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pdfHazard
Mitigation Assistance
Unified Guidance
Hazard Mitigation Grant Program, Pre-Disaster Mitigation Program,
Flood Mitigation Assistance Program, Repetitive Flood Claims
Program, Severe Repetitive Loss Program
June 1, 2010
Federal Emergency Management Agency
Department of Homeland Security
500 C Street, S.W.
Washington, DC 20472
The following two collection activities are included in this guidance. The burden disclosure
for these activities is provided here.
Hazard Mitigation Grant Program (HMGP) Application and Reporting
OMB Control Number
1660-0076
Expiration Date
7/31/2010
Paperwork Burden Disclosure
Public reporting burden for this collection activity is estimated to average 24.5
hours per response. The burden estimate includes the time for reviewing
instructions, searching existing data sources, gathering and maintaining the
data needed, and completing and submitting the collection activity. You are
not required to respond to this collection of information unless it displays a
valid OMB control number. Send comments regarding the accuracy of the
burden estimate and any suggestions for reducing the burden to: Information
Collections Management, Department of Homeland Security, Federal
Emergency Management Agency, 500 C Street, SW, Washington, DC 20472,
Paperwork Reduction Project (1660-0076) NOTE: Do not send your
completed form to this address.
State Administrative Plan
OMB Control Number
1660-0026
Expiration Date
8/31/2010
Paperwork Burden Disclosure
Public reporting burden for this collection activity is estimated to average 8
hours per response. The burden estimate includes the time for reviewing
instructions, searching existing data sources, gathering and maintaining the
data needed, and completing and submitting the collection activity. You are
not required to respond to this collection of information unless it displays a
valid OMB control number. Send comments regarding the accuracy of the
burden estimate and any suggestions for reducing the burden to: Information
Collections Management, Department of Homeland Security, Federal
Emergency Management Agency, 500 C Street, SW, Washington, DC 20472,
Paperwork Reduction Project (1660-0026) NOTE: Do not send your
completed form to this address.
Titles of Opportunities:
Hazard Mitigation Grant Program (HMGP)
Pre-Disaster Mitigation (PDM)
Flood Mitigation Assistance (FMA)
Repetitive Flood Claims (RFC)
Severe Repetitive Loss (SRL)
Funding Opportunity Numbers:
The Catalog of Federal Domestic Assistance (CFDA) numbers for the five Hazard Mitigation
Assistance programs are:
97.039 Hazard Mitigation Grant Program (HMGP)
97.047 Pre-Disaster Mitigation (PDM)
97.029 Flood Mitigation Assistance (FMA)
97.092 Repetitive Flood Claims (RFC)
97.110 Severe Repetitive Loss (SRL)
Federal Agency Name: U.S. Department of Homeland Security (DHS) Federal Emergency
Management Agency (FEMA)
Announcement Type: Initial
Dates: Completed applications for PDM, FMA, RFC, and SRL must be submitted to FEMA no
later than 3:00:00 p.m. Eastern Time December 3, 2010.
Submittal deadlines for applications for HMGP funding are set by the date of the Presidential
major disaster declaration.
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CONTENTS
CONTENTS................................................................................................................................... ii
Part I. Funding Opportunity Description................................................................................... 1
A. Authorization and Appropriation ............................................................................................... 2
B. Additional Program Information................................................................................................ 3
B.1 Programmatic Changes .................................................................................................... 3
Part II. Award Information ......................................................................................................... 5
A. Available Funding...................................................................................................................... 5
B. Application Cycle....................................................................................................................... 6
Part III. Eligibility Information .................................................................................................. 7
A. Eligible Applicants..................................................................................................................... 7
A.1 Eligible Subapplicants...................................................................................................... 7
B. Cost Sharing ............................................................................................................................... 8
B.1 Federal Funds Allowed to Be Used as Non-Federal Cost Share...................................... 9
B.2 Increased Cost of Compliance as Non-Federal Cost Share............................................ 10
C. Restrictions............................................................................................................................... 10
C.1 Non-Discrimination Compliance ................................................................................... 10
C.2 Conflict of Interest ......................................................................................................... 10
C.3 Duplication of Programs ................................................................................................ 11
C.4 Duplication of Benefits .................................................................................................. 11
D. General Program Requirements ............................................................................................... 11
D.1 Eligible Activities .......................................................................................................... 11
D.1.1 Mitigation Projects.................................................................................................. 12
D.1.2 Hazard Mitigation Planning .................................................................................... 15
D.1.3 Management Costs.................................................................................................. 16
D.2 Ineligible Activities........................................................................................................ 16
D.3 Cost Effectiveness.......................................................................................................... 18
D.4 Feasibility and Effectiveness Requirement.................................................................... 18
D.5 Hazard Mitigation Plan Requirement ............................................................................ 19
D.5.1 Indian Tribal Government Hazard Mitigation Plan Requirement .......................... 20
D.5.2 Conformance with Hazard Mitigation Plans........................................................... 20
D.6 Environmental Planning and Historic Preservation Requirement ................................. 20
D.6.1 Floodplain Management and Protection of Wetlands............................................. 20
D.7 National Flood Insurance Program Eligibility Requirements........................................ 21
D.7.1 Special Flood Hazard Area Requirements .............................................................. 21
D.8 Statutory, Regulatory, and Other Requirements ............................................................ 22
Part IV. Application and Submission Information.................................................................. 24
A. Address to Request Application Package ................................................................................ 24
B. Content and Form of Application............................................................................................. 24
C. Submission Dates and Times ................................................................................................... 24
D. Intergovernmental Review....................................................................................................... 25
E. Funding Restrictions................................................................................................................. 25
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E.1 HMGP Funding Restrictions .......................................................................................... 25
E.2 PDM Funding Restrictions ............................................................................................. 25
E.3 FMA Funding Restrictions ............................................................................................. 26
E.4 RFC Funding Restrictions .............................................................................................. 26
E.5 SRL Funding Restrictions .............................................................................................. 26
E.6 Management Costs Funding Restrictions ....................................................................... 26
F. Other Submission Requirements .............................................................................................. 27
F.1 Application Consideration under Multiple HMA Programs........................................... 27
F.2 Pre-Award Costs ............................................................................................................. 27
G. Applicant Guidance.................................................................................................................. 28
H. Subapplication Guidance ......................................................................................................... 28
H.1 Scope of Work ............................................................................................................... 29
H.1.1 Project Scope of Work ............................................................................................ 29
H.1.2 Hazard Mitigation Planning Scope of Work........................................................... 31
H.1.3 Management Costs Scope of Work......................................................................... 32
H.2 Schedule ......................................................................................................................... 32
H.3 Cost Estimate ................................................................................................................. 32
H.3.1 Project Cost Estimate .............................................................................................. 32
H.3.2 Hazard Mitigation Planning Cost Estimate............................................................. 33
H.3.3 Management Costs Cost Estimate........................................................................... 33
H.4 Benefit-Cost Analysis Methodologies ........................................................................... 33
H.5 Engineering Feasibility and Effectiveness Documentation ........................................... 35
H.6 Environmental Planning and Historic Preservation Documentation ............................. 35
Part V. Application Review Information.................................................................................. 37
A. Review Criteria ........................................................................................................................ 37
A.1 Eligibility and Completeness Review ............................................................................ 37
A.2 Cost-Effectiveness Review ............................................................................................ 37
A.3 Engineering Feasibility and Effectiveness Review........................................................ 37
A.4 Environmental Planning and Historic Preservation Review.......................................... 37
B. Review and Selection Process.................................................................................................. 38
B.1 National Technical Review ............................................................................................ 38
B.2 Selection ......................................................................................................................... 38
B.3 Notification..................................................................................................................... 38
B.4 Reconsideration Process................................................................................................. 39
Part VI. Award Administration Information........................................................................... 40
A. Notice of Award....................................................................................................................... 40
B. Administrative and National Policy Requirements.................................................................. 40
B.1 Cost Share Documentation............................................................................................. 40
B.2 Scope of Work Modifications ........................................................................................ 40
B.3 Budget Revisions............................................................................................................ 41
B.3.1 Cost Overruns and Underruns ................................................................................. 41
B.4 Period of Performance.................................................................................................... 42
B.4.1 Extensions ............................................................................................................... 42
B.5 Requests for Advances and Reimbursements ................................................................ 42
B.6 Program Income ............................................................................................................. 43
iii
B.7 Federal Income Tax on Mitigation Project Funds.......................................................... 43
B.8 Noncompliance............................................................................................................... 43
C. Reporting Requirements........................................................................................................... 44
C.1 Federal Financial Reports............................................................................................... 44
C.2 Performance Reports ...................................................................................................... 44
C.3 Final Reports .................................................................................................................. 45
D. Closeout ................................................................................................................................... 45
D.1 Subgrant Closeout .......................................................................................................... 45
D.2 Grant Closeout ............................................................................................................... 46
D.2.1 Update of Repetitive Loss Database ....................................................................... 46
Part VII. FEMA Contacts .......................................................................................................... 48
Part VIII. Additional Program Guidance ................................................................................ 49
A. Hazard Mitigation Grant Program ........................................................................................... 49
A.1 Grantee Request for HMGP Funds ................................................................................ 49
A.2 State Administrative Plan............................................................................................... 49
A.3 Lock-in of HMGP Allocation ........................................................................................ 51
A.4 HMGP Management Costs ............................................................................................ 52
A.5 Eligible Subapplicants.................................................................................................... 53
A.6 Submission of HMGP Subapplications.......................................................................... 53
A.7 Grant Cost Share Requirements ..................................................................................... 53
A.8 Post-Disaster Code Enforcement Projects ..................................................................... 54
A.9 Phased Projects .............................................................................................................. 55
A.10 The 5% Initiative.......................................................................................................... 57
A.10.1 Availability of Additional Funds for Tornado Mitigation .................................... 58
A.11 Appeal Process ............................................................................................................. 58
B. Pre-Disaster Mitigation Program ............................................................................................. 59
B.1 Allocation ....................................................................................................................... 59
B.2 Small Impoverished Communities ................................................................................. 59
B.3 Information Dissemination............................................................................................. 59
B.4 Applicant Ranking of Subapplications........................................................................... 59
B.5 National Evaluation Process........................................................................................... 60
B.6 Selection ......................................................................................................................... 60
C. Flood Mitigation Assistance Program...................................................................................... 61
