans

http://training.fema.gov/EMIWeb/IS/courseOverview.aspx?code
=IS-328

Hazus

http://www.fema.gov/hazus

USGS National Map

http://nationalmap.gov/

USGS Natural Hazards Gateway

http://www.usgs.gov/natural_hazards/

Part X. Appendix C: Additional Resources

103

Description

Web Link or Contact Information

3. Benefit-Cost Analysis Resources
BCA Software and Helpline

Telephone: (866) 222-3580
Email: [email protected]

BCA Overview

http://www.fema.gov/benefit-cost-analysis

BCA Policies

http://www.fema.gov/benefit-cost-analysis

4. Feasibility and Effectiveness Resources
Engineering Helpline

Telephone: (866) 222-3580
Email: [email protected]

Engineering Case Studies

http://www.fema.gov/grant-applicant-resources

Property Acquisition Projects

http://www.fema.gov/library/viewRecord.do?id=1861

Structure Elevation Projects

http://www.fema.gov/library/viewRecord.do?id=1862

Minor Localized Flood Reduction Projects

http://www.fema.gov/library/viewRecord.do?id=1863

Non-Structural Seismic Retrofit

http://www.fema.gov/library/viewRecord.do?id=1865

Structural Seismic Retrofit

http://www.fema.gov/library/viewRecord.do?id=1866

Wind Shutters

http://www.fema.gov/library/viewRecord.do?id=1864

5. EHP Resources
EHP Program

http://www.fema.gov/environmental-planning-and-historicpreservation-program

EHP Helpline

Telephone: (866) 222-3580
Email: [email protected]

EHP Guidance

http://www.fema.gov/environmental-planning-and-historicpreservation-program/environmental-historic-preservation-1

EHP eLearning Tool

http://www.fema.gov/environmental-planning-and-historicpreservation-program/elearning-tool-fema-grant-applicants-45

EHP Policies

http://www.fema.gov/hazard-mitigation-assistance-policy

EHP Training

http://training.fema.gov/EMIWeb/IS/IS253a.asp

National Register of Historic Places

http://www.nps.gov/history/nr/

6. eGrants and NEMIS (HMGP) Resources
FEMA Enterprise Service Desk – for HMGP
(NEMIS-MT) issues

Telephone: (888) HLP-FEMA (1-888-457-3362)
Email: [email protected]

FEMA Enterprise Service Desk – eGrants
issues

Telephone: (877) 611-4700

eGrants Resources Web site

http://www.fema.gov/mitigation-egrants-system

eGrants Applicant Quick Reference Guide

http://www.fema.gov/library/viewRecord.do?id=3266

eGrants Subapplicant Quick Reference Guide

http://www.fema.gov/library/viewRecord.do?id=3267

eGrants System for Grant Applicants online
course (IS-31)

http://training.fema.gov/EMIWeb/IS/is31a.asp

eGrants System for Subgrant Applicants
online course (IS-30)

http://training.fema.gov/EMIWeb/IS/is30a.asp

Part X. Appendix C: Additional Resources

104

Description

Web Link or Contact Information

eGrants Internal System online course (IS-32)

http://training.fema.gov/EMIWeb/IS/courseOverview.aspx?code
=is-32

MT eGrants Internal Quick Reference Guide

http://www.fema.gov/library/viewRecord.do?fromSearch=fromse
arch&id=5885

NEMIS-MT Frequently Asked Questions:

http://www.fema.gov/hazard-mitigation-grant-program/nationalemergency-management-information-system-mitigation-module
http://www.fema.gov/library/viewRecord.do?id=4913

NEMIS-MT User Manual

http://www.fema.gov/library/viewRecord.do?id=4909

7. HMA Application and Award Resources
HMA Overview

http://www.fema.gov/hazard-mitigation-assistance

HMA Helpline

Telephone: (866) 222-3580
Email: [email protected]

HMA Policies

http://www.fema.gov/hazard-mitigation-assistance-policy

8. Acquisition Project Resources
Model Deed Restriction

http://www.fema.gov/library/viewRecord.do?id=6327

Model Acknowledgement of Conditions for
Mitigation in Special Flood Hazard Area

http://www.fema.gov/library/viewRecord.do?id=3592

Model Statement of Assurances

http://www.fema.gov/library/viewRecord.do?id=6365

Notice of Voluntary Interest

http://www.fema.gov/library/viewRecord.do?id=3595
http://www.fema.gov/library/viewRecord.do?id=3596

Statement of Voluntary Participation

http://www.fema.gov/library/viewRecord.do?id=3333

9. Mitigation Reconstruction References














ASCE/SEI 24-05, Flood Resistant Design and Construction, January 2006
ASCE/SEI 7-05, Minimum Design Loads for Buildings and Other Structures, 2005
International Building Code (IBC), 2006 edition
International Code Council, Reducing Flood Losses Through the International Codes, 3rd Edition, 2008
FEMA P-55, Coastal Construction Manual, 4th Edition, August 2011
FEMA P-424, Design Guide for Improving School Safety in Earthquakes, Floods and High Winds, December
2010
FEMA 489, Mitigation Assessment Team Report: Hurricane Ivan in Alabama and Florida, August 2005
FEMA P-499, Home Builder’s Guide to Coastal Construction Technical Fact Sheet Series, December 2010
FEMA 543, Design Guide for Improving Critical Facility Safety from Flooding and High Winds, January 2007
FEMA 549, Mitigation Assessment Team Report: Hurricane Katrina in the Gulf Coast, July 2006
FEMA 550, Recommended Residential Construction for Coastal Areas: Building on Strong and Safe
Foundations, 2nd Edition, December 2009
FEMA 551, Selecting Appropriate Mitigation Measures for Floodprone Structures, March 2007
FEMA 577, Design Guide for Improving Hospital Safety in Earthquakes, Floods, and High Winds: Providing
Protection to People and Buildings, June 2007

Part X. Appendix C: Additional Resources

105

Description

Web Link or Contact Information

10. Structure Elevation References
 ASCE/SEI 24-05, Flood Resistant Design and Construction, January 2006
 FEMA P-55, Coastal Construction Manual, 4th Edition, August 2011
 FEMA P-259, Engineering Principles and Practices of Retrofitting Floodprone Residential Structures, 3rd
Edition, January 2012
 FEMA P-312, Homeowners Guide to Retrofitting, 2nd Edition, December 2009
 FEMA 347, Above the Flood: Elevating Your Flood Prone House, May 2000
 FEMA P-499, Home Builder’s Guide to Coastal Construction Technical Fact Sheet Series, December 2010
 FEMA Technical Bulletin TB-1, Openings in Foundation Walls and Walls of Enclosures, 2008
 FEMA Technical Bulletin TB-5, Free-of-Obstruction Requirements, 2008
 FEMA Technical Bulletin TB-9, Design and Construction Guidance for Breakaway Walls, 2008
 FEMA Form 81-31, NFIP Elevation Certificate, February 2013

Part X. Appendix C: Additional Resources

106

D. Referenced Regulations, Statutes, Directives, and Guidance
Reference

Description

Web Link

2 CFR Part 215, Uniform
Administrative Requirements
for Grants and Agreements
with Institutions of Higher
Education, Hospitals, and
Other Non-Profit
Organizations (OMB Circular
A-110)

This part contains Office of Management and Budget
(OMB) guidance to Federal agencies on the
administration of grants to and agreements with
institutions of higher education, hospitals, and other
non-profit organizations. The guidance sets forth
standards for obtaining consistency and uniformity in
the agencies’ administration of those grants and
agreements.

http://www.ecfr.gov/cgi-bin/textidx?c=ecfr&tpl=/ecfrbrowse/Title
02/2cfr215_main_02.tpl

2 CFR Part 220, Cost
Principles For Educational
Institutions (OMB Circular A21)

Establishes principles for determining costs
applicable to grants, contracts, and other
agreements with educational institutions.

http://www.whitehouse.gov/omb/
circulars_a021_2004

2 CFR Part 225, Cost
Principles for State, Local,
and Indian Tribal
Governments (OMB Circular
A-87)

Establishes principles and standards for determining
costs for Federal awards carried out through grants,
cost reimbursement contracts, and other agreements
with State and local governments and federally
recognized Indian Tribal governments.

http://ecfr.gpoaccess.gov/cgi/t/te
xt/textidx?c=ecfr&tpl=/ecfrbrowse/Title
02/2cfr225_main_02.tpl

2 CFR Part 230, Cost
Principles for Non-Profit
Organizations (OMB Circular
A-122)

Establishes principles for determining costs of
grants, contracts and other agreements with nonprofit organizations.

http://www.whitehouse.gov/omb/
circulars_a122_2004

26 CFR Section 1.170A-14,
Qualified Conservation
Contributions

Discusses deductions allowable for charitable
contributions of interests in properties.

http://www.ecfr.gov/cgibin/retrieveECFR?gp=13&SID=7
e3a7c14f52556f38d469032c58a
4507&ty=HTML&h=L&r=SECTI
ON&n=26y3.0.1.1.1.0.2.19

40 CFR Part 312, Innocent
Landowners, Standards for
Conducting All Appropriate
Inquiries

Provide standards and practices for “all appropriate
inquiries” for the purposes of the Comprehensive
Environmental Response, Compensation, and
Liability Act sections 101(35)(B)(i)(I) and
101(35)(B)(ii) and (iii).

