44 Cfr 206.437

Federal Emergency Management Agency, DHS
§ 206.436 Application procedures.
(a) General. This section describes the
procedures to be used by the grantee in
submitting an application for HMGP
funding. Under the HMGP, the State or
Indian tribal government is the grantee and is responsible for processing
subgrants to applicants in accordance
with 44 CFR part 13 and this part 206.
Subgrantees are accountable to the
grantee.
(b) Governor’s Authorized Representative. The Governor’s Authorized Representative serves as the grant administrator for all funds provided under
the Hazard Mitigation Grant Program.
The Governor’s Authorized Representative’s responsibilities as they pertain
to procedures outlined in this section
include providing technical advice and
assistance to eligible subgrantees, and
ensuring that all potential applicants
are aware of assistance available and
submission of those documents necessary for grant award.
(c) Hazard mitigation application. Upon
identification of mitigation measures,
the State (Governor’s Authorized Representative) will submit its Hazard
Mitigation Grant Program application
to the FEMA Regional Administrator.
The application will identify one or
more mitigation measures for which
funding is requested. The application
must include a Standard Form (SF)
424, Application for Federal Assistance,
SF 424D, Assurances for Construction
Programs, if appropriate, and a narrative statement. The narrative statement will contain any pertinent
project management information not
included in the State’s administrative
plan for Hazard Mitigation. The narrative statement will also serve to
identify the specific mitigation measures for which funding is requested. Information required for each mitigation
measure shall include the following:
(1) Name of the subgrantee, if any;
(2) State or local contact for the
measure;
(3) Location of the project;
(4) Description of the measure;
(5) Cost estimate for the measure;
(6) Analysis of the measure’s cost-effectiveness and substantial risk reduction, consistent with § 206.434(c);
(7) Work schedule;
(8) Justification for selection;

§ 206.437

(9) Alternatives considered;
(10) Environmental information consistent with 44 CFR part 9, Floodplain
Management and Protection of Wetlands, and 44 CFR part 10, Environmental Considerations.
(d) Application submission time limit.
The State’s application may be amended as the State identifies and selects
local project applications to be funded.
The State must submit all local HMGP
applications and funding requests for
the purpose of identifying new projects
to the Regional Administrator within
12 months of the date of disaster declaration.
(e) Extensions. The State may request
the Regional Administrator to extend
the application time limit by 30 to 90
day increments, not to exceed a total
of 180 days. The grantee must include a
justification in its request.
(f) FEMA approval. The application
and supplement(s) will be submitted to
the FEMA Regional Administrator for
approval. FEMA has final approval authority for funding of all projects.
(g) Indian tribal grantees. Indian tribal
governments may submit a SF 424 directly to the Regional Administrator.
[67 FR 8853, Feb. 26, 2002]

§ 206.437

State administrative plan.

(a) General. The State shall develop a
plan for the administration of the Hazard Mitigation Grant Program.
(b) Minimum criteria. At a minimum,
the State administrative plan must include the items listed below:
(1) Designation of the State agency
will have responsibility for program
administration;
(2) Identification of the State Hazard
Mitigation Officer responsible for all
matters related to the Hazard Mitigation Grant Program.
(3) Determination of staffing requirements and sources of staff necessary
for administration of the program;
(4) Establishment of procedures to:
(i) Identify and notify potential applicants (subgrantees) of the availability of the program;
(ii) Ensure that potential applicants
are provided information on the application process, program eligibility and
key deadlines;
(iii) Determine applicant eligibility;

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§ 206.438

44 CFR Ch. I (10–1–14 Edition)

(iv) Conduct environmental and
floodplain management reviews;
(v) Establish priorities for selection
of mitigation projects;
(vi) Process requests for advances of
funds and reimbursement;
(vii) Monitor and evaluate the
progress and completion of the selected
projects;
(viii) Review and approve cost overruns;
(ix) Process appeals;
(x) Provide technical assistance as
required to subgrantee(s);
(xi) Comply with the administrative
and audit requirements of 44 CFR parts
13 and 206;
(xii) Provide quarterly progress reports to the Regional Administrator on
approved projects.
(xiii) Determine the percentage or
amount of pass-through funds for management costs provided under 44 CFR
part 207 that the grantee will make
available to subgrantees, and the basis,
criteria, or formula for determining
the subgrantee percentage or amount.
(c) Format. The administrative plan
is intended to be a brief but substantive plan documenting the State’s
process for the administration of the
Hazard Mitigation Grant Program and
management of the section 404 funds.
This administrative plan should become a part of the State’s overall
emergency response or operations plan
as a separate annex or chapter.
(d) Approval. The State must submit
the administrative plan to the Regional Administrator for approval. Following each major disaster declaration,
the State shall prepare any updates,
amendments, or plan revisions required
to meet current policy guidance or
changes in the administration of the
Hazard Mitigation Grant Program.
Funds shall not be awarded until the
State administrative plan is approved
by the FEMA Regional Administrator.
[55 FR 35537, Aug. 30, 1990, as amended at 55
FR 52172, Dec. 20, 1990; 72 FR 57875, Oct. 11,
2007; 74 FR 15352, Apr. 3, 2009]

§ 206.438 Project management.
(a) General. The State serving as
grantee has primary responsibility for
project management and accountability of funds as indicated in 44 CFR
part 13. The State is responsible for en-

suring that subgrantees meet all program and administrative requirements.
(b) Cost overruns. During the execution of work on an approved mitigation
measure the Governor’s Authorized
Representative may find that actual
project costs are exceeding the approved estimates. Cost overruns which
can be met without additional Federal
funds, or which can be met by offsetting cost underruns on other projects,
need not be submitted to the Regional
Administrator for approval, so long as
the full scope of work on all affected
projects can still be met. For cost overruns which exceed Federal obligated
funds and which require additional
Federal funds, the Governor’s Authorized Representative shall evaluate each
cost overrun and shall submit a request
with a recommendation to the Regional Administrator for a determination. The applicant’s justification for
additional costs and other pertinent
material shall accompany the request.
The Regional Administrator shall notify the Governor’s Authorized Representative in writing of the determination and process a supplement, if
necessary. All requests that are not
justified shall be denied by the Governor’s Authorized Representative. In
no case will the total amount obligated
to the State exceed the funding limits
set forth in § 206.432(b). Any such problems or circumstances affecting project
costs shall be identified through the
quarterly progress reports required in
paragraph (c) of this section.
(c) Progress reports. The grantee shall
submit a quarterly progress report to
FEMA indicating the status and completion date for each measure funded.
Any problems or circumstances affecting completion dates, scope of work, or
project costs which are expected to result in noncompliance with the approved grant conditions shall be described in the report.
(d) Payment of claims. The Governor’s
Authorized Representative shall make
a claim to the Regional Administrator
for reimbursement of allowable costs
for each approved measure. In submitting such claims the Governor’s Authorized Representative shall certify
that reported costs were incurred in
the performance of eligible work, that
the approved work was completed and

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