C.1 Allocations ..................................................................................................................... 61
C.2 Repetitive Loss Strategy................................................................................................. 61
C.3 Eligible Properties .......................................................................................................... 61
C.4 Selection ......................................................................................................................... 61
D. Repetitive Flood Claims Program............................................................................................ 62
D.1 Eligible Properties.......................................................................................................... 62
D.2 Increased Federal Share of Costs ................................................................................... 62
D.3 Selection......................................................................................................................... 62
E. Severe Repetitive Loss Program .............................................................................................. 63
E.1 Eligible Properties .......................................................................................................... 63
E.2 Distribution of Funds and Selection ............................................................................... 63
E.2.1 Redistribution of Funds ........................................................................................... 64
iv
E.3 Repetitive Loss Strategy................................................................................................. 64
E.4 Increased Cost of Compliance as Non-Federal Cost Share............................................ 64
E.5 Additional Subapplicant Considerations ........................................................................ 65
E.6 Subapplication Development.......................................................................................... 65
E.7 SRL Consultation Process .............................................................................................. 65
E.7.1 Subapplicant Preparation for Consulting................................................................. 66
E.7.2 Subapplicant Consultation with the Property Owner .............................................. 66
E.7.3 Possible Outcomes of the Consultation Process...................................................... 67
E.8 Mitigation Offer Process ................................................................................................ 67
E.8.1 Subgrantee Responsibilities during the Mitigation Offer Process .......................... 68
E.8.2 Possible Outcomes of the Mitigation Offer Process................................................ 68
E.8.3 Change In Ownership Subsequent to Mitigation Offer........................................... 69
E.9 Increased Insurance Premiums and Subsequent Claims Payments ................................ 69
E.9.1 Implementation of Insurance Premium Rate Increases ........................................... 69
E.9.2 Underwriting Data Requirement ............................................................................. 70
E.10 Appealing an Insurance Premium Rate Increase.......................................................... 70
E.10.1 Six Grounds for Appeal......................................................................................... 70
E.10.2 Request for Appeal ................................................................................................ 71
E.10.3 Initial FEMA Review of Appeal ........................................................................... 71
E.10.4 Appeal to Independent Third Party ....................................................................... 71
Part IX. Additional Project Guidance ...................................................................................... 74
A. Property Acquisition and Structure Demolition or Relocation for Open Space ...................... 74
A.1 Overview ........................................................................................................................ 74
A.2 Eligible Activities .......................................................................................................... 74
A.3 Open Space Restrictions ................................................................................................ 75
A.4 Application Information................................................................................................. 76
A.4.1 Project Scope of Work ............................................................................................ 76
A.4.2 Assurances .............................................................................................................. 77
A.4.3 Deed Restriction Language..................................................................................... 77
A.4.4 Individual Property Documentation........................................................................ 77
A.4.4.1 Documentation of Voluntary Interest .............................................................. 77
A.4.4.2 Certification of Owner Status for Pre-event Value.......................................... 78
A.4.5 Consultation Regarding Other Ongoing Federal Activities.................................... 78
A.4.5.1 U.S. Army Corps of Engineers ........................................................................ 78
A.4.5.2 Department of Transportation.......................................................................... 79
A.4.5.3 Other Federal Agencies.................................................................................... 79
A.4.6 Consultation Regarding Properties Located within the CBRS or OPAs ................ 80
A.5 Allowable Costs ............................................................................................................. 80
A.6 Property-Related Costs that Are Not Allowable............................................................ 82
A.7 Relocation and Removal of Existing Buildings ............................................................. 82
A.8 Hazardous Materials ...................................................................................................... 83
A.9 Clear Title ...................................................................................................................... 84
A.10 Statement of Voluntary Participation........................................................................... 85
A.11 Final Mitigation Offer .................................................................................................. 85
A.11.1 Purchase Offer: Value of the Property.................................................................. 86
A.11.2 Valuation Methodologies...................................................................................... 86
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A.11.3 Purchase Offer and Nationality............................................................................. 87
A.11.4 Deductions from Purchase Offer........................................................................... 88
A.11.5 Additions to Purchase Offer.................................................................................. 89
A.12 Tenants ......................................................................................................................... 89
A.12.1 Rental Payments.................................................................................................... 91
A.12.2 Homepad Tenants ................................................................................................. 91
A.12.3 Homepad Rental Assistance.................................................................................. 92
A.12.4 Tenant Businesses ................................................................................................. 92
A.13 Property Acquisition Closeout ..................................................................................... 92
A.14 Future Federal Benefits ................................................................................................ 93
A.15 Open Space Land Use Requirements........................................................................... 93
A.16 Subsequent Transfer of a Property Interest.................................................................. 96
A.17 Monitoring, Reporting, and Inspection ........................................................................ 96
B. Wildfire Mitigation .................................................................................................................. 98
B.1 Eligible Activities........................................................................................................... 98
B.2 Duplication of Programs ................................................................................................ 99
B.3 Eligible Wildfire Activities ............................................................................................ 99
B.3.1 Defensible Space Activities .................................................................................... 99
B.3.2 Structural Protection through Ignition-Resistant Construction Activities .............. 99
B.3.3 Hazardous Fuels Reduction Activities .................................................................. 100
B.4 Ineligible Wildfire Activities ....................................................................................... 101
B.5 Operations and Maintenance Plan................................................................................ 102
C. Hazard Mitigation Assistance for Safe Rooms ...................................................................... 103
C.1 General ......................................................................................................................... 103
C.2 Overview ...................................................................................................................... 103
C.3 Eligibility Parameters ................................................................................................... 104
C.4 Implementation Guidance ............................................................................................ 105
C.4.1 Population Protected ............................................................................................. 106
C.4.1.1 Population at Risk from Hurricanes............................................................... 108
C.4.1.2 Population at Risk from Tornadoes................................................................ 110
C.4.1.3 Population at Risk from Both Hurricanes and Tornadoes ............................. 112
C.4.2 Eligible Costs ........................................................................................................ 112
C.4.3 Operations and Maintenance Plans ....................................................................... 120
C.4.3.1 Descriptive Statement of O&M Plans............................................................ 121
C.4.3.2 Draft O&M Plans ........................................................................................... 121
C.4.3.3 Final O&M Plans ........................................................................................... 123
C.4.4 Cost Effectiveness for Safe Rooms....................................................................... 124
C.4.5 Summary of Grant Application Requirements...................................................... 125
D. Mitigation Reconstruction Projects........................................................................................ 127
D.1 Additional Project Eligibility Requirements................................................................ 127
D.2 Eligible Mitigation Reconstruction Costs .................................................................... 127
D.2.1 Eligible Demolition/Removal Activities............................................................... 129
D.2.2 Ineligible Mitigation Reconstruction Costs .......................................................... 130
D.3 Additional Information about the Feasibility and Effectiveness Requirement............ 130
D.4 Mitigation Reconstruction Project Scoping ................................................................. 130
D.4.1 Design Parameters................................................................................................. 131
vi
D.4.2 Meeting Codes and Standards............................................................................... 132
D.4.3 Pre-Construction ................................................................................................... 133
D.4.4 Site Preparation ..................................................................................................... 134
D.4.5 Foundation Construction....................................................................................... 134
D.4.6 Structural Shell Construction ................................................................................ 134
D.4.7 Interior Finishes .................................................................................................... 135
D.4.8 Construction Completion ...................................................................................... 135
D.5 Cost Estimate ............................................................................................................... 135
D.6 Plan Review and Inspections ....................................................................................... 136
D.7 Builder Certification .................................................................................................... 137
D.8 Certificate of Occupancy ............................................................................................. 137
D.9 Mitigation Reconstruction Closeout ............................................................................ 138
E. Structure Elevation ................................................................................................................. 139
E.1 Overview ...................................................................................................................... 139
E.1.1 Eligible Design Standards ..................................................................................... 139
E.2 Elevation Methods........................................................................................................ 140
E.3 Eligible Structure Elevation Costs................................................................................ 141
E.3.1 Eligible Costs......................................................................................................... 141
E.3.2 Ineligible Costs...................................................................................................... 142
E.4 Additional Application Requirements .......................................................................... 142
E.5 Survey and Inspection Considerations ......................................................................... 143
E.6 Closeout ........................................................................................................................ 144
PART X. Appendices ................................................................................................................ 146
A. Acronyms ............................................................................................................................... 146
B. Glossary.................................................................................................................................. 149
C. Additional Resources ............................................................................................................. 154
D. Referenced Regulations, Statutes, Directives, and Guidance ................................................ 158
List of Tables
Table 1: Historic HMA Funding..................................................................................................... 5
Table 2: Eligible Subapplicants ...................................................................................................... 7
Table 3: Cost Share Requirements.................................................................................................. 9
Table 4: Eligible Activities by Program ....................................................................................... 12
Table 5: FEMA Regions ............................................................................................................... 48
Table 6: Eligible and Ineligible Components of Residential and Community Safe Rooms....... 114
Table 7: Example Eligible Costs by Safe Room Type ............................................................... 119
Table 8: Eligible Mitigation Reconstruction Activities .............................................................. 128
List of Figures
Figure 1: Inspections and Surveys .............................................................................................. 144
vii
PART I. FUNDING OPPORTUNITY
DESCRIPTION
Part I of the Hazard Mitigation Assistance (HMA) Unified Guidance introduces the five 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.
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. As such, States, Territories, Indian Tribal governments, and communities
are encouraged to take advantage of funding provided by HMA programs in both the pre- and
post-disaster timeframes.
Together, these programs provide significant opportunities to reduce or eliminate potential losses
to State, Tribal, 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) may provide 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), Flood Mitigation
Assistance (FMA), Repetitive Flood Claims (RFC), and Severe Repetitive Loss Pilot (SRL)
programs may provide funds annually to States, Territories, Indian Tribal governments, and local
governments. While the statutory origins of the programs differ, all 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 June 1, 2010.