http://www.ecfr.gov/cgi-bin/textidx?c=ecfr&tpl=/ecfrbrowse/Title
40/40cfr312_main_02.tpl

44 CFR Part 9, Floodplain
Management and Protection
of Wetlands

Sets forth policy, procedure, and responsibilities to
implement and enforce Executive Order (EO) 11988,
Floodplain Management, and EO 11990, Protection
of Wetlands.

http://www.gpo.gov/fdsys/pkg/C
FR-2008-title44-vol1/xml/CFR2008-title44-vol1-part9.xml

44 CFR Part 10,
Environmental
Considerations

FEMA procedures for implementing the National
Environmental Policy Act (NEPA). Provides policy
and procedures to enable FEMA officials to account
for environmental considerations when
authorizing/approving major actions that have a
significant impact on the environment.

http://www.gpo.gov/fdsys/pkg/C
FR-2008-title44-vol1/xml/CFR2008-title44-vol1-part10.xml

44 CFR Part 13, Uniform
Administrative Requirements
for Grants and Cooperative
Agreements to State and
Local Governments

Establishes uniform administrative rules for Federal
grants and cooperative agreements and subgrants to
State, local, and Indian Tribal governments.

http://www.gpo.gov/fdsys/pkg/C
FR-2008-title44-vol1/xml/CFR2008-title44-vol1-part13.xml

REGULATIONS

Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance

107

Reference

Description

Web Link

44 CFR Section 59.1,
General Provisions,
Definitions

Defines terms used in the Emergency Management
and Assistance Federal Regulations

http://www.gpo.gov/fdsys/pkg/C
FR-2008-title44-vol1/xml/CFR2008-title44-vol1-part59.xml

44 CFR Part 60, Criteria for
Land Management and Use

Contains regulations for sale of flood insurance;
criteria to determine the adequacy of a community’s
floodplain management regulations; and the
minimum standards for the adoption of floodplain
management regulations in flood-prone areas.

http://www.gpo.gov/fdsys/pkg/C
FR-2008-title44-vol1/xml/CFR2008-title44-vol1-part60.xml

44 CFR Sections 60.3(b)(5)
and (c)(4), Criteria for Land
Management and Use and
Floodplain Management
Criteria for Floodprone
Areas

Regulations regarding obtaining the elevation of
residential and non-residential structures.

http://www.gpo.gov/fdsys/pkg/C
FR-2008-title44-vol1/xml/CFR2008-title44-vol1part60.xml#seqnum60.3

44 CFR Part 79, Flood
Mitigation Grants

Prescribes actions, procedures, and requirements
for the administration the Flood Mitigation Assistance
grant programs.

http://www.gpo.gov/fdsys/pkg/C
FR-2008-title44-vol1/xml/CFR2008-title44-vol1-part79.xml

44 CFR Part 80, Property
Acquisition and Relocation
for Open Space

Provides actions, procedures, and requirements for
the administration of FEMA mitigation assistance for
projects to acquire property for open space purposes
under all Hazard Mitigation Assistance programs.

http://www.gpo.gov/fdsys/pkg/C
FR-2008-title44-vol1/xml/CFR2008-title44-vol1-part80.xml

44 CFR Part 201, Mitigation
Planning

Provides information on requirements and
procedures for mitigation planning as required by the
Stafford Act.

http://www.gpo.gov/fdsys/pkg/C
FR-2008-title44-vol1/xml/CFR2008-title44-vol1-part201.xml

44 CFR Part 206, Federal
Disaster Assistance for
Disasters Declared On or
After November 23, 1988

Prescribes policies and procedures for implementing
the sections of Public Law 93-288 (the Stafford Act)
that are delegated to the director of FEMA, including
the administration of the Hazard Mitigation Grant
Program (HMGP).

http://www.gpo.gov/fdsys/pkg/C
FR-2008-title44-vol1/xml/CFR2008-title44-vol1-part206.xml

44 CFR Part 207,
Management Costs

Implements section 324, Management Costs, of the
Stafford Act, providing actions, procedures, and
policies for HMGP management costs.

http://www.gpo.gov/fdsys/pkg/C
FR-2008-title44-vol1/xml/CFR2008-title44-vol1-part207.xml

49 CFR Part 24, Uniform
Relocation Assistance and
Real Property Acquisition for
Federal and Federally
Assisted Programs

Promulgates rules to ensure that owners of real
property displaced or acquired by Federal or
federally assisted programs are treated fairly,
consistently, and equitably, and that agencies who
implement these regulations do so efficiently and
cost effectively.

http://ecfr.gpoaccess.gov/cgi/t/te
xt/textidx?c=ecfr;rgn=div5;view=text;no
de=49%3A1.0.1.1.18;idno=49;si
d=4c3367f93b8162bf6daaf0a88f
e20a0e;cc=ecfr

49 CFR Part 29,
Governmentwide Debarment
and Suspension
(Nonprocurement)

This part adopts a government-wide system of
debarment and suspension for nonprocurement
activities.

http://www.ecfr.gov/cgi-bin/textidx?c=ecfr&tpl=/ecfrbrowse/Title
49/49cfr29_main_02.tpl

Federal Acquisition
Regulations (FAR) Subpart
31.2

The FAR codifies and publishes uniform policies and
procedures for acquisition by all executive agencies.
Subpart 31.2 refers to Contracts with Commercial
Organizations.

http://www.acquisition.gov/far/

Internal Revenue Code of
1954, as amended, Sections
170(h) (3) and (4)

Provides definitions for qualified conservation
organizations and conservation purpose, including
specific information regarding historic structure
certification.

http://www.law.cornell.edu/uscod
e/text/26/170

Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance

108

Reference

Description

Web Link

Internal Revenue Code of
1954, as amended, Sections
501(c), (d), and (e)

Provides criteria for tax-exempt organizations.

http://www.law.cornell.edu/uscod
e/text/26/501

National Flood Insurance
Program (NFIP) Technical
Bulletin 3-93, NonResidential Floodproofing –
Requirements and
Certification

Provides guidance on the NFIP regulations
concerning watertight construction and the required
certification for floodproofed non-residential buildings
in Zones A, AE, A1–A30, AR, AO, and AH whose
lowest floors are below the Base Flood Elevation.

http://www.fema.gov/library/view
Record.do?id=1716

Immigration and Nationality
Act

Provides a definition for the term “national of the
United States.”

http://www.uscis.gov/portal/site/u
scis/menuitem.eb1d4c2a3e5b9a
c89243c6a7543f6d1a/?vgnextoi
d=f3829c7755cb9010VgnVCM1
0000045f3d6a1RCRD&vgnextch
annel=f3829c7755cb9010VgnV
CM10000045f3d6a1RCRD

Appalachian Regional
Commission Funds, 40
U.S.C. 14321(a)(3), Grants
and other assistance

Provides information on the authority of the
Appalachian Regional Commission to make grants
for administrative expenses and lists what those
expenses may and may not include. Also provides
information on what the local development district’s
contributions should be.

http://www.arc.gov/about/USCod
eTitle40SubtitleIV.asp#14321

Bunning-BereuterBlumenauer Flood Insurance
Reform Act of 2004 (Public
Law 108-264), Part 102

A bill to amend the National Flood Insurance Act of
1968 to reduce losses to properties for which
repetitive flood insurance claim payments have been
made.

http://www.gpo.gov/fdsys/pkg/PL
AW-108publ264/pdf/PLAW108publ264.pdf

Biggert-Waters Flood
Insurance Reform Act. P.L.
112-141 July 6, 2012

Flood Insurance Reform and Modernization Act that
proposed changes to Mitigation Assistance Grants
related to Flood Mitigation.

http://www.gpo.gov/fdsys/pkg/PL
AW-112publ141/pdf/PLAW112publ141.pdf

Civil Rights Act of 1964, 42
U.S.C. 2000d et seq., Title
VI of the Civil Rights Act

Prohibits discrimination on the basis of race, color,
and national origin in programs and activities
receiving Federal financial assistance.

http://www.justice.gov/crt/about/
cor/coord/titlevi.php

Coastal Barrier Resources
Act (Public Law 97-348; 16
U.S.C. 3501 et seq.)

Designated various undeveloped coastal barrier
islands, depicted by specific maps, for inclusion in
the Coastal Barrier Resource System. Areas so
designated were made ineligible for direct or indirect
Federal financial assistance that might support
development, including flood insurance, except for
emergency life-saving activities.

http://uscode.house.gov/downlo
ad/pls/16c55.txt

Endangered Species Act
(Public Law 93-205; 16
U.S.C. 1531–1544)

Prohibits Federal agencies from funding actions that
would jeopardize the continued existence of
endangered or threatened species or adversely
modify critical habitat.

http://epw.senate.gov/esa73.pdf

Federal Crop Insurance Act,
as amended, 7 U.S.C. 1501
et seq.

Promotes the national welfare by improving the
economic stability of agriculture through a sound
system of crop insurance.

http://www.agriculturelaw.com/lin
ks/cropins/statute.htm

STATUTES

Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance

109

Description

Web Link

National Environmental
Policy Act (NEPA) (Public
Law 91–190; 42 U.S.C. 4321
and 4331–4335)

Declares a national policy that encourages
productive and enjoyable harmony between man
and his environment; promotes efforts that will
prevent or eliminate damage to the environment and
biosphere and stimulate the health and welfare of
man; enriches the understanding of the ecological
systems and natural resources important to the
Nation; and establishes a Council on Environmental
Quality.

http://www.nps.gov/history/locallaw/FHPL_NtlEnvirnPolcy.pdf

National Flood Insurance Act
of 1968, as amended, 42
U.S.C. 4001 et seq.