In addition, this guidance is applicable to the Fiscal Year 2011 (FY11) cycle of the PDM, FMA,
RFC, and SRL programs. The guidance in this document is subject to change based on new laws
or regulations enacted after June 1, 2010.
The “Applicant” for HMA programs is the State, Territory, or Indian Tribal government
applying to FEMA. The Applicant is responsible for soliciting subapplications from eligible
subapplicants, assisting in the preparation of them, and submitting them 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 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 the 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
Part I. Funding Opportunity Description
1
“subgrantee” and is responsible for managing the subgrant and complying with program
requirements and other applicable Federal, State, Territorial, Tribal, and local laws and
regulations. An Indian Tribal government may participate as either the Applicant/Grantee or the
subapplicant/subgrantee (see Part III 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) Section 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, United States 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. The
amount of HMGP funding available to the Applicant is based upon the estimated total Federal
assistance to be provided by FEMA for disaster recovery under the Presidential major disaster
declaration.
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 from 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 RFC program is authorized by Section 1323 of the NFIA, 42 U.S.C. 4030, with the goal of
reducing flood damages to individual properties for which one or more claim payments for losses
have been made under flood insurance coverage and that will result in the greatest savings to the
National Flood Insurance Fund (NFIF) in the shortest period of time.
The SRL program is authorized by Section 1361A of the NFIA, 42 U.S.C. 4102a, with the goal
of reducing flood damages to residential properties that have experienced severe repetitive losses
under flood insurance coverage and that will result in the greatest savings to the NFIF in the
shortest period of time.
The NFIF provides the funding for FMA, RFC, and SRL programs. The PDM, FMA, RFC, and
SRL programs are subject to the availability of appropriation funding, as well as any programspecific directive or restriction made with respect to such funds. Furthermore, availability of the
PDM and SRL programs is subject to anticipated reauthorization of the programs beyond
September 30, 2010.
More information about each program can be found on the FEMA HMA Web site at
www.fema.gov/government/grant/hma/index.shtm.
Part I. Funding Opportunity Description
2
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 assistance for
Federal, State, Tribal, and local officials on how to apply for HMA funding for a proposed
mitigation activity.
The organization of this 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:
Common program elements are presented in Parts I through VII:
Part I, Funding Opportunity Description, introduces the HMA programs;
Part II, Award Information, provides information about available funding and
application deadlines;
Part III, Eligibility Information, provides information about eligible Applicants and
subapplicants, cost sharing requirements, and other program requirements;
Part IV, Application and Submission Information, provides information regarding
application development including funding restrictions;
Part V, Application Review Information, summarizes the FEMA review and selection
process;
Part VI, Award Administration Information, highlights grants management
requirements from the time an award is made through closeout; and
Part VII, FEMA Contacts, provides Regional and State contact information.
Additional guidance for a specific program or project type is provided in Parts VIII and
IX:
Part VIII, Additional Program Guidance, provides information that is unique to each
program; and
Part IX, Additional Project Guidance, provides information specific to property
acquisition and structure demolition or relocation, wildfire mitigation, safe room
construction, mitigation reconstruction, and structure elevation projects.
Part X, Appendices, includes acronyms, a glossary, additional resources, and referenced
regulations and statutes.
B.1 Programmatic Changes
While many of the specific requirements of each program remain the same, significant revisions
to programmatic requirements included in this guidance are:
Incorporated changes resulting from the Final Rule published on September 16, 2009.
This rule amended 44 CFR, Part 201 Mitigation Planning, Part 80 Property Acquisition
and Relocation for Open Space, Part 79 Flood Mitigation Grants, and Section 206.432
Part I. Funding Opportunity Description
3
Federal Disaster Assistance, Subpart N – Hazard Mitigation Grant Program, Federal Grant
Assistance;
A series of on-line tools were developed to assist in application and project development.
Web links are noted throughout the document;
For PDM, FMA, RFC, and SRL, awards will be processed through FEMA’s Payment
and Reporting System (PARS);
For PDM, FMA, RFC, and SRL, upon the award or final approval of the first subgrant,
Applicants will receive 25 percent of their anticipated management costs (Part III D.1.3);
For SRL, the Greatest Savings to the Fund (GSTF) data and methodology may be used to
demonstrate cost effectiveness of mitigation projects submitted to SRL (Part IV H.4);
The pilot program for the Alternative Determination of Cost-Effectiveness for Eligible
Insured Repetitive Loss Properties is no longer available for conducting a Benefit-Cost
Analysis (BCA) (Part IV H.4);
Applicants/Grantees may be responsible for the costs of certain Environmental Planning
and Historic Preservation (EHP) activities (Part IV H.6);
Standard Form (SF)-269, SF-269A, SF-272, and SF-272A have been replaced by SF-425,
Federal Financial Report (Part VI C.1);
The Repetitive Loss internet-based Simple and Quick Access Network has been replaced
by Data Exchange, the Repetitive Loss Database (Part VI D.2.1);
The SRL-specific section has been streamlined and redundancies have been reduced (Part
VIII E);
For SRL, Increased Cost of Compliance (ICC) benefits are now available to severe
repetitive loss structures mitigated with SRL funds, regardless of whether recent flood
damage has occurred (Part VIII E.4);
For PDM, FMA, RFC, and SRL, property acquisition and structure demolition or
relocation projects for open space are now eligible within a Coastal Barrier Resources
System (CBRS) Unit or Otherwise Protected Area (OPA) with some limitations (Part IX
A.2);
Mitigation reconstruction projects cannot be combined with other activity types within the
same project subapplication (Part IX D); and
Structure elevation project-specific guidance has been developed and is included in Part
IX E.
Part I. Funding Opportunity Description
4
PART II. AWARD INFORMATION
Part II provides information about available funding and application deadlines.
A. Available Funding
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.
Table 1 summarizes the HMA funds that have been available in recent years.
Table 1: Historic HMA Funding
FY
HMGP*
PDM
FMA
RFC
SRL
FY10
$23,361,517
$100,000,000
$40,000,000
$10,000,000
$70,000,000
FY09
$359,034,202
$90,000,000
$35,700,000
$10,000,000
$80,000,000
FY08
$1,246,236,812
$114,000,000
$34,000,000
$10,000,000
$80,000,000
FY07
$315,730,830
$100,000,000
$31,000,000
$10,000,000
$40,000,000
FY06
$232,227,932
$50,000,000
$28,000,000
$10,000,000
$40,000,000
* HMGP funding amounts as of May 3, 2010. Funding amounts fluctuate based on the number and severity of declared disasters,
as well as the applicable percentage of other assistance that is the basis for HMGP amounts (the current percentage has been in
effect since October 2006).
HMGP funding is allocated 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 FEMA-approved 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
7.5 percent for the next portion of the estimated aggregate amount more than $10 billion
and up to $35.333 billion.
Applicants with a FEMA-approved State or 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.
For additional information about available funding for HMGP, see Part VIII A.3; for PDM, see
Part VIII B.1; for FMA, see Part VIII C.1; for SRL, see Part VIII E.2.
Part II. Award Information
5
B. Application Cycle
The PDM, FMA, RFC, and SRL application period opens on June 1, 2010. FEMA will review
all grant applications that are submitted through the Electronic Grants (eGrants) system by
December 3, 2010, at 3:00:00 p.m. Eastern Time.
The timelines below are specific for applications received by December 3, 2010, for PDM,
FMA, RFC, and SRL:
Guidance Release – June 1, 2010;
Application Period – June 1, 2010, to December 3, 2010;
FEMA Eligibility and Completeness Review – December 3, 2010, to January 2011;
National Evaluation and National Technical Review – January 2011 to March 2011; and
Identification for Further Review – March 2011.
The HMGP application deadline is associated with each specific Presidential major disaster
declaration date and is not part of the annual application period. For additional information, see
Part VIII A.6.
Part II. Award Information
6
PART III. ELIGIBILITY INFORMATION
Part III 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- and project-specific requirements are found in Parts VIII and IX of this guidance. In
order 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 FEMA. 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 III D.5.1.
A.1 Eligible Subapplicants
All interested subapplicants must apply to the Applicant. Table 2 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 and SRL. For HMGP and PDM, see
44 CFR Section 206.2(16) for a definition of local governments.
Table 2: Eligible Subapplicants
Entity
HMGP
PDM
FMA
RFC
SRL
State agencies
√
√
√
√
√
Indian Tribal governments
√
√
√
√
√
Local governments/communities
√
√
√
√
√
Private non-profit organizations (PNPs)
√
Individuals and businesses are not eligible to apply for HMA funds; however, an eligible
Applicant or subapplicant may apply for funding to mitigate private structures. For additional
information about the eligibility of PNPs for HMGP, see Part VIII A.5.
Part III. Eligibility Information
7
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 shares must be 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 or materials, or
any combination thereof, may be accepted as part of the non-Federal cost share. For FMA, no
more than half of the non-Federal contribution may be from third party in-kind contributions.
FEMA administers cost-sharing requirements consistent with 44 CFR Section 13.24 and 2 CFR
Section 215.23. To meet matching 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 3) are:
PDM – Small impoverished communities may be eligible for up to a 90-percent Federal
cost share. For information about small impoverished communities, see Part VIII B.2.
RFC – FEMA may contribute up to 100-percent Federal funding to implement activities
for subapplicants meeting the requirements for increased Federal share of costs. For
information about the requirements, see Part VIII D.2.
FMA and SRL – Up to 90-percent Federal cost share is available for the mitigation of
severe repetitive loss properties for any Applicant that has a Repetitive Loss Strategy in
its approved State or Tribal (Standard or Enhanced) Mitigation Plan and has taken actions
to reduce the number of repetitive loss properties. For information about the Repetitive
Loss Strategy, see Parts VIII C.2 and E.3.
Insular areas including American Samoa, Guam, the Northern Mariana Islands,
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 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.
Federal cost share funding restrictions – In some cases, the non-Federal share may
exceed 25 percent because of funding restrictions on the Federal contribution. See Part
IV E for additional details on funding restrictions.
Cost share requirements also extend to management costs with the following exceptions:
For HMGP, there is no additional cost share requirement for management costs because
available HMGP management costs are calculated as a percentage of the Federal funds
provided.
Under PDM, 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.
Part III. Eligibility Information
8
See Part VIII A.7 for further information about HMGP cost share requirements and Part IV E.6
for further information on funding restrictions for management costs.
Table 3: Cost Share Requirements
Mitigation Activity
Programs
(Percent of Federal/NonFederal Share)
Management Costs
(Percent of Federal/NonFederal Share)
Grantee
Subgrantee
HMGP
75/25
100/0*
-/-**
PDM
75/25
75/25
75/25
PDM – subgrantee is small
impoverished community
90/10
75/25
90/10
PDM – Tribal Grantee is small
impoverished community
90/10
90/10
90/10
FMA
75/25
75/25
75/25
FMA – severe repetitive loss
property with Repetitive Loss
Strategy
90/10
90/10
90/10
RFC
100/0
100/0
100/0
SRL
75/25
75/25
75/25
SRL – with Repetitive Loss Strategy
90/10
90/10
90/10
*Because available HMGP management costs are calculated as a percentage of the Federal funds
provided, the non-Federal share is already accounted for.
**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.
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. In addition, Federal funds may not be used to sue the Federal
government or any other government entity.
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. Examples of Federal funds that generally can be used as a
non-Federal cost share are:
U.S. Department of Housing and Urban Development (HUD) Community Development
Block Grant (CDBG) funds;
Department of the Interior Bureau of Indian Affairs funds;
Appalachian Regional Commission funds;
Part III. Eligibility Information
9
Funds derived from Title III of the Secure Rural Schools and Community SelfDetermination Act of 2000; and
Department of Health and Human Services Indian Health Service funds.
Federal loan payments, such as U.S. Department of Agriculture (USDA) Farm Service Agency
loans and U.S. Small Business Administration (SBA) loans, may be used as non-Federal cost
share.
B.2 Increased Cost of Compliance as Non-Federal Cost Share
The NFIP 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 timeframes 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 project 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/business/nfip/iccdmw.shtm.
For SRL only, there are additional ICC payment considerations. For more information see Part
VIII E.4.
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.
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
Part III. Eligibility Information
10
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 (EPA), U.S. Army
Corps of Engineers (USACE), and the Natural Resources Conservation Service. FEMA may
disallow or recoup amounts that duplicate other authorities.
For additional information about duplication of programs (DOP) for wildfire mitigation projects,
see Part IX B.2.
C.4 Duplication of Benefits
HMA funds cannot duplicate or be duplicated by funds received by or available to Applicants,
subapplicants, or project or planning participants from other sources for the same purpose, such
as benefits received from 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 or could be subject of litigation. FEMA will treat
benefits that are reasonably available as a duplication of benefits (DOB), even if the benefits
were not sought or received. Individuals or entities must notify the Grantee and FEMA of all
benefits that they receive or anticipate from other sources for the same purpose, and must seek
all such benefits available to them. The total amount of eligible costs will be reduced by the
amount of available benefits prior to calculating the required cost share. The cost share is based
on the total eligible costs after DOB deductions have been made. Duplications can occur at any
time and FEMA must be reimbursed for benefits identified or received after an award.
For additional information on DOB for property acquisition and structure demolition or
relocation projects, see Part IX A.11.4.
D. General Program Requirements
D.1 Eligible Activities
In order 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 (HMGP, PDM, and FMA programs); and
Management costs (all HMA programs).
Table 4 summarizes eligible activities that may be funded by the HMA programs. Detailed
descriptions of these activities follow the table in Part III, D.1.1, D.1.2, and D.1.3.
Part III. Eligibility Information
11
Eligible Activities
HMGP
PDM
FMA
RFC
SRL
Table 4: Eligible Activities by Program
1. Mitigation Projects
Property Acquisition and Structure Demolition
Property Acquisition and Structure Relocation
Structure Elevation
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
Infrastructure Retrofit
Soil Stabilization
Wildfire Mitigation
Post-Disaster Code Enforcement
5% Initiative Projects
2. Hazard Mitigation Planning
3. Management Costs
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
Additional information regarding eligible projects for HMGP is included in Part VIII A.8 and
A.9; for FMA, see Part VIII C.3; for RFC, see Part VIII D.1; and for SRL, see Part VIII E.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.
The following activities are not eligible as stand-alone activities but are eligible only when
included as a functional component of eligible mitigation activities:
For HMGP and PDM, permanently installed 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 project (the 5% Initiative allows for the stand-alone
purchase of permanently installed generators);
Real property or easements purchases required for the completion of an eligible
mitigation project. For safe room projects, no real property or easement purchase is
eligible; and
Studies that are integral to the development and implementation of a mitigation project,
including hydrologic and hydraulic, engineering, or drainage studies.
D.1.1 Mitigation Projects
This section briefly describes the mitigation projects eligible under one or more of the five HMA
programs. Table 4 summarizes the eligibility of the following project types for each program:
Part III. Eligibility Information
12
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
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 Part IX 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 Part IX A.
Structure Elevation – Physically raising an existing structure to the Base Flood
Elevation (BFE) or higher if required by FEMA or local ordinance. Structure 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 Part IX 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. Such activities are only eligible under SRL.
Mitigation reconstruction projects cannot be combined with other activity types within
the same project subapplication. To ensure the subapplication scope, schedule, and
budget adhere to programmatic requirements, a mixture of activity types other than
mitigation reconstruction within the subapplication is not permitted. Applicants must
indicate within the mitigation activity section of their subapplication why they are
electing to utilize mitigation reconstruction, and have not chosen the other available
activity types. For additional information about mitigation reconstruction projects, see
Part IX D.
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.
Part III. Eligibility Information
13
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—
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).
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.
For RFC and SRL, at least 50 percent of the structures directly benefiting from this
mitigation activity must be NFIP-insured. In addition, these projects must primarily
benefit RFC or SRL structures, respectively. Documentation must be provided in the
subapplication to satisfy this requirement.
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 in order 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 heating and
ventilation systems.
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 multi-use facilities. For additional
information, see Part IX C.
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 geo-textiles, 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.
Part III. Eligibility Information
14
Wildfire Mitigation – Projects to mitigate the risk to at-risk structures and associated
loss of life from the threat of future wildfire through:
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 Part IX B.3.1.
Application of Ignition-resistant Construction – Projects that apply ignitionresistant techniques and/or non-combustible materials on new and existing homes,
structures, and critical facilities. For additional information, see Part IX B.3.2.
Hazardous Fuels Reduction – Projects that remove vegetative fuels proximate to the
at-risk structure that, if ignited, pose significant threat to human life and property,
especially critical facilities. For additional information, see Part IX 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 utilized and
enforced. For additional information, see Part VIII A.8.
5% Initiative Projects – These projects provide an opportunity to fund mitigation
actions that are consistent with the goals and objectives of the State or 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 BCA to prove cost effectiveness. For
additional information, see Part VIII A.10.
Note: The requirements of Part IX A of this guidance and of 44 CFR Part 80 govern only real
property acquisition for open space purposes, and do not apply to real property acquisition
associated with other mitigation projects. Unlike acquisition for open space purposes, acquisition
associated with the construction of a mitigation project may involve the local jurisdiction’s use
of its power of eminent domain to take certain, limited property interests necessary to construct
the project. Prior to applying for such projects Applicants and subapplicants must consult with
FEMA for further direction because different requirements and procedures will apply.
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 decisionmakers as they commit resources.
The mitigation planning process includes hazard identification and risk assessment leading to the
development of a comprehensive mitigation strategy for reducing risks to life and property. The
mitigation 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.
Planning activities funded under HMA are designed to develop State, 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 prior to the end of the Period of Performance (POP).
Part III. Eligibility Information
15
For FMA, funds shall only be used to support the flood hazard portion of State, 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.1.3 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
engineering feasibility, 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 a link to more geocoding information, see Part X C.3. For more information
regarding management costs for HMGP, see Part VIII A.4. For PDM, FMA, RFC, and SRL,
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.
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 another phase of a project(s) 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 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;
Part III. Eligibility Information
16
Projects for preparedness activities or temporary measures (e.g., sandbags, bladders,
geotubes, or portable generators);
Projects constructing new buildings or facilities, with the exception of safe room
construction and mitigation reconstruction;
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;
All projects located in a CBRS Unit or in OPAs, other than property acquisition and
structure demolition or relocation projects for open space under PDM, FMA, RFC, and
SRL. For details on property acquisition and structure demolition or relocation projects
for open space within a CBRS Unit or OPAs see Part IX 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;
Retrofitting facilities primarily used for religious purposes, such as places of worship (or
other projects that solely benefit religious organizations). A place of worship may,
however, 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 man-made 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 (trees, shrubs, etc);
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;
Address ecological or agricultural issues;
Protection of the environment and/or watersheds;
Forest management;
Part III. Eligibility Information
17
Prescribed burning or clear-cutting;
Creation and maintenance of fire breaks, access roads, or staging areas; and
Irrigation systems;
Mapping, flood studies, and planning activities, such as plan revisions/amendments or
risk assessments, when they do not result in a FEMA-approved mitigation plan;
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 Part IX.
D.3 Cost Effectiveness
Mitigation projects must be cost effective to be eligible for HMA funding as demonstrated by a
FEMA-validated BCA. A BCA evaluates the future benefits (projected losses avoided) of the
project in relation to the project costs. This evaluation results in a Benefit-Cost Ratio (BCR). If
the future benefits are equal to or greater than the cost, then the BCR is equal to or greater than
1.0 and a proposed activity is considered cost effective. If the benefits are less than the cost, then
the BCR is less than 1.0 and the proposed activity is not considered cost effective. Only project
subapplications with a BCR of 1.0 or greater will be considered for HMA funding. For purposes
of performing the BCA, the total cost must include annual maintenance costs for the proposed
mitigation activity even though maintenance costs are not eligible project costs.