The National Flood Insurance Act of 1968 created
the Federal Insurance Administration and made
flood insurance available for the first time. The
Flood Disaster Protection Act of 1973 made the
purchase of flood insurance mandatory for the
protection of property located in the Special Flood
Hazard Area.

http://www.fema.gov/library/view
Record.do?id=2216

National Flood Insurance
Reform Act of 1994 (Public
Law 103-325)

Amended the Flood Disaster Protection Act of 1973,
providing tools to make the NFIP more effective in
achieving its goals of reducing the risk of flood
damage to properties and reducing Federal
expenditures for uninsured properties that are
damaged by floods.

http://www.fema.gov/library/view
Record.do?id=2217

National Historic
Preservation Act (Public Law
89-665; 16 U.S.C. 470 et
seq.)

Establishes a program for the preservation of historic
and prehistoric resources deemed important to our
understanding of prehistory and U.S. history and
created the National Register of Historic Places.

http://www.achp.gov/docs/nhpa
%202008-final.pdf

National Register of Historic
Places

The official list of the Nation’s historic places worthy
of preservation. It is part of a national program to
support public and private efforts to identify,
evaluate, and protect our historic and archeological
resources.

http://www.nps.gov/history/nr/

Non-Insured Crop Disaster
Assistance Program, 7
U.S.C. 7333

Provides financial assistance to producers of noninsurable crops when low yields, loss of inventory, or
prevented planting occur due to natural disasters.

http://www.fsa.usda.gov/FSA/ne
wsReleases?area=newsroom&s
ubject=landing&topic=pfs&newst
ype=prfactsheet&type=detail&ite
m=pf_20110830_distr_en_nap.h
tml

Privacy Act of 1974 (5
U.S.C. 552a)

Regulates the collection, maintenance, use, and
dissemination of personal information by Federal
executive branch agencies.

http://www.justice.gov/opcl/privst
at.htm

Public Health and Welfare,
42 U.S.C. 5133, PreDisaster Hazard Mitigation

Authorizes the Pre-Disaster Mitigation program.

http://www.law.cornell.edu/uscod
e/uscode42/usc_sec_42_00005
133----000-.html

Public Health and Welfare,
42 U.S.C. 5154 (a),
Insurance

Contains information on compliance with certain
regulations and maintaining insurance in regard to
Applicants and subapplicants requesting assistance
to repair, restore, or replace damaged facilities under
this code.

http://www.law.cornell.edu/uscod
e/uscode42/usc_sec_42_00005
154----000-.html

Refugee Education
Assistance Act of 1980,
(Public Law 96-422) Part
501(e)

Allows the President to exercise authorities over
Cuban and Haitian immigrants identical to the
authorities exercised in the Immigration and
Nationality Act, 8 U.S.C. 1158.

http://www.ssa.gov/OP_Home/c
omp2/F096-422.html

Reference

Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance

110

Reference

Description

Web Link

Robert T. Stafford Disaster
Relief and Emergency
Assistance Act, 42 U.S.C.
5121 et seq.

Constitutes the statutory authority for most Federal
disaster response activities, especially as they
pertain to FEMA and FEMA programs.

http://www.fema.gov/pdf/about/st
afford_act.pdf

Secure Rural Schools and
Community SelfDetermination Act of 2000,
16 U.S.C. 500

Contains information regarding payment and
evaluation of receipts to State or Territory for schools
and roads, moneys received, projections of
revenues, and estimated payments.

http://www.govtrack.us/data/us/b
ills.text/106/h/h2389.pdf

Uniform Relocation
Assistance and Real
Property Acquisition Act of
1970 (Public Law 91-646)

Ensures that people whose real property is acquired,
or who move as a result of projects receiving Federal
funds, will be treated fairly and equitably and will
receive assistance in moving from the property they
occupy.

http://uscode.house.gov/downlo
ad/pls/42c61.txt

EO 11988, Floodplain
Management

Requires Federal agencies to avoid, to the extent
possible, the long- and short-term adverse impacts
associated with the occupancy and modification of
floodplains and to avoid direct and indirect support of
floodplain development wherever there is a
practicable alternative.

http://www.fema.gov/plan/ehp/eh
plaws/eo11988.shtm

EO 11990, Protection of
Wetlands

Requires Federal agencies, in planning their actions,
to consider alternatives to wetland sites and limit
potential damage if an activity affecting a wetland
cannot be avoided.

http://www.fema.gov/environmen
tal-planning-and-historicpreservation-program/executiveorder-11990-protection-wetlands

EO 12898, Environmental
Justice for Low-Income and
Minority Populations

Directs Federal agencies “to make achieving
environmental justice part of its mission by
identifying and addressing, as appropriate,
disproportionately high and adverse human health or
environmental effects of its programs, policies, and
activities on minority and low-income populations in
the United States.”

http://www.fema.gov/environmen
tal-planning-and-historicpreservation-program/executiveorder-12898-environmentaljustice

EO 12372, July 14, 1982,
Intergovernmental Review of
Federal Programs

Fosters an intergovernmental partnership and
strengthens federalism by relying on State and local
processes for State and local coordination and
review of proposed Federal financial assistance.

http://www.archives.gov/federalregister/codification/executiveorder/12372.html

EO 12416, April 8, 1983,
Intergovernmental Review of
Federal Programs

Amends Section 8 of EO 12372 regarding the
content of the Director of the Office of Management
and Budget’s report and to whom the report is
submitted.

http://www.archives.gov/federalregister/codification/executiveorder/12372.html

EO 12699, January 5, 1990,
Seismic Safety of Federal
and Federally assisted or
Regulated New Building
Construction

Requires that each Federal agency responsible for
the design and construction of each new Federal
building shall ensure that the building is designed
and constructed in accord with appropriate seismic
design and construction standards.

http://www.wbdg.org/ccb/FED/F
MEO/eo12699.pdf

Provides a best practices approach in reducing
damages from natural hazards to assist in protecting
manufactured homes from floods and other hazards.

http://www.fema.gov/library/view
Record.do?id=1577

DIRECTIVES

GUIDANCE
FEMA P-85, Protecting
Manufactured Homes from
Floods and Other Hazards
(2nd Edition, November
2009)

Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance

111

Reference

Description

Web Link

FEMA 317, Property
Acquisition Handbook for
Local Communities (October
1998)

A “how to” guide to help communities work through
one specific hazard mitigation alternative known as
property acquisition (also referred to as “buyout”).

http://www.fema.gov/library/view
Record.do?id=1654

FEMA P-320, Taking Shelter
from the Storm: Building a
Safe Room for Your Home
or Small Business (3rd
Edition, August 2008)

Guide to help homeowners decide if they should
build a shelter in their house; provides various
shelter designs that can be given to a
contractor/builder.

http://www.fema.gov/plan/preven
t/saferoom/fema320.shtm

FEMA P-361, Design and
Construction Guidance for
Community Safe Rooms
(2nd Edition, August 2008)

A guidance manual for engineers, architects,
building officials, and prospective shelter owners that
presents important information about the design and
construction of residential and community safe
rooms that protect people during tornado and
hurricane events.

http://www.fema.gov/library/view
Record.do?fromSearch=fromsea
rch&id=1657

FEMA P-424, Design Guide
for Improving School Safety
in Earthquakes, Floods, and
High Winds (December
2010)

This manual is intended to provide guidance for the
protection of school buildings from natural disasters.
This volume concentrates on grade schools, K-12.
FEMA P-424 covers earthquakes, floods, and high
winds. Its intended audience is design professionals
and school officials involved in the technical and
financial decisions of school construction, repair, and
renovations.

http://www.fema.gov/library/view
Record.do?id=1986

FEMA 489, Mitigation
Assessment Team Report:
Hurricane Ivan in Alabama
and Florida (August 2005)

Summarizes the observations, conclusions, and
recommendations that resulted from post-disaster
assessments sponsored by FEMA in response to
Florida’s 2004 hurricane season.

http://www.fema.gov/library/view
Record.do?id=1569

FEMA P-499, Home
Builder’s Guide to Coastal
Construction Technical Fact
Sheet Series (December
2010)

Presents information aimed at improving the
performance of buildings subject to flood and wind
forces in coastal environments.

http://www.fema.gov/technologytransfer/home-builders-guidecoastal-construction-technicalfact-sheet-series-fema-p-499

FEMA 543, Design Guide for
Improving Critical Facility
Safety from Flooding and
High Winds: Providing
Protection for People and
Buildings (January 2007)

Provides building professionals and decision-makers
with information and guidelines for implementing a
variety of mitigation measures to reduce the
vulnerability to damage and disruption of operations
during severe flooding and high-wind events. It
concentrates on critical facilities (hospitals, schools,
fire and police stations, and emergency operation
centers).

http://www.fema.gov/library/view
Record.do?id=2441

FEMA 549, Mitigation
Assessment Team Report:
Hurricane Katrina in the Gulf
Coast (July 2006)

Evaluates and assesses damage from the hurricane
and provides observations, conclusions, and
recommendations on the performance of buildings
and other structures impacted by wind and flood
forces.