For HMGP only, an expedited cost-effectiveness determination is available for property
acquisition and structure demolition or relocation projects when certain conditions are met. For
structures identified in a riverine SFHA on the current effective Flood Insurance Rate Map
(FIRM) and declared substantially damaged due to the impacts of flooding by a local authority
having such jurisdiction, property acquisition and structure demolition or relocation is considered
cost effective and a BCA is not required to be submitted for the structure.
For 5% Initiative subapplications for HMGP funding, a narrative description of the project’s cost
effectiveness must be provided in lieu of a BCA. For more information on the 5% Initiative, see
Part VIII A.10.
FEMA BCA procedures are governed by Office of Management and Budget (OMB) Circular A94, Guidelines and Discount Rates for Benefit-Cost Analysis of Federal Programs. For
additional BCA resources, see Part X C.4.
D.4 Feasibility and Effectiveness Requirement
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.
Part III. Eligibility Information
18
For additional information about the feasibility and effectiveness requirement for mitigation
reconstruction projects, see Part IX 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 PDM, FMA, RFC, or SRL 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 Tribal (Standard or Enhanced) Mitigation Plan. In addition, all
subapplicants for PDM, FMA, and SRL mitigation projects must have a FEMA-approved local
or Tribal mitigation plan by the application deadline and at the time of obligation of grant funds.
The RFC program does not currently have a requirement for a local or Tribal mitigation plan.
There is no local or Tribal mitigation plan requirement for any HMA program for a planning
subgrant.
Applicants for HMGP funding must have a FEMA-approved State or Tribal (Standard or
Enhanced) Mitigation Plan at the time of the disaster declaration and at the time HMGP funding
is obligated to the Grantee in order to receive an HMGP award. States without an approved plan
at the time of the declaration have 30 calendar days from the date of the declaration to formally
submit an approvable State (Standard or Enhanced) Mitigation Plan for FEMA review and
approval. Indian Tribal governments acting as Grantees without an approved plan at the time of
the declaration have 30 calendar days from the date of signing the FEMA-Tribal Agreement to
formally submit an approvable Tribal (Standard or Enhanced) Mitigation Plan for FEMA review
and approval.
HMGP subapplicants for mitigation projects must have a FEMA-approved local or Tribal
mitigation plan at the time of obligation of funds. For HMGP, FEMA may grant an exception to
the local or Tribal mitigation plan requirement in extraordinary circumstances, when justification
is provided. If this exception is granted, a local or Tribal mitigation plan must be approved by
FEMA within 12 months of the award or final approval of the project subgrant to that
community. 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 Tribal (Standard or Enhanced) Mitigation Plan, that the project is an essential
component of the community’s recovery, and that the jurisdiction meets at least one of the
following criteria:
Meets the small impoverished community criteria (see Part VIII B.2);
Has been determined to have had insufficient capacity prior to the current disaster;
Has been considered to be at low risk from hazards; or
Has experienced significant disruption from the declared incident that impacts their
ability to complete the planning process prior to award or final approval of a project
grant.
In determining whether to grant the exception, FEMA takes into consideration factors including
whether an Applicant has prioritized its authorized HMGP project assistance for use in those
communities with an approved local or Tribal mitigation plan, whether there are additional
project funds available for award to a jurisdiction that does not have an approved local or Tribal
Part III. Eligibility Information
19
mitigation plan, and whether an Applicant has placed higher priority for grant funding on
communities with higher risks. In all cases, a local or Tribal mitigation plan must be completed
and approved by FEMA within 12 months of the award or final approval of the project subgrant
to that subgrantee. If a local or Tribal mitigation plan is not provided to FEMA and approved
within this timeframe, the project subgrant will be terminated and any costs incurred after the
notice of the subgrant’s termination will not be reimbursed by FEMA. For additional
information, contact the appropriate FEMA Regional Office.
D.5.1 Indian Tribal Government Hazard Mitigation Plan Requirement
Indian Tribal governments with an approved 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 Tribal Mitigation Plan in accordance with 44 CFR 201.7
coordinated the review of their 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 Tribal (Standard or Enhanced)
Mitigation Plan and local or Tribal mitigation plan for the jurisdiction in which the activity is
located.
D.6 Environmental Planning and Historic Preservation Requirement
HMA programs must conform to 44 CFR Parts 9 and 10, and with all applicable EHP laws,
implementing regulations, and Executive Orders (EOs), such as the National Environmental
Policy Act (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.
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
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, an eLearning Tool, online training, and information about historic preservation.
For links to these EHP resources, see Part X C.6.
D.6.1 Floodplain Management and Protection of Wetlands
As noted in Part III D.6, all activities funded by HMA programs must conform to 44 CFR Part 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.
Part III. Eligibility Information
20
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, RFC, or SRL 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 NFIPparticipating 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, RFC, or
SRL funding must be NFIP-insured at the time of the application submittal. Flood
insurance must be maintained at least through completion of the mitigation activity.
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. 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 the participating property owner(s) to 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
Part III. Eligibility Information
21
available on the FEMA Web site at: http://www.fema.gov/government/grant/resources/preaward.shtm, or from the appropriate FEMA Regional Office (for Regional Office information,
see Part VII). 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 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) and 404 (HMGP) of the Stafford Act;
Sections 1323 (RFC), 1361A (SRL), 1366 (FMA) of the NFIA;
National Flood Insurance Reform Act of 1994;
Bunning-Bereuter-Blumenauer Flood Insurance Reform Act of 2004;
Section 322 of the Stafford Act (Mitigation Planning);
Section 324 of the Stafford Act (Management Costs);
National Historic Preservation Act;
National Environmental Policy Act;
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);
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);
Part III. Eligibility Information
22
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 Circulars A-94 and 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.
Part III. Eligibility Information
23
PART IV. APPLICATION AND SUBMISSION
INFORMATION
Part IV 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.7.
Applications for PDM, FMA, RFC, and SRL 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.
Online help is available for the eGrants system and FEMA has established an eGrants Helpdesk
with standard hours of operation from 8 a.m. to 7 p.m. Eastern Time, Monday through Friday.
For additional eGrants resources, see Part X C.7.
For more information about using NEMIS or eGrants, contact the appropriate FEMA Regional
Office (see Part VII).
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 in priority order. 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 PDM, FMA, RFC, and SRL 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.
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 VIII A.1 and A.6.
Completed applications for PDM, FMA, RFC, and SRL must be submitted to FEMA through
eGrants no later than 3:00:00 p.m. Eastern Time, December 3, 2010. Late applications will not
Part IV. Application and Submission Information
24
be reviewed or considered for funding for this application cycle. 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 VII.
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. 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 Point of
Contact as listed by OMB, is available at: http://www.whitehouse.gov/omb/grants/spoc.html.
E. Funding Restrictions
HMA programs allow the funding of eligible costs for mitigation activities as outlined in Part III
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%
Initiative).
For Presidential major disaster declarations due to 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% Initiative and the additional 5 percent for tornadoes, see Part
VIII A.10.
E.2 PDM 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 $400,000 Federal share may be requested in a subapplication for a planning grant
to update a hazard mitigation plan.
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.
Part IV. Application and Submission Information
25
E.3 FMA Funding Restrictions
The total amount of FMA funds provided during any 5-year period shall not exceed $10
million to any State agency or $3.3 million to any community.
The total amount of FMA funds provided to any State, including all communities located
in the State, shall not exceed $20 million during any 5-year period.
FEMA may waive the above limits when a major flood-related disaster or emergency is declared
pursuant to the Stafford Act.
Individual planning grants using FMA funds shall not exceed $150,000 to any Applicant
or $50,000 to any subapplicant. FMA funds only can be used for the flood hazard
component of a hazard mitigation plan that meets the planning criteria outlined in 44
CFR Part 201.
The total planning grant using FMA funds made in any fiscal year to any State and the
communities located within the State shall not exceed $300,000.
No more than 7.5 percent of FMA funds shall be used for planning in any fiscal year.
A planning grant shall not be awarded to a State or community more than once every 5
years.
For more information on FMA funding restrictions, see 44 CFR Section 79.4(a)(2).
E.4 RFC Funding Restrictions
Funding for minor localized flood reduction projects is restricted to a maximum of $1
million.
E.5 SRL Funding Restrictions
Eligible costs for mitigation reconstruction projects funded under SRL are limited to
$150,000 Federal share per property (excluding administrative allowances and permitting
fees). In some cases, the percentage of non-Federal funds may exceed 25 percent in order
to cover total project costs. For additional information, see Part IX D.2.
E.6 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. However, the total management cost request
in an application or subapplication cannot exceed the applicable HMA limits. HMA management
cost limits cannot be increased to coincide with a higher Indirect Cost Rate that may have been
approved by a Federal Cognizant Agency for a particular Applicant or subapplicant.
For HMGP only: The Grantee may request 4.89 percent of the HMGP allocation 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 VIII A.2 and A.4.
Applicants for PDM, FMA, RFC, or SRL may apply for a maximum of 10 percent of the total
funds requested in their grant application budget (Federal and non-Federal shares) for
Part IV. Application and Submission Information
26
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.
Subapplicants for PDM, FMA, RFC, or SRL 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
Eligible subapplications submitted but not funded under a specific HMA program may be
considered for another HMA program(s). Applicants and subapplicants seeking this option
should consider addressing eligibility requirements of alternative programs in their
subapplications in order to ensure that their subapplications can be considered for all available
funding options.
For PDM, FMA, RFC, and SRL, FEMA will only consider subapplications included in one
grant application in eGrants for another HMA program if the Applicant specifies the HMA
program(s) and corresponding Catalog of Federal Domestic Assistance (CFDA) number(s) for
which the subapplication should be considered in the “Comments for FEMA” section of the
subapplication. For the Applicant’s own subapplications, this is a separate section in each
subapplication to be completed by the Applicant before the subapplication is submitted. For all
other subapplications, this section is completed by the Applicant during the Review Submitted
Subgrant Applications process.
FEMA may request additional information from the Applicant. The Applicant must provide all
requested information within the timeframe specified in the request for additional information.