http://www.fema.gov/library/view
Record.do?id=1857

FEMA P-55, Coastal
Construction Manual, (4th
Edition, August 2011)

Provides a comprehensive approach to sensible
development in coastal areas based on guidance
from over 200 experts in building science, coastal
hazard mitigation, and building codes and regulatory
requirements.

http://www.fema.gov/library/view
Record.do?id=1671

Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance

112

Reference

Description

Web Link

FEMA P-550,
Recommended Residential
Construction for Coastal
Areas: Building on Strong
and Safe Foundations (2nd
Edition, December 2009)

Provides recommended designs and guidance for
rebuilding homes destroyed by hurricanes in the Gulf
Coast. The manual also provides guidance in
designing and building less vulnerable new homes
that reduce the risk to life and property.

http://www.fema.gov/library/view
Record.do?id=1853

FEMA 551, Selecting
Appropriate Mitigation
Measures for Floodprone
Structures (March 2007)

This manual is intended to provide guidance to
community officials for developing mitigation projects
that reduce or eliminate identified risks for
floodprone structures.

http://www.fema.gov/library/view
Record.do?id=2737

FEMA 577, Design Guide for
Improving Hospital Safety in
Earthquakes, Floods, and
High Winds: Providing
Protection to People and
Buildings (June 2007)

The intent of the Design Guide is to provide its
audience with state-of-the-art knowledge on the
variety of vulnerabilities faced by hospitals exposed
to earthquakes, flooding, and high-winds risks, as
well as the best ways to mitigate the risk of damage
and disruption of hospital operations caused by
these events.

http://www.fema.gov/library/view
Record.do?id=2739

FEMA P-804, Wind Retrofit
Guide for Residential
Buildings (December 2010)

The purpose of this Guide is to provide guidance on
how to improve the wind resistance of existing
residential buildings. The content of this document
should serve as guidance on retrofitting existing
buildings for improved performance during high-wind
events in all coastal regions.

http://www.fema.gov/library/view
Record.do?id=4569

Mitigation Planning
Guidance

This guidance provides information on preparing and
updating mitigation plans in compliance with the
mitigation planning regulations found at 44 CFR Part
201.

http://www.fema.gov/mitigationplanning-laws-regulationsguidance

Mitigation Planning How-To
Guides (FEMA)

The guides focus on initiating and maintaining a
planning process that will result in safer communities
and are applicable to jurisdictions of all sizes and all
resource and capability levels.

http://www.fema.gov/hazardmitigation-planning-resources

Uniform Standards of
Professional Appraisal
Practice (2012–2013)

The generally accepted standards for professional
appraisal practice in North America. Standards are
included for real estate, personal property, business,
and mass appraisal.

http://www.USPAP.org

Hazard Mitigation
Assistance Tool for
Identifying Duplication of
Benefits (January 2013)

This guide provides instruction on what constitutes
Duplication of Benefits in the use of Hazard
Mitigation Assistance funds for property mitigation. It
gives direction regarding verification processes and
actions that can be taken to ensure that Duplication
of Benefits does not occur.

http://www.fema.gov/library/view
Record.do?fromSearch=fromsea
rch&id=6815

Guides FEMA interactions with American Indian and
Alaska Native Tribal governments.

http://www.gpo.gov/fdsys/pkg/F
R-1999-01-12/html/99-642.htm

OTHER RESOURCES
Government-to-Government
Relations with American
Indian and Alaska Native
Tribal Governments.
January 12, 1999 (Federal
Register vol. 64 no. 7)

Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance

113

Reference

Description

Web Link

OMB Circular A-94,
Guidelines and Discount
Rates for Benefit-Cost
Analysis of Federal
Programs (October 29,
1992)

Specifies certain discount rates that will be updated
annually when the interest rate and inflation
assumptions in the budget are changed.

http://www.whitehouse.gov/omb/
circulars/a094/a094.html

OMB Circular A-133, Audits
of States, Local
Governments, and NonProfit Organizations (revised
June 27, 2003 and June 26,
2007)

Sets forth standards for obtaining consistency and
uniformity among Federal agencies for the audit of
States, local governments, and non-profit
organizations expending Federal awards.

http://www.whitehouse.gov/sites/
default/files/omb/assets/a133/a1
33_revised_2007.pdf

ASCE/SEI 24-05, Flood
Resistant Design and
Construction (2006)

Provides minimum requirements for flood-resistant
design and construction of structures located in flood
hazard areas.

https://secure.asce.org/files/esto
re/5419/40818_40818.pdf

ASCE/SEI 7-05, Minimum
Design Loads for Buildings
and Other Structures (2005)

Provides requirements for general structural design
and includes means for determining dead, live, soil,
flood, wind, snow, rain, atmospheric ice, and
earthquake loads, and their combinations that are
suitable for inclusion in building codes and other
documents.

https://secure.asce.org/files/esto
re/896/40809_40809.pdf

ASTM International
Standard E1527-05,
Standard Practice for
Environmental Site
Assessments: Phase I
Environmental Site
Assessment Process (2005)

Defines good commercial and customary practices
for conducting an environmental site assessment of
a parcel of commercial real estate.

http://www.astm.org/Standards/
E1527.htm

ASTM International
Standard E2247-08,
Standard Practice for
Environmental Site
Assessments: Phase I
Environmental Site
Assessment Process for
Forestland or Rural Property
(2008)

This practice is intended for use on a voluntary basis
by parties who wish to assess the environmental
condition of forestland or rural property of 120
acres or greater taking into account commonly
known and reasonably ascertainable information.

http://www.astm.org/Standards/
E2247.htm

International Building Code
(International Code Council)

The scope of this code covers all buildings except
three-story, and one- and two-family dwellings and
townhomes. This comprehensive code features
time-tested safety concepts, structural, and fire and
life-safety provisions covering means of egress,
interior finish requirements, comprehensive roof
provisions, seismic engineering provisions,
innovative construction technology, occupancy
classifications, and the latest industry standards in
material design.

http://publicecodes.cyberregs.co
m/icod/ibc/index.htm

International Code Council,
International Wildland-Urban
Interface Code (2012)

Contains provisions addressing fire spread,
accessibility, defensible space, water supply, and
more for buildings constructed near wildland areas.

http://publicecodes.cyberregs.co
m/icod/iwuic/2012/index.htm

Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance

114

Reference

Description

Web Link

International Code Council,
Reducing Flood Losses
through the International
Codes (3rd Edition, 2008)

This guide is intended to help community officials
decide how to integrate the 2006 edition of the
International Codes (I-Codes) into their current
floodplain development and regulatory processes in
order to meet the requirements to participate in the
NFIP.

http://www.fema.gov/library/view
Record.do?id=2094

International Residential
Code for One- and TwoFamily Dwellings
(International Code Council)

A comprehensive code for homebuilding that brings
together all building, plumbing, mechanical and
electrical provisions for one- and two-family
residences.

http://publicecodes.cyberregs.co
m/icod/irc/index.htm

National Fire Protection
Association (NFPA) 225,
Model Manufactured Home
Installation Standard (2009
Edition)

Includes updated criteria covering the anchoring of
the home and protection against seismic events,
floods, and wind. Rules apply to single- and multisection units.

http://www.nfpa.org/catalog/prod
uct.asp?pid=22509

NFPA 703, Standard for
Fire-Retardant Treated
Wood and Fire-Retardant
Coatings for Building
Materials

Provides enforcers, engineers, and architects with
the industry’s most advanced criteria for defining and
identifying fire retardant-treated wood and fireretardant coatings for building materials.

http://www.nfpa.org/catalog/prod
uct.asp?pid=70312

NFPA 914, Code for Fire
Protection of Historic
Structures

Intended to improve or upgrade the fire protection
features in a wide range of historic buildings, and
address ongoing operations as well as renovation
and restoration projects.

http://www.nfpa.org/catalog/prod
uct.asp?pid=91410

NFPA 1141, Standard for
Fire Protection Infrastructure
for Land Development in
Suburban and Rural Areas

Provides recommendations for planning and
installing fire protection infrastructure for new
developments in a community.

http://www.nfpa.org/catalog/prod
uct.asp?pid=114112

NFPA 1144, Standard for
Reducing Structure Ignition
Hazards for Land
Development in Suburban
and Rural Areas

Covers minimum design, construction, and
landscaping elements for structures in the
wildland/urban interface.

http://www.nfpa.org/cataloghttp:/
/dnrc.mt.gov/forestry/Fire/Preven
tion/documents/WUIrewrite/NFP
A1144.pdf/

NFPA 5000 Code, Building
Construction and Safety
Code (2012 Edition)

Combines regulations controlling design,
construction, quality of materials, use and
occupancy, location, and maintenance of buildings
and structures, with fire and life-safety requirements
found in NFPA codes and standards.

http://www.nfpa.org/catalog/prod
uct.asp?pid=500012

Firewise Communities

A multi-agency effort designed to reach beyond the
fire service by involving homeowners, community
leaders, planners, developers, and others in the
effort to protect people, property, and natural
resources from the risk of wildland fire—before a fire
starts.

http://www.firewise.org/

U.S. Department of
Commerce, Bureau of
Economic Analysis

Produces economic account statistics that enable
government and business decision-makers,
researchers, and the American public to follow and
understand the performance of the Nation’s
economy.

http://www.bea.gov

Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance

115

Reference
U.S. Bureau of Labor and
Statistics

Description
An independent national statistical agency that
collects, processes, analyzes, and disseminates
essential statistical data to the American public, the
U.S. Congress, other Federal agencies, State and
local governments, business, and labor.

Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance

Web Link
http://stats.bls.gov

116

E. Eligibility and Completeness Review Checklist for Project
Subapplications
Applications submitted to FEMA that do not contain at least the basic components listed below
may be immediately denied because there is no method to determine eligibility without this data.
Additional information may be requested during FEMA review. This information is required for
all submittals, including potential substitutions.
Application Component

Yes

Comment

General
Documentation included in the subapplication?
Is this a phased project?
Technical Assistance Needed? Subapplicant is encouraged to
contact the State (Applicant) to request application development
assistance. FEMA resources may be available but will only be
provided if requested by the Applicant.
Applicants
Eligible Applicant is identified (State or local government; eligible
Private, non-profit organization; or Indian Tribal government)
Applicant participates in the National Flood Insurance Program
Plan Requirement
Project conforms with State Mitigation Plan per 44 CFR Part 201
Project conforms with Local Mitigation Plan per 44 CFR Part 201
Project conforms with Indian Tribal Mitigation Plan per 44 CFR
Part 201
Scope of Work
SOW describes the proposed solution
Alternatives considered as part of the decision-making process
Project includes photographs of each structure and general
project area
Project includes appropriate maps that orient the reviewer to the
entire project area
Latitude and longitude are provided for each structure
SOW justifies the proposed solution as the best option over a
range of alternatives
Project site is clearly identified using maps, GPS coordinates, or
other means
Project addresses a repetitive problem or a significant risk to
public health

Part X. Appendix E: Eligibility and Completeness Review Checklist for Project Subapplications

117

Application Component

Yes

Comment

Project solves a problem independently or constitutes a
functional portion of a solution
Schedule
A work schedule of 3 years or less is provided
Budget/Match Source
A cost estimate/budget is provided that supports the SOW
If project requires phased or incremental funding, the budget
reflects amounts estimated for each funding increment
Non-Federal cost shares and match sources are identified
Project should identify potential Duplication of Benefits such as
Insurance, Small Business Administration loans if information is
available during project development
Cost-effectiveness and Feasibility
Project includes a benefit-cost analysis, or alternate costeffectiveness documentation, such as Substantial Damage
verification, and located in a riverine floodplain; or a narrative
supporting cost-effectiveness and request for consideration
under 5 percent HMGP discretionary funding
Project includes technical information to support proposed
action. For example, level of protection for drainage projects,
engineering data to support proposed seismic retrofits, and
population data to support safe room placement and size.
Elevations are technically feasible.
Environmental and Historic Preservation
Project includes information and documentation to demonstrate
conformance with 44 CFR Part 9.6 and Part 10
Project demonstrates that it minimizes harm to the environment
Project includes construction date for each structure
Project includes all available information relating to known
historic, archaeological, or environmentally sensitive areas (e.g.,
critical Coastal Barrier Resources Act or Otherwise Protected
Area)
All appropriate Federal, State, and local agencies have been
consulted
Project includes environmental coordination letters or contact
information to obtain required coordination information
Assurances
FEMA Form 20-16A, Assurances Non-Construction Programs
FEMA Form 20-16B, Assurances Construction Programs
FEMA Form 20-16C, Certifications Regarding Lobbying, etc.

Part X. Appendix E: Eligibility and Completeness Review Checklist for Project Subapplications

118

Application Component

Yes

Comment

SF-LLL, Disclosure of Lobbying Activities
Considers long-term changes to the area it proposes to protect
and has manageable future maintenance and modification
requirements
Acquisition Demolition / Relocation Information
Project confirms compliance with timelines and all other criteria
set forth in 44 CFR Part 80 requirements
Project includes Voluntary Participation Documentation for each
property
Documentation (if needed) that the property owner is National of
United States or qualified alien
For properties that are to be relocated, will the structure be
relocated outside of the Special Flood Hazard Area?
Elevation Information
Project identifies the Base Flood Elevation or Advisory Base
Flood Elevation
Project includes finished floor elevation (Elevation certificate is
preferred)
Project includes proposed elevation height of the structure
Designed and Implemented consistent with ASCE/SEI 24-05
Safe Room Information
Project includes population size and basis
Designed and implemented consistent with FEMA P-320 or
FEMA P-361
Wind Retrofit Information
Project includes proposed level of protection
Designed and implemented consistent with P-804
Drainage Information
Project includes initial technical information to support size,
costs and local permitting requirements

Part X. Appendix E: Eligibility and Completeness Review Checklist for Project Subapplications

119

F. Safe Room Application Using Pre-Calculated Benefits
Expedited HMGP Application for Residential Safe Rooms
 The State must have an approved State Administrative Plan and State Hazard Mitigation Plan prior to
grant award.

 If a local jurisdiction is the subapplicant, they must have an approved local mitigation plan in place
(or receive an Extraordinary Circumstances exception) prior to grant award.

 Each safe room included in this project must meet the criteria of FEMA P-320, Taking Shelter From
the Storm, Building a Safe Room For your Home or Small Business, or FEMA P-361, Design and
Construction Guidance for Community Safe Rooms.

 Safe rooms cannot be placed in floodways, velocity zones, Coastal A Zones, or areas subject to
coastal storm surge inundation associated with a Category 5 hurricane.

 If a residential safe room is sited in a Special Flood Hazard Area, the structure must be insured for
Flood Damage, and a deed notice must be conveyed to retain this requirement.

 This project conforms with applicable Hazard Mitigation Grant Program eligibility criteria for all
projects.

 Applicant may request approval for pre-award costs. Implementation costs incurred prior to grant
award are not eligible for reimbursement.

State (Grantee) Information
Disaster number: ____________________________
Eligible subapplicant:

_____ State or local government

Does the project conform to the State/local mitigation plan?

_____ Private non-profit entity
_____ Yes

_____ No

Applicant Information
Project Title: Residential Safe Room Construction/Installation
Applicant ___________________________________________________________________________
Federal Information Processing Standard (FIPS) Code ________________________________________
Federal Tax ID Number (if required) ______________________________________________________
Data Universal Numbering System (DUNS) Number _________________________________________
Community NFIP Status:

Participating Community ID # ______________

In Good Standing ______ Non-participating _____ CRS _____

Legislative District(s) __________________________________________________________________

Part X. Appendix F: Safe Room Application Using Pre-Calculated Benefits

120

Application prepared by:
Name ______________________________________________________________________________
Title _______________________________________________________________________________
Address _____________________________________________________________________________
City/State/Zip ________________________________________________________________________
Telephone __________________ Email ___________________________________________________
Applicant Agent* _____________________________________________________________________
Title _______________________________________________________________________________
Address ____________________________________________________________________________
City/State/Zip ________________________________________________________________________
Telephone__________________ Email____________________________________________________
* Individual authorized to sign financial and legal documents on behalf of the Applicant

Project Information
1. History of hazards and description of the vulnerability to be mitigated
Sample language:
This project is being submitted in response to the recent, severe weather and tornado activity
nationwide. It is the intent of the State and affected local jurisdictions to support the placement
and availability of safe rooms as a means of providing life-safety level protection for our citizens.
2. Scope/description: Project includes population size and basis
Sample language:
This project proposes to fund the purchase, construction/installation, and verification of 150
residential safe rooms. These safe rooms will be constructed and installed to meet FEMA P-320
or FEMA P-361 design and construction criteria, prior to reimbursement by the Applicant to the
property owner; the safe rooms will be verified by a qualified professional to meet FEMA P-320
standards. Prior to closeout, all property-specific data will be provided for entry into NEMIS in
order to capture full information for each mitigated property.
3. Project Useful Life: (30 years).
4. Property and Structure Information

 Address, including geo-location
 Floodplain map and flood zone information
 Structure age
 Photographs

Part X. Appendix F: Safe Room Application Using Pre-Calculated Benefits

121

 Proposed action:
 Safe room placed inside structure (no ground disturbance)
 Safe room placed above/below ground outside the structure (ground disturbance)

 Additional information if identified by FEMA/State/Applicant
Environmental and Historic Preservation Compliance
Each site must be reviewed to determine compliance with environmental and historic preservation
compliance requirements and to prepare necessary documentation. FEMA’s Programmatic
Environmental Assessment for Hazard Mitigation Safe Room Construction (June 2011) provides
efficiencies for completing the environmental review for this project.
NOTE: FEMA may enter into agreements or other negotiated arrangements with the respective State
Historic Preservation Officers and Indian Tribes to allow for expedited review in accordance with Section
106 of the National Historic Preservation Act.
Describe alternatives considered for this project:
Sample language:
Alternative 1 – Do nothing. This alternative will not result in substantial risk reduction and will
leave many citizens exposed to future tornado and high-wind damages, including loss of life.
Alternative 2 – Community safe room or evacuation. Tornadoes do not allow for sufficient time
to relocate household members to an off-site facility, and evacuation is not viable as travel in
severe weather exposes evacuees to another set of risks and hazards with little certainty that they
can reach safe haven.

Project Implementation Narrative
Briefly describe the Applicant’s process for selecting and prioritizing participants; describe any limits to
funding, the proposed project management actions to be taken during implementation and any variations
from standard quarterly reporting; and provide a list (or form) to be submitted by property owners to
validate eligible costs.
Sample language:

 This project limits the amount reimbursable to property owner to up to 50 percent of the cost
of the safe room, not to exceed $3,500 OR This project limits the amount of each safe room
to$7,000 (or other value).

 Participants were prioritized based on damaged areas and dates costs were incurred.
 Participants will be accepted as long as funds are available. Over submittals will be
considered if additional funds become available.

 Quarterly reports will include current totals of completed, verified sites and associated costs
for each completed site.

Part X. Appendix F: Safe Room Application Using Pre-Calculated Benefits

122

 Applicant reserves the right to expand this project as long as the application period is open.
 Site verification form will be provided for each site location (Attachment 2).
Project Work Schedule (not to exceed 3 years)
Sample:
0–6 months: Initiate outreach-marketing; identify participants
3–12 months: Verify FEMA P-320 or FEMA P-361 criteria and all program eligibility
requirements have been met for known sites.

12 months (prior to application period closing): Revise project if necessary to include more
participants.
12–30 months: Provide quarterly progress reports indicating volume of completed verified
actions; complete project implementation.
30–36 months: Collect all closeout data and complete data dissemination to local emergency
medical services.

Cost-effectiveness Review
Sample language:
A cost-effectiveness evaluation has been performed for residential safe rooms in the (State of
_____________ / County of ________________) and produced benefits as reflected on Table 1.
These benefits are based on general sampling statewide and are based on 3 persons per
household served by each safe room.
Options for capturing additional benefits: If the benefits listed in Table 1 are not sufficient to
produce a ratio greater than 1:1 for this project, additional benefits may be obtained by
increasing household population, where appropriate, verifying the structure type (manufactured
housing produces more benefits than standard construction), and/or using a more specific local
valuation that may include higher benefits based on specific risk. Technical support is available
if needed.

Budget/Funding Information
Sample budget:
Cost Item
Data Collection

Quantity

Est. Cost
Each

Total Est.
Cost

150

$100

$15,000

Est. Fed
Share

Estimated
Match Share

$15,000
(1)

—

Material/Construction

150

$5,000

$750,000

$525,000

Project Management

150

$200

$30,000

—

Inspection Certification

150

$200

$30,000

—

Design/Engineering Review

150

$200

$30,000

30,000

—

Part X. Appendix F: Safe Room Application Using Pre-Calculated Benefits

$225,000

123

Cost Item

Quantity

Est. Cost
Each

150

Verification/Closeout
Outreach
Data Dissemination

(2)

Grand Total

Total Est.
Cost

Est. Fed
Share

Estimated
Match Share

$100

$15,000

—

$15,000

—

$15,000

—

$900,000

$675,000

$225,000

NOTES:
Line items for Data Collection, Project Management, Design, and Outreach could be phased. This would allow limited fund
release to identify participants and collect data to complete required environmental and historic preservation reviews.
General-cost line items are samples, not all costs may be required; amounts are variable. Additional line items may be
included as necessary. These values are based on historical submittals and averages.
(1) This example limits reimbursement to property owner to $3,500.
(2) With property owner authorization, provide safe room geo-data to local emergency medical services in usable format.

All Federal Share Obligations of $1,000,000 or More
Must Complete the Large Project Notification Process Prior to Approval
Aggregate Benefits By State (Abridged List)
Alabama

$13,336.96

Nebraska

$9,921.78

Arkansas

$16,717.85

North Carolina

$5,723.26

Georgia

$5,290.98

Ohio

$11,469.38
$18,366.36

Illinois

$13,685.72

Oklahoma

Iowa

$14,962.87

Pennsylvania

$4,065.90

Indiana

$18,126.34

South Carolina

$6,139.38

Kansas

$14,005.75

South Dakota

$5,230.17

Kentucky

$13,554.96

Tennessee

Louisiana

$9,921.94

Texas

$5,421.32

Michigan

$6,522.49

Virginia

$3,936.05

Missouri

$15,654.96

West Virginia

$4,973.50

Mississippi

$20,067.64

Wisconsin

$9,025.48

Minnesota

$7,092.39

$13,579.58

Final Documentation and Certification Variable by State/Region
(FEMA/State/Applicant may include additional items)
 Property Owner Name
 Property Address, including geo-location
for Safe Room
 Verification of FEMA P-320 or FEMA P-361
criteria
 Installation Inspection
 Conforms to Categorical Exclusion or
Environmental Assessment

 Conforms to Local Floodplain Ordinance (if
applicable)
 Flood Insurance Deed Tag (if applicable)
 Final Cost list
 Property owner permission to distribute GEOlocation to local emergency medical services
(optional)

Part X. Appendix F: Safe Room Application Using Pre-Calculated Benefits

124

G. Generator FAQ
Eligibility of Generators under the Hazard Mitigation Grant Program
General Eligibility and Application Development
1.

How does the information in this guidance differ from current practice?
This Hazard Mitigation Assistance (HMA) Guidance establishes that the purchase and installation of
generators for the protection of critical facilities is an eligible, stand-alone project type under the
Hazard Mitigation Grant Program (HMGP) and is no longer limited only to the 5 Percent Initiative.
Generators that constitute a functional portion of an otherwise eligible mitigation solution (critical or
not) remain eligible.

Are generators still eligible under the 5 Percent Initiative?
Yes. If there is insufficient data to evaluate a generator project using a standard, HMA-approved
Benefit-Cost Analysis (BCA) method, the project may be eligible under the 5 Percent Initiative, as
described in current HMA Unified Guidance. To perform this evaluation, a narrative description of
the project’s cost-effectiveness must be provided in lieu of a BCA. However, when data is available
to perform a standard, HMA-approved BCA, the standard method must be used.

Are eligible critical facilities limited to those listed in this guidance?
No. The critical facilities listed in this guidance are not exhaustive. Eligible critical facilities are
generally meant to include, but not be limited to, facilities such as hospitals, fire stations, police
stations, and water and waste water treatment plants.

Must the generator be permanently installed in, or anchored to, the critical facility, or can it be
portable?
Generators for a single facility or building should be permanently installed on site. Portable
generators are eligible provided that they meet all HMGP requirements as described in 44 CFR
Section 206.434, Eligibility. The Applicant must ensure that the generator will be in place to protect
the facility functions specified in the project application. The Application should describe relevant
transport, hook up, and fuel supply and storage requirements at multiple facilities and how these will
be executed if the generator is portable.

Is the purchase of generators for residential structures an eligible activity?
No. The purchase of a generator for the singular purpose of maintaining power for a single
residential structure is not an eligible activity.

If a generator is required by code, is the purchase of a generator for these facilities eligible?
Yes, provided that the generator project meets all HMGP requirements as described in 44 CFR
Section 206.434, Eligibility.

Part X. Appendix G: Generator FAQ

125

What size generator is appropriate for a facility?
This will vary by facility and usage. It is not always necessary for the generator to support facility
operations to their full capacity, but it should be sized appropriately to ensure the facility is able to
provide uninterrupted critical functions in the event of future power outages.

Is there a National Emergency Management Information System (NEMIS) code for generators
as a stand-alone project type?
Yes. The new NEMIS code for stand-alone generator projects is 601.2 – Generator Regular. The
NEMIS code for generator projects as part of the 5 percent discretionary allowance is 601.1 –
Generator.

Cost-effectiveness
9.

Will FEMA develop a separate BCA module for generators?
No. A separate module is not necessary to perform the analysis. The Damage Frequency
Assessment (DFA) module is able to perform this analysis for multiple hazards and project types. If
you experience problems using the DFA module, contact the BC helpline at
[email protected].

10. What are the key elements of a BCA for generator projects?
Key inputs required are:
a.

Project Useful Life: According to OMB Circular A-76, Performance of Commercial
Activities, the useful life for generators or generator sets is 19 years. This value can be used as
the default useful life value when performing the BCA. It may be altered based on
manufacturer warranty or other documentation that can demonstrate that the generator may be
able to provide service for longer than 19 years. Analysts should use the 19-year project useful
life first.

roject Costs: The cost of generators varies by size, installation, and purpose. The
P
generator’s size and specifications should be reasonable, appropriate, and necessary to
continuing critical functions of the facility. The exact costs for generators, installation, and
components should be provided by the subapplicant and included in the costs when performing
the BCA.

Facility and Value of Service: Analysis for facilities for potable water, waste water, police
stations, fire stations, and hospitals can be quickly performed using FEMA’s BCA toolkit and
the DFA module, which provides service values for these facilities. To use these values, the
analyst will need some information regarding the population served by the facility. For
example, if a generator is to be installed at a waste water treatment plant, the analyst will need
to know how many customers are served by the facility, as well as how many days the facility
was not able to operate because of power failure. These values can typically be obtained from
the facility manager and can be provided on official letterhead for documentation purposes.

Part X. Appendix G: Generator FAQ

126

Recurrence Determination: Recurrence information used in the analysis may vary by
location or by cause of power failure, such as wind or flood. See FAQ #17 for additional
information.

Other Benefits: Other benefits (or costs avoided) may be included if they are addressed by the
generator project.