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 PDM, FMA, RFC, and SRL 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
Part IV. Application and Submission Information
27
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
The Applicant makes a single application to FEMA representing all the subapplications selected
in priority order. Before forwarding subapplications to FEMA, Applicants must review
subapplications to verify that:
The subapplicant is eligible;
The project is consistent with the goals and objectives of the Applicant’s State or Tribal
(Standard or Enhanced) Mitigation Plan and of the local or Tribal mitigation plan(s);
The proposed Scope of Work (SOW) is sufficiently detailed and documented;
Applicable EHP review information is sufficiently detailed and documented;
The proposed activity is feasible and effective as demonstrated through conformance
with accepted engineering practices, established codes, standards, modeling techniques,
or best practices;
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;
Cost estimates reflect activities in the SOW and are accurate, complete, and reasonable
compared to industry standards;
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 benefit-cost data are accurate and complete; and
All program- and project-specific requirements have been met and are documented as
appropriate.
If the subapplication does not meet these standards and provide sufficient documentation to
support the subapplication, the Applicant may revise or augment the subapplication in
consultation with the subapplicant prior to the close of the application period. 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.
H. Subapplication Guidance
In general, an HMA application or subapplication includes, but is not limited to:
Part IV. Application and Submission Information
28
A detailed SOW including the location, purpose, objective(s), approach, feasibility,
expected outcomes, and benefits of the activity;
A work schedule for all tasks identified in the SOW;
A cost estimate and narrative that describes all anticipated costs associated with the SOW
and that identifies source(s) and amounts of non-Federal cost share contribution(s);
A complete and well-documented BCA;
Appropriate documentation to support the determination of feasibility and effectiveness,
including a demonstration of conformance with accepted engineering practices,
established codes, standards, modeling techniques, or best practices; and
Sufficient information about potential impacts on environmental resources and/or historic
properties in the project area.
Additional program- and project-specific requirements for subapplications are included
throughout this guidance, such as in Parts III, VIII, and IX.
H.1 Scope of Work
The SOW identifies the eligible mitigation activity, as described in Part III 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 in order 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.1.1 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 consistent
with the local or Tribal mitigation plan;
Clear, concise description of the proposed project – Proposed conceptual design,
means of implementation of the project, means of construction of the structure, 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
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. All properties, including alternate properties must be identified at application;
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;
Photographs – Photographs of the site location or structures to be mitigated;
Part IV. Application and Submission Information
29
Identification of the hazards to be addressed – The effects of the hazard(s) that the
project will mitigate and the residual risks that will exist after the project is implemented;
Location within the community and/or geographical extent of the project – A
description of the natural, built, and socioeconomic environments; and the geospatial
coordinates, in the form of latitude and longitude with an accuracy of +/- 20 meters (64
feet), for each structure or location identified in the SOW;
Feasibility and effectiveness – Documentation that shows how the project will mitigate
the identified risk and conforms to accepted engineering practices. Also, if applicable,
citation of minimum model building codes and consensus engineering standards being
complied with;
Alternatives evaluated – Alternative solutions to the problem that were considered, the
comparison and selection process for alternatives, and the rationale for selecting the
proposed project as the best alternative for the community;
Environmental and cultural resources consideration – Demonstration that
environmental and cultural resources were considered in the decision process in
developing the proposed SOW and determining the preferred alternative;
Maintenance assurances – Long-term maintenance requirements, frequency of required
maintenance, responsibility for project maintenance, and funding source of project
maintenance costs (for property acquisition and structure demolition or relocation
projects, see Part IX A.15 and A.17; for wildfire projects, see Part IX B.5; and for safe
room construction projects, see Part IX C.4.3). The subgrantee is responsible for
maintaining the project after implementation;
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; and
Other projects – Other projects that are currently being implemented or expected to be
implemented that will affect the proposed project.
The project subapplication SOW must provide complete information as identified above and
provide supporting documentation. Documentation will be used by FEMA during application
and subapplication review to evaluate the proposed project.
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 (FIS), 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 should 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).
Part IV. Application and Submission Information
30
H.1.2 Hazard Mitigation Planning Scope of Work
The hazard mitigation planning subapplication SOW must describe the development of a hazard
mitigation plan that complies with the requirements identified in 44 CFR Part 201.
For a hazard mitigation plan, the SOW must:
State whether the proposed planning activity will result in a new hazard mitigation plan
or an update of an existing hazard mitigation plan;
Identify the jurisdiction(s) that will participate in developing the plan and describe the
jurisdictions;
For multi-jurisdictional plans, include a statement or statements of intent to participate in
the planning activity, individually signed by each participating jurisdiction, and provide a
statement on how the overall planning effort will be coordinated. The cost estimate must
be reasonable for the jurisdictions that are participating, as shown by signed letters of
intent. However, this does not exclude eligible jurisdictions for which letters of intent
were not provided from engaging in the planning process and adopting the plan;
Describe the process for plan development, clearly demonstrating that applicable
regulatory requirements will be met. Document in detail (including who will be
responsible for completing each task) the activities the jurisdiction(s) will complete to
develop the plan, 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
Describe the plan adoption process for the jurisdiction(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 development, clearly demonstrating that applicable
regulatory requirements will be met. Document in detail the activities the jurisdiction will
complete to update each section (planning process, participation efforts, risk assessment,
mitigation strategy, and plan implementation) of the plan, including:
Completion of a thorough review of each section of the previous plan;
Incorporation of appropriate updates to address gaps in each section of the plan;
Inclusion of any new/modified/updated information (including hazard, land use, and
development trends), findings, research, risk data, etc. in each section of the plan; and
A discussion of how the plan was implemented since the approval of the last plan; and
A discussion of whether the plan update process in the existing plan will be followed
or what modifications to that process will be incorporated.
If available, the subapplication also should include a copy of the crosswalk from the FEMA
approval of the previous plan.
Part IV. Application and Submission Information
31
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.
H.1.3 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 subgrants. The SOW
should state whether the work will be conducted by the Applicant’s staff or by contractor staff.
H.2 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 timeframes for accomplishing significant milestones. Proposed
schedules for individual subapplications should not exceed 36 months.
For planning subapplications, it is critical that the work schedule allow sufficient time for State
and FEMA reviews; preparation of required revisions, if needed; formal adoption by the
jurisdiction(s); and FEMA approval.
H.3 Cost Estimate
The cost estimate describes all of the subapplicant’s anticipated costs associated with the SOW
for the proposed mitigation activity. Cost estimates must include detailed estimates of various
cost item categories such as labor, materials, equipment, and subcontractor costs. No lump-sum
estimates will be accepted. The cost estimate must 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.
Subapplicants must provide an explanation and documentation demonstrating how the cost
estimate was developed and the basis for each cost element, such as salary and fringe benefit
rates for personnel, bids from qualified professionals, and costs established in nationally
published or local cost estimating guides. If a cost estimate is based on a contractor’s bid or
historic costs from another activity, detailed documentation as outlined above still must be
provided.
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; and
Information dissemination costs (for PDM).
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.3.1 Project Cost Estimate
In addition to the items described in H.3, the project cost estimate must include a line-item
breakdown of all anticipated costs including, as applicable:
Part IV. Application and Submission Information
32
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 Part IX of this guidance.
For additional information about cost estimates for property acquisition and structure demolition
or relocation projects, see Part IX A.5 and A.6; for wildfire mitigation projects, see Part IX B.3;
for safe room construction projects, see Part IX C.4.2; for mitigation reconstruction projects, see
Part IX D.2 and D.5; and for structure elevation projects, see Part IX E.3.
H.3.2 Hazard Mitigation Planning Cost Estimate
In addition to the items described in H.3, 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, including labor, travel expenses, and supplies;
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.
H.3.3 Management Costs 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 VIII A.4.
H.4 Benefit-Cost Analysis Methodologies
FEMA will only consider applications from Applicants and subapplicants that use a FEMAapproved methodology to conduct the BCA. Using FEMA-approved software will ensure that all
calculations are prepared in accordance with OMB Circular A-94 and FEMA-standardized
methodologies. FEMA provides software (BCA Version 4), written materials, and training that
facilitate the process of preparing a BCA. BCA Version 4 is the only FEMA-provided software
Part IV. Application and Submission Information
33
that may be used to conduct a BCA. BCA Version 4 is available from the appropriate FEMA
Regional Office (see Part VII) or from the BCA Technical Assistance Helpline (see Part X C.4).
For SRL only, FEMA also allows for the use of the GSTF data and methodology to demonstrate
cost effectiveness of mitigation projects. Only mitigation project subapplications submitted for
SRL funding may use the GSTF data and methodology. Subapplicants are not required to use
this methodology when submitting projects for funding, and may utilize BCA Version 4
methodology. The GSTF approach measures the expected savings of a mitigation project over a
specific time period, such as 30 years. This methodology is based on the actual loss experience
of these severe repetitive loss properties. In this approach the total expected future insurance
claim payments and loss adjustment expenses (expected dollars paid out of the NFIF, assuming
the property is not mitigated) are reduced by the total expected future insurance premiums
available for paying claims (expected dollars paid into the NFIF, assuming the property is not
mitigated) to derive the savings to the fund from the proposed mitigation. Similar to the more
traditional methods of BCA, the savings to the fund (benefit) and project cost are then compared
to determine the cost effectiveness of the mitigation activity.
The list of properties and the guidance for using the GSTF methodology are available from the
appropriate FEMA Regional Office (see Part VII) or the BCA Technical Assistance Helpline
(see Part X C.4).
FEMA will only consider project subapplications that include a legible, complete, and welldocumented BCA. Subapplications must include the following information for the costeffectiveness review:
The exported BCA runs, which must include backup documentation for the input data
(for HMGP subapplications submitted in hard copy a full print out of the Project Report
must be provided); and/or
If the GSTF methodology is used, a copy of the data indicating the estimated benefit to
the fund.