11. What information is needed to perform a BCA for generator projects?
Information needed for performing the BCA will vary by facility. However, the following inputs are
required to run the BCA module:
11.1 For all BCAs performed, the subapplicant must provide the following:
a. The total project cost
b. Useful life (19 years for generators)
c. Estimated yearly maintenance costs
d. The frequency of the event used in analysis that would cause a power failure
demonstrating the need for a backup power source (generator)
e. The number of days that service was affected (without power)
To calculate the value of services (benefits to society), the following inputs must be included for
each specified facility type:
11.2 For Water or Waste Water Services:
a. The number of customers affected by the power outage at the treatment plants
11.3 For Hospitals
a. The number of people served by the hospital
b. The distance in miles between the hospital being analyzed and the hospital that would
treat these people in the event the hospital was inoperative
c. The number of people normally served by the alternate hospital
11.4 For Police Stations
a. The type of station (metropolitan, city, or rural)
b. The number of people served by the police station
c. The number of officers that work at the station and would serve the same area if the
station were shut down as a result of a disaster
11.5 For Fire Stations
a. The number of people served by the station
b. The type of area served by the fire station (urban, suburban, rural, wilderness)
c. The distance in miles to the nearest fire station that would provide protection for the area
normally served by the fire station affected
Part X. Appendix G: Generator FAQ

127

d. Does the fire station provide emergency medical services?
Value of service for hospitals, police, and fire stations are in the DFA module by selecting
Non Residential Buildings for the Facility Type for Loss of Function in the DFA modules as shown
in the screen shots below.

12. Are the benefits limited to damages avoided to the facility?
No, benefits are not limited to just damages avoided. The value of service for critical facilities can
be used to demonstrate cost-effectiveness. The value of services for critical infrastructure and
facilities are included in the BCA toolkit, which is available at http://www.fema.gov/benefit-costanalysis. All costs associated with power failure that would be mitigated by a generator should be
considered.
Additional losses can be included in the BCA if those losses are a direct result of interrupted power
service that a generator would have mitigated. For waste water treatment plants, additional costs are
sometimes required to bring the facility back to operating status after an extended power failure.
This may include removal of sludge in equipment or additional man hours needed to bring the
facility back to operational status. Those additional costs can be included above and beyond the
value of service costs if a generator would have prevented those additional costs.
13. Can an Applicant consider multiple hazards in the BCA?
Yes. Multiple hazards may disrupt power supply. The Applicant will need to provide the frequency
of each hazard used in its analysis.
14. How does an Applicant develop the return interval for an event requiring the use of a
generator?
The recurrence interval used in the analysis will depend on the hazard that caused or will cause the
facility to lose power. For example, in the New York City metropolitan area, winds of 85 miles per
hour could equate to a 25-year recurrence interval. For other hazards, such as extreme snow fall,
information about prior snow fall totals could be validated to estimate the recurrence interval.
Recurrence interval data can be obtained from a number of sources, such as the National Weather
Service for rainfall and ice storms and the U.S. Geological Survey for floods. If three or more past

Part X. Appendix G: Generator FAQ

128

events resulted in power failure, the DFA module can calculate the recurrence interval based on the
years of the events. Question #17 provides some useful tools to assist in frequency determination.
Generally, two events are required to perform the analysis. Applicants/subapplicants are encouraged
to provide as much historical damage information as they can. Projects submitted with one
frequency will be considered acceptable.
15. In the case of a water treatment plant, is the cost of providing temporary water or other
emergency protective measures considered a future cost avoided?
Yes. If the generator will negate the need for temporary water in the future, then those costs should
be included in the analysis.
16. Are environmental benefits included in the BCA?
To the extent they can be captured and justified, environmental costs associated with raw sewage
discharge can be included in the BCA for waste water treatment plants. FEMA does not have a
default value for these associated costs, and these costs will vary by location. The Applicant/
subapplicant should include all reasonable costs that will be mitigated by having a backup generator
installed at a facility.
17. What resources are available to determine recurrence interval values?
Recurrence intervals may be determined by using some of the tools provided below:

 If the facility lost power as a result of wind damage to power lines feeding the facility, the

analyst can utilize the Advanced Technology Council Wind Speed tool available at
http://www.atcouncil.org/windspeed/index.php to determine the frequency of the coastal wind
event.

 If power outages are attributed to flooding, recurrence information for the flooding event should
be used in the analysis. The National Weather Services provides the Precipitation Frequency
Data Server at http://hdsc.nws.noaa.gov/hdsc/pfds/, which can be utilized to establish a
frequency for various precipitation events.

 U.S. Geological Survey stream gauge data can also be used to extrapolate frequency information
for flood events, details of which can be found in the Supplement to the Benefit-Cost Analysis
Reference Guide in the FEMA library at http://www.fema.gov/library/viewRecord.do?id=4830.

 National Snow and Ice Data Center (National Aeronautics and Space Administration, National
Oceanic and Atmospheric Administration, National Science Foundation) at
http://nsidc.org/data/search/data-search.html.

 Insurance claims, BureauNet information, damage repair records, data from the State/local

agency, or local government Newspaper accounts citing credible sources (other than homeowner
accounts) could be used in conjunction with the DFA module’s unknown frequency calculator.
Using this method may require more time as three events are required for analysis.

Part X. Appendix G: Generator FAQ

129

18. How should emergency operations centers (EOCs) be evaluated for inclusion in the BCA
toolkit?
Finding the value (in loss of service terms) of a State Emergency Operation Center to prove costeffectiveness of a generator project is difficult. FEMA will allow reasonable and justified “loss of
service” costs for State and local EOCs that are identified by the Grantee to be entered into the DFA
module to evaluate cost-effectiveness of an EOC generator project. Another or additional option is
to investigate the costs of remobilizing an EOC to an alternate / continuity of operations location that
could be avoided should the EOC be supplied with an uninterruptible power source such as a
generator.

Scenarios
Different power failure scenarios at various facilities are outlined below. For analysis purposes, each
facility was reviewed using 4 days of loss of service due to power failure at the 25-year recurrence. The
25-year recurrence interval for the test cases is based on observed wind speeds and the frequency was
extrapolated using the Advanced Technology Council Wind Speed tool for the New York metropolitan
area. Other project locations should use the appropriate recurrence intervals for the hazard being
mitigated. Analysis was performed using the DFA module in the BCA Toolkit.
The scenarios are for demonstration purposes only. Dollar amounts and frequency intervals were chosen
for comparison purposes only. Analysts should use the appropriate values for the facility being
examined. For those performing the analysis, assistance is available through the benefit-cost helpline at
[email protected] or at 1-855-540-6744. The helpline is not allowed to perform or review
analyses but can provide answers to specific questions regarding methodologies.
When performing the BCA, inputs used in the module should be documented, as with all analysis.
Documentation sources may include, but are not limited to, correspondence with facility or site managers,
data available from the county or facility Web site, information from other government Web sites, media
releases, engineering analysis, and letters from the facility manager. Discussion of data documentation is
available in the BCA training materials available on FEMA.gov. There are no special or extraordinary
data documentation requirements for this project type.
Scenario 1: The Purchase and Installation of a Generator at an Urban Police Station
Assumptions:

 The police station has 119 officers who serve up to 27,000 residents
 The police station loses power and the efficiency of the police station drops to 50 percent

(assumes 50 percent of the force are working out of other facilities or within the community)

 The power is not fully restored for 4 days
 The project useful life for the generator is 19 years
 The project cost is $50,000

Part X. Appendix G: Generator FAQ

130

Benefit-Cost Ratio:

 The resulting benefit-cost ratio (BCR) is 1.23
Scenario 2: The Purchase and Installation of a Generator at an Urban Fire Station
Assumptions:

 The fire station has 119 firefighters who serve up to 27,000 residents
 The fire station loses power and the efficiency of the fire station drops to 50 percent
 The power is not fully restored for 4 days
 The project useful life for the generator is 19 years
 The project cost is $50,000
Benefit-Cost Ratio:

 The resulting BCR is 0.80
Scenario 3: The Purchase and Installation of a Generator at an Urban Hospital
Assumptions:

 The hospital serves up to 27,000 residents
 The power is not fully restored for 4 days
 The project useful life for the generator is 19 years
 The project cost is $200,000
Benefit-Cost Ratio:

 The resulting BCR is 1.0
Scenario 4: The Purchase and Installation of a Generator at a Rural Area Water Treatment Plant
(Potable Water)
Assumptions:

 The water treatment plant serves up to 15,000 customers
 The plant loses power for 3 days
 A 100-year recurrence interval is used
 The project cost is $200,000
Benefit-Cost Ratio

 The resulting BCR is 1.05

Part X. Appendix G: Generator FAQ

131

Scenario 5: The Purchase and Installation of a Generator at an Urban Area Waste Water
Treatment Plant
Assumptions:

 The waste water treatment plant serves up to 500,000 residents
 The waste water treatment plant loses power and there is no service
 The power is not fully restored for 4 days
 The project useful life for the generator is 19 years
 The project cost is $1,500,000
Benefit-Cost Ratio:

 The resulting BCR is 24.8

Part X. Appendix G: Generator FAQ

132

H. Eligibility and Completeness Review Checklist for Planning
Subapplications
Applications submitted to FEMA that do not contain at least the basic components listed below
may be immediately denied because there is no method to determine eligibility without this data.
Additional information may be requested during FEMA review. This information is required for
all submittals, including potential substitutions.
Application Component