Documentation must be accurate and sufficiently detailed in order for FEMA to thoroughly
review the development of the BCR. Documentation that shows how values for each data input
were derived must be provided so that the credibility and validity can be evaluated. If FEMA
standard values are used, no documentation is required. Documentation can include copies of
Web pages, copies of data from FISs, or engineering reports. FEMA recommends obtaining
information from credible technical sources, including engineering studies such as an FIS,
technical Web sites (e.g., U.S. Geological Survey [USGS] and National Oceanic and
Atmospheric Administration [NOAA]), and academic organizations and State agencies.
Some mitigation activities may reduce future losses for more than one hazard. In these cases, all
benefits resulting from the mitigation activity may be combined to determine the BCR.
FEMA software allows for calculating an aggregate BCR for projects that address multiple
structures. An aggregate BCR is calculated by dividing the total net present value of benefits for
each structure by the total project cost estimate. Aggregation of benefit and cost values is
allowed if the structures are vulnerable to damage as a result of similar hazard conditions. With
the exception of the aggregation of property acquisition and structure demolition or relocation
and structure elevation within the same subapplication, benefits cannot be aggregated across
mitigation activity types.
Part IV. Application and Submission Information
34
A non-FEMA BCA methodology may be used only when it addresses a non-correctable flaw in
the FEMA-approved BCA methodologies or proposes a new approach that is unavailable using
FEMA BCA software. Non-FEMA BCA methodologies may be utilized only if FEMA approves
the methodology prior to submission of the application to FEMA. The Applicant/subapplicant
must verify that FEMA has reviewed and approved the alternative BCA software or
methodology by providing an e-mail or letter signed and dated by FEMA.
For more information on BCA resources, see Part X C.4.
H.5 Engineering 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 engineering feasibility and
effectiveness of the proposed mitigation activity.
Documentation should include:
Proposed schematic drawings or designs;
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, an assessment of the vulnerabilities of the existing
building; and
Any residual risk to the structure after project implementation.
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.
H.6 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 to provide information
about potential impacts on environmental resources and/or historic properties in the project area.
If potential impacts are identified, the Applicant/subapplicant must provide additional
information, such as:
The property address, original date of construction, and two color photographs for any
buildings, structures, objects, or man-made sites/landscapes features that are 50 years or
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;
Part IV. Application and Submission Information
35
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.
The Applicant/subapplicant should initiate coordination with relevant State and Federal agencies
as early in the project planning stages as possible, in order to identify any EHP compliance
issues associated with proposed projects. This coordination does not substitute and shall not be
interpreted to mean formal consultation that must occur between FEMA and the applicable
resource agency.
Certain EHP compliance review activities may be necessary in order 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.
In addition, FEMA may require that an Applicant/Grantee implement EHP mitigation measures
to avoid, minimize, or compensate for a project’s impact(s) on environmental and/or historic
resources as part of the FEMA EHP review.
FEMA may require Applicants/Grantees to incur costs for significant EHP compliance review
activities and/or EHP mitigation measures. FEMA will consider the following factors to
determine whether an Applicant/Grantee must incur 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 which 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.6.
Part IV. Application and Submission Information
36
PART V. APPLICATION REVIEW
INFORMATION
Part V 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:
Eligibility and completeness;
Cost effectiveness;
Engineering feasibility and effectiveness; and
EHP compliance.
A.1 Eligibility and Completeness 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 III and IV.
A.2 Cost-Effectiveness Review
FEMA will review the documentation provided in support of the subapplication BCA to validate
the accuracy and credibility of data and ensure the appropriate use of the BCA methodologies.
Only subapplications meeting HMA cost-effectiveness requirements will be considered eligible.
A.3 Engineering 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 engineering
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;
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,
Part V. Application Review Information
37
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, until FEMA has completed this
review.
B. Review and Selection Process
B.1 National Technical Review
For PDM, FMA, RFC, and SRL, FEMA will conduct a National Technical Review, for all
project subapplications that are forwarded from the initial FEMA review, for the following:
Cost effectiveness;
Engineering feasibility and effectiveness; and
EHP compliance.
B.2 Selection
FEMA selects eligible subapplications based on priorities set by the Applicant or program
priorities, if applicable. For more information for PDM, see Part VIII B.6 for FMA, see Part VIII
C.4; for RFC, see Part VIII D.3; and for SRL, Part VIII E.2.
For FMA or SRL allocations, if funds are not fully utilized, remaining funds may be made
available on a nationally competitive basis.
For SRL, if eligible subapplications are in excess of the allocation amount for a specific
Applicant, subapplications may be forwarded for consideration under the 10-percent set-aside
and selected on a nationally competitive basis. For more information on the SRL 10-percent setaside, see Part VIII E.2.
B.3 Notification
For PDM, FMA, RFC, and SRL, 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.
FEMA may request information or documentation from Applicants to facilitate these activities or
to resolve outstanding administrative or procedural requirements when such information or
documentation was not a material requirement for the subapplication. Applicants must respond
to such requests for information from FEMA within 60 days. Failure to comply may result in the
Part V. Application Review Information
38
grant not being awarded or not receiving final approval. In addition, FEMA will ensure that the
Applicant has met all reporting requirements for HMA awards currently in progress.
Comments may be provided by FEMA on subapplications determined ineligible so that
subapplicants can modify their subapplication for resubmission in future grant cycles.
PDM, FMA, RFC, and SRL have specific national ranking criteria in addition to those
described in this part. For information about national ranking criteria and on the review and
selection process for PDM, see Part VIII B.5; FMA, see Part VIII C.4; for RFC, see Part VIII
D.3; and for SRL, see Part VIII E.2.
B.4 Reconsideration Process
FEMA will reconsider a PDM, FMA, RFC, or SRL subapplication only when there is an
indication of a substantive technical or procedural error by FEMA. All information as provided
in the submitted subapplication will be considered as supporting documentation for the request
for reconsideration. FEMA encourages Applicants to resubmit applications that contain new
information for consideration in future grant cycles. The amount of funding available for
Applicant management costs will not be reconsidered.
Applicants for PDM, FMA, RFC, or SRL must send requests for reconsideration based upon
technical or procedural error to FEMA within 60 calendar days from the date of the FEMA
notification letter to the Applicant. A FEMA decision to uphold or overturn a decision regarding
a subapplication is final.
For information on reconsideration of HMGP subapplications, see Part VIII A.11.
Part V. Application Review Information
39
PART VI. AWARD ADMINISTRATION
INFORMATION
Part VI 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 PDM, FMA, RFC, and SRL include an award letter, FEMA Form 76-10A,
Obligating Document for Awards/Amendments, and Articles of Agreement, which 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 environmental 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 to be kept on file by the Grantee and subgrantee.
B.2 Scope of Work Modifications
In some cases, modifications to the submitted or approved SOW may be considered by FEMA.
Eligible modifications are defined as changes to the details of implementation of the approved
activity with no change to the type of the activity. Examples of modifications to the SOW
include altering the design of the foundation for a structure elevation project, adjusting the
diameter of a drainage pipe, or selecting alternate structures (identified at application) for a
property acquisition and structure demolition or relocation project.
Part VI. Award Administration Information
40
For PDM, FMA, RFC, and SRL, modifications may be considered after selection or award of
the grant. For HMGP, FEMA may consider modifications during application review, as well as
after award of the grant. A request for a modification to the SOW must be submitted in writing to
FEMA for review and must be approved prior to the implementation of the requested
modification. Requests must include a justification and related documentation for FEMA review.
The justification must include a description of the proposed modification and a written
explanation of the reason(s) for the modification. Approval of modifications to the SOW is not
guaranteed.
If the modification does not result in a request for additional Federal funds, a new BCA is not
required. If the modification results in a request for additional Federal funds, a new BCA is
required and must be submitted to FEMA for approval along with the request to modify the
SOW.
If the modification reduces the scope of the activity (e.g., mitigating fewer structures), funding
approved for activities that will not be completed will be de-obligated. If the Grantee wishes to
use all approved funding for a reduced SOW, the funding above the reduced SOW will be
considered a cost overrun and a new BCA is required. For more information on cost overruns
and underruns, see Part VI B.3.1 below.
Changes to the type of the proposed or approved mitigation activity, as defined in Part III D.1,
are not considered modifications to the SOW and are not allowed after the close of the
application period. Examples include elevating a structure instead of acquiring it as approved in
the subapplication, or mitigating structures or infrastructure not identified as part of the
application or subapplication. All activities, including alternate structures, for which funding is
requested must be identified in the SOW prior to the close of the application period.
B.3 Budget Revisions
FEMA categorizes changes to the approved budget of a mitigation activity in the following
ways. A budget adjustment does not change the total amount of approved funding. A budget
revision reflects a change in the total amount of funding. An increase in the cost of implementing
an activity is called a cost overrun and a decrease is called a cost underrun.
A request for a budget revision must be justified and supported by the Grantee. If a budget is
revised, the Grantee/subgrantee must comply with limitations on information dissemination,
subapplicant management costs, and cost share.
Additional information regarding budget adjustments and revisions can be found in 44 CFR
Section 13.30.
B.3.1 Cost Overruns and Underruns
A cost overrun or underrun can be associated with a SOW modification, or a change in the costs
of activities in the approved SOW.
For PDM and RFC, the Federal award amounts are final and no additional Federal funds will be
available for cost overruns. Funds available as a result of a cost underruns cannot be used to meet
cost overruns incurred in another subgrant.
For HMGP, FMA, and SRL, Grantees may request funds available as a result of cost underruns
be used to provide additional funds required due to cost overruns on other approved subgrants as
Part VI. Award Administration Information
41
part of the same award. FEMA must approve requested cost overruns prior to implementation
and the subgrant must continue to meet programmatic eligibility requirements, including cost
effectiveness and cost share. Cost overrun notifications must be accompanied by a new BCA; if
the results of this analysis do not result in a BCR equal or greater than 1.0, Federal funds cannot
be used to meet the cost overrun.
B.4 Period of Performance
The POP is the period of time during which the Grantee is expected to complete all grant
activities and to incur and expend approved funds. The POP begins on the date that the grant is
awarded and ends no later than 36 months from the award of the final subgrant under the grant.
The POP termination date is established by the subgrant with the latest completion date.
FEMA will not establish activity completion timeframes for individual subgrants. Grantees are
responsible for ensuring that all approved activities are completed by the end of the grant POP.
For more information on POP for property acquisition and structure demolition or relocation
projects, see Part IX A.11 and A.13.
B.4.1 Extensions
Requests for extensions to a grant POP will be evaluated by FEMA but will not be approved
automatically. The initial request for an extension to a grant POP may not exceed 12 months.
Grantees may request additional extensions; however, the grant POP will not be extended
beyond 24 months from the POP termination date. All requests to extend the grant POP beyond
12 months from the original grant POP termination 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 demonstrate
that work is in progress and will be completed. The justification must address:
Reason(s) for delay;
Current status of the activity/activities;
Approved 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;
Plan for completion including milestones and timeframe for achieving each milestone
and the position/person responsible for implementing the plan for completion; and
Certification that the activity/activities will be completed within the extended POP
without any modification to the original SOW approved by FEMA.
B.5 Requests for Advances and Reimbursements
The Grantee’s responsibility as financial administrator 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
Part VI. Award Administration Information
42
for information on requesting and receiving the funds, records that must be maintained, forms to
be used, and timeframes for requesting the funds.
For PDM, FMA, RFC, and SRL, PARS is used to transfer funds between FEMA and Grantees.
Grantees shall submit to FEMA a copy of the 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.6 Program Income
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. FEMA encourages Grantees
and subgrantees to generate program income to help defray program costs. 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
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.
Part VI. Award Administration Information
43
C. Reporting Requirements
Grantees and subgrantees must both 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.
PDM, FMA, RFC, and SRL quarterly reports can be submitted via eGrants. For HMGP,
quarterly reports can be submitted via NEMIS.
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
partial calendar quarters, as well as for periods where no grant activity occurs. Future awards and
fund draw downs 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 SF272A. The FFR 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 must 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 utilizing
standard eGrants/NEMIS project type codes;
Part VI. Award Administration Information
44
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 timeframe
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; and
A statement of whether a request to extend the grant POP is anticipated.
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 FFR 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 geocoding resources, see Part X C.3; and
Part VI. Award Administration Information
45
For plans, a final copy of the FEMA-approved and community-adopted plan has been
submitted.
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 submission date of its
single or last expenditure report in accordance with 44 CFR Section 13.42. .
For additional information about closeout for property acquisition and structure demolition or
relocation projects, see Part IX A.13 and A.15. For additional information about closeout for
mitigation reconstruction projects, see Part IX 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 POP expiration 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 VI D.1;
The Grantee reconciles/adjusts subgrant costs, ensures that non-Federal share costs are
documented, and that all costs submitted are eligible according to the FEMA-approved
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 maintains 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 tracks closeouts using the Project Closeout module in NEMIS.
D.2.1 Update of Repetitive Loss Database
Grantees with projects that mitigate a repetitive loss property must update the NFIP Repetitive
Loss Database as part of project closeout.
A repetitive loss property is 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
Part VI. Award Administration Information
46
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. Currently, there are over 148,000
repetitive loss properties nationwide.
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. To obtain a User Name and Password for access to Data
Exchange, send an e-mail 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 e-mail.
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 at:
http://www.fema.gov/government/grant/resources/aw501ins.shtm.
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 protect 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:
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 VI. Award Administration Information
47
PART VII. FEMA CONTACTS
Part VII 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;
Engineering feasibility, BCA, 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.8.
FEMA encourages Applicants and subapplicants to seek technical assistance early in the
application period by contacting their appropriate FEMA Regional Office. Table 5 shows which
States are served by each FEMA Region.
Contact information for FEMA Regional Offices is provided at
http://www.fema.gov/about/contact/regions.shtm.
Contact information for each State Hazard Mitigation Officer (SHMO) is provided at
http://www.fema.gov/about/contact/shmo.shtm.
Table 5: FEMA Regions
FEMA
Region
Serving
Region I
Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, Vermont
Region II
New Jersey, New York, Puerto Rico, U.S. Virgin Islands
Region III
Delaware, District of Columbia, Maryland, Pennsylvania, Virginia, West Virginia
Region IV
Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina, South Carolina,
Tennessee
Region V
Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin
Region VI
Arkansas, Louisiana, New Mexico, Oklahoma, Texas
Region VII
Iowa, Kansas, Missouri, Nebraska
Region VIII
Colorado, Montana, North Dakota, South Dakota, Utah, Wyoming
Region IX
Arizona, California, Hawaii, Nevada, American Samoa, Guam, the Northern Mariana
Islands
Region X
Alaska, Idaho, Oregon, Washington
Part VII. FEMA Contacts
48
PART VIII. ADDITIONAL PROGRAM
GUIDANCE
Part VIII provides additional information applicable to assistance available under each particular
HMA grant program. This section supplements the information provided in Parts I through VII,
and the unique project type guidance included in Part IX. Part VIII 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 VII,
and Part IX. 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. The GAR responsibilities include providing technical advice and
assistance to eligible subapplicants and/or subgrantees, ensuring that all potential subapplicants
are aware of assistance available, and facilitating 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; and
Establish procedures to guide implementation activities including Grantee management
costs and distribution of subgrantee management costs.
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.
Part VIII. Additional Program Guidance: A. Hazard Mitigation Grant Program
49
While 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 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.
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 the implementation of mitigation activities, 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 utilizing 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;
Communicating with local governments regarding State mitigation priorities;
Building public and business/industry support for mitigation initiatives;
Reviewing, assigning priority, and recommending mitigation actions for implementation;
and
Seeking funding for implementation of mitigation measures.
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;
Establish priorities and criteria for selection of proposed mitigation activities;
Part VIII. Additional Program Guidance: A. Hazard Mitigation Grant Program
50
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.
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.
Submission and Approval Deadlines
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 Lock-in of HMGP Allocation
FEMA determines the allocation of HMGP funding available for a given disaster 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 II A of this guidance. FEMA will estimate the amount of HMGP
funding available at defined times following the disaster declaration. The HMGP estimated
ceiling will be established initially within 90 days of the disaster declaration. It will be
maintained until the first ceiling review at 6 months.
Six months after the disaster declaration, the estimated ceiling will be reevaluated and the lock-in
ceiling will be established. The lock-in may reflect an increase or a decrease in the estimated
ceiling. Subsequent reviews may result in an increase in the lock-in ceiling. The 6-month lock-in
represents the minimum amount of HMGP funds available for a given disaster.
Twelve months after the disaster declaration, a final review of the lock-in ceiling is conducted
and the final amount of HMGP funds that will be available is calculated. The final lock-in
amount may be greater than, but will not be less than, the lock-in ceiling calculated 6 months
after the disaster declaration.
Part VIII. Additional Program Guidance: A. Hazard Mitigation Grant Program
51
In rare circumstances, when a catastrophic disaster has resulted in major fluctuations in 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 greater than previously calculated, the final lock-in amount will be adjusted
accordingly.
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 III 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 VIII A.2). 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 30
days, 6 months, and 12 months from the date of declaration, or upon the calculation of the final
HMGP lock-in ceiling, whichever is later.
Upon receipt of the 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 support 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.
Part VIII. Additional Program Guidance: A. Hazard Mitigation Grant Program
52
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 III 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:
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 timeframe 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.
Within 24 months of the disaster declaration, FEMA will make determinations on all
applications and subapplications for HMGP, whenever possible. After FEMA makes a
determination on all subapplications and has obligated funds to all approved grant awards, the
amount of HMGP funds not obligated is de-allocated and is no longer available to the Grantee.
No additional subapplications can be submitted after the application deadline. Alternate
subapplications submitted within the application period can be awarded if funds become
available due to cost underruns or withdrawn subgrants, as long as the POP is not affected.
A.7 Grant Cost Share Requirements
HMGP grants are required to have up to a 75-percent Federal and at least a 25-percent nonFederal cost share. Typically, this cost share requirement is applied to each individual activity.
In certain unique circumstances, 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. If this approach is utilized, FEMA will only obligate Federal
funds when the proportionate non-Federal share has been identified.
If an Applicant chooses to fund individual projects with non-Federal cost shares below 25
percent, the Applicant must notify FEMA by the application submission deadline. If an
Part VIII. Additional Program Guidance: A. Hazard Mitigation Grant Program
53
Applicant intends to implement this approach, the State Administrative Plan must be amended to
explain how the Applicant will:
Apply this approach in a fair and impartial manner to all subapplications;
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 is the only HMA program that will, in limited circumstances, fund post-disaster code
enforcement projects. 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 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 State-mandated 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;
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;
Entering into a contractual agreement with one of the model building code organizations;
Part VIII. Additional Program Guidance: A. Hazard Mitigation Grant Program
54
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
Employing the Hazard Mitigation Technical Assistance Program.
Extraordinary post-disaster code enforcement costs are eligible for HMGP funding for up to 6
months after a disaster declaration. If the community requests continued assistance after 6
months, the Grantee will determine if assistance provided to date has been effectively used and if
additional assistance is warranted. Assistance beyond 6 months will be granted only in rare
instances.
HMGP funds only extraordinary post-disaster code enforcement costs. Extraordinary postdisaster code enforcement costs are the costs to ensure mitigation-based 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.
If a community has already received Federal assistance for meeting emergency building
inspection needs (to post buildings, determine habitability, etc.), these costs must be
deducted in determining extraordinary costs.
A.9 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 IV F 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.
Part VIII. Additional Program Guidance: A. Hazard Mitigation Grant Program
55
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.
Pre-Screening Process
The project must meet the following pre-screening criteria for a conditional Phase I approval in
the following sequence:
State or 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. It is imperative that
the subapplicant is aware that this preliminary assessment is solely for the purpose of the
Phase I pre-screening 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.
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.
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. The subapplicant’s design and
costing must meet Applicant and FEMA approval before proceeding with the BCA.
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 cost
effectiveness conducted in the Phase I pre-screening process. This will result in a final
Part VIII. Additional Program Guidance: A. Hazard Mitigation Grant Program
56
BCR to evaluate the project’s cost effectiveness, which will