Yes

Comments

General
Documentation included in the subapplication?
Technical Assistance Needed? Subapplicant is encouraged to
contact the State (Applicant) to request application development
assistance. FEMA resources may be available but will only be
provided if requested by the Applicant.
Applicants
Applicant included management costs for delivery of technical
assistance for mitigation planning (e.g., plan reviews, planning
workshops, training)
Scope of Work (SOW)
Proposed planning activity is consistent with 44 CFR Part 201
Proposed planning activity is described, including whether it will
result in a new or updated hazard mitigation plan (including
public involvement, identification of hazards, development of a
comprehensive risk/vulnerability assessment, identification of
mitigation goals and strategies, and plan implementation) or
enhance an existing mitigation plan through a planning-related
activity
Participating jurisdiction(s) are identified and described
A statement is provided on how the overall planning effort will
be coordinated
SOW is consistent with work schedule and cost estimate
(describes entire planning process)
For mitigation plan updates, the SOW describes the process
that each jurisdiction will complete to review each section of the
previous plan and address gaps, as needed; new information
(including hazard, land use, and development trends); how the
previous plan was implemented; and what process will be used
Copy of the plan review document (i.e., review tool or
crosswalk) from the FEMA approval of the previous plan is
included, if available/applicable

Part X. Appendix H: Eligibility and Completeness Review Checklist for Planning Subapplications

133

Application Component

Yes

Comments

Schedule
Work schedule of 3 years or less is provided and allows
sufficient time for State and FEMA reviews; preparation of
required revisions, if needed; formal adoption by the
jurisdiction(s); and FEMA approval
Cost Estimate
Cost estimate supports the SOW and is reasonable for the
jurisdictions participating
Assurances
FEMA Form 20-16A, Assurances Non-Construction Programs
FEMA Form 20-16C, Certifications Regarding Lobbying, etc.
SF-LLL, Disclosure of Lobbying Activities

Part X. Appendix H: Eligibility and Completeness Review Checklist for Planning Subapplications

134

EHP Checklist

“Yes” indicates that the environmental regulation or statute may apply to your project.
Environmental Regulation or Statute

Yes

National Historic Preservation Act
1.A

Would the proposed project affect, or is the proposed project in close proximity to,
any buildings or structures 50 years or more in age?

1.B

Will the proposed project involve disturbance of ground?

Endangered Species Act and Wildlife Coordination Act
2.A

Are federally listed or endangered species, or their critical habitat, present in or near
the project area and, if so, which species are present?

2.B

Will the proposed project remove or affect vegetation?

2.C

Is the proposed project in or near (within 200 feet), or likely to affect, any type of
waterbody or body of water?

Clean Water Act, Rivers and Harbors Act
3.A

Will the proposed project involve dredging or disposal of dredged material,
excavation, the addition of fill material, or result in any modification to water bodies or
wetlands designated as “waters of the United States” as identified by the U.S. Army
Corps of Engineers or on the National Wetland Inventory?

Executive Order 11988 (Protection of Floodplains) and Executive Order 11990 (Protection of Wetlands)
4.A

Does a Flood Insurance Rate Map, Flood Hazard Boundary Map, hydrological study,
or some other source indicate that the project is located in, or will affect, a 100-year
floodplain, a 500-year floodplain (if a critical facility), an identified regulatory floodway,
or an area prone to flooding?

4.B

Is the proposed project located in, or will it affect, a wetland as listed in the National
Wetland Inventory?

4.C

Will the proposed project alter a watercourse, water flow patterns, or a drainage way,
regardless of its floodplain designation?

4.D

Is the proposed project located in, or will it affect, a floodplain or wetland? If yes, the
8-step process summarized in Appendix J must be completed.

Coastal Zone Management Act
5.A

Is the proposed project located in the State’s designated coastal zone?

Farmland Protection Policy Act
6.A

Will the proposed project convert more than 5 acres of “prime or unique” farmland
outside city limits to a non-agricultural use?

Resource Conservation Recovery Act and Comprehensive Environmental Response, Compensation,
and Liability Act
7.A

Is there reason to suspect there are contaminants from a current or past use on the
property associated with the proposed project?

7.B

Are there are any studies, investigations, or enforcement actions related to the
property associated with the proposed project?

7.C

Will any project construction or operation activities involve the use of hazardous or
toxic materials?

Part X. Appendix I: EHP Checklist

135

Environmental Regulation or Statute
7.D

Yes

Are any of the current or past land uses of the property associated with the proposed
project or are any of the adjacent properties associated with hazardous or toxic
materials?

Executive Order 12898 (Environmental Justice for Low Income and Minority Populations)
8.A

Are there any low-income or minority populations in the project’s area of effect or
adjacent to the project area?

Other Environmental/Historic Preservation Laws (including applicable State laws) or Issues
9.A

Are other environmental/historic preservation requirements associated with this
project?

9.B

Are any controversial issues associated with this project?

9.C

Have any public meetings been conducted, or public comment solicited, on the
proposed project?

Part X. Appendix I: EHP Checklist

136

J. 8-Step Decision Making Process
for Floodplain Management Considerations
Step 1. Determine whether the proposed action is located in a wetland and/or the 100-year floodplain
(500-year floodplain for critical actions) and whether it has the potential to affect or be affected
by a floodplain or wetland (see 44 CFR Section 9.7).
Step 2. Notify the public at the earliest possible time of the intent to carry out an action in a floodplain
or wetland, and involve the affected and interested public in the decision-making process (see
44 CFR Section 9.8).
Step 3. Identify and evaluate practicable alternatives to locating the proposed action in a floodplain or
wetland (including alternative sites, actions, and the “no action” option) (see 44 CFR Section
9.9). If a practicable alternative exists outside the floodplain or wetland, FEMA must locate the
action at the alternative site.
Step 4. Identify the potential direct and indirect impacts associated with the occupancy or modification
of floodplains and wetlands and the potential direct and indirect support of floodplain and
wetland development that could result from the proposed action (see 44 CFR Section 9.10).
Step 5. Minimize the potential adverse impacts and support to or within floodplains and wetlands to be
identified under Step 4, restore and preserve the natural and beneficial values served by
floodplains, and preserve and enhance the natural and beneficial values served by wetlands (see
44 CFR Section 9.11).
Step 6. Reevaluate the proposed action to determine first, if it is still practicable in light of its exposure
to flood hazards, the extent to which it will aggravate the hazards to others, and its potential to
disrupt floodplain and wetland values, and second, if alternatives preliminarily rejected at Step
3 are practicable in light of the information gained in Steps 4 and 5. FEMA shall not act in a
floodplain or wetland unless it is the only practicable location (see 44 CFR Section 9.9).
Step 7. Prepare and provide the public with a finding and public explanation of any final decision that
the floodplain or wetland is the only practicable alternative (see 44 CFR Section 9.12).
Step 8. Review the implementation and post-implementation phases of the proposed action to ensure
that the requirements stated in 44 CFR Section 9.11 are fully implemented. Oversight
responsibility shall be integrated into existing processes.

Part X. Appendix J: 8-Step Decision Making Process for Floodplain Management Considerations

137

K. Section 106 Process under the National Historic Preservation Act

Part X. Appendix K: Section 106 Process under the National Historic Preservation Act

138

Part X. Appendix K: Section 106 Process under the National Historic Preservation Act

139

L. Application for Advance Assistance
Hazard Mitigation Grant Program (HMGP) Advance Assistance Pilot
Optional Application
The State of _____________ requests $____________ in Advance Assistance1 for DR_________
pursuant to Section 1104 of the Sandy Recovery and Improvement Act (SRIA) of 2013 to accelerate
implementation of the Hazard Mitigation Grant Program (HMGP). The State will use Advance
Assistance to develop mitigation strategies and obtain data to prioritize, select and develop complete
HMGP applications in a timely manner, as described in the Project Description (Work Scope) below.
Disaster and Project Number ____________________________________________________________
Project Title: Advance Funding Request

Applicant ___________________________________________________________________________
Federal Information Processing Standard (FIPS) Code ________________________________________
Applicant’s Agent and Contact Information ________________________________________________
___________________________________________________________________________________

Project Description (Work Scope)
List proposed activities, estimated costs and deliverables. (See Advance Assistance Frequently Asked
Questions for list of eligible activities).
Activity

Estimated Cost

Deliverable

1.
2.
3.
(Etc.)

Work Schedule
Following is a schedule of proposed milestones by quarter for all major activities by which the State
proposes to monitor progress for Advance Assistance:

States may apply for up to 25 percent of the estimated total HMGP grant amount or $10 million, whichever is less.

Part X. Appendix L: Application for Advance Assistance

140

Q1 (First Quarter Following Initial Approval)
Activity

Milestone

Deliverables

1.
2.
3.
(Etc.)

Budget Information
Total Estimated Cost (Federal and non-Federal cost) _________________________________________
Total Federal Cost ____________________________________________________________________

Line Item Budget
The State may request that FEMA obligate Advance Assistance funds incrementally, based on when the
State needs the funds. Please list the obligation schedule by activity below.
Activity

Initial Amount
Requested

Second Amount
Requested

Third Amount
Requested

Total
Requested

1,
2,
3.
(Etc.)

Additional Information Section
Provide any relevant information or explanation.

Part X. Appendix L: Application for Advance Assistance

141

File Type	application/pdf
File Title	Hazard Mitigation Assistance Unified Guidance
Subject	hazard mitigation, guidance, HMGP, PDM, FMA
Author	FEMA
File Modified	2013-10-15
File Created	2013-08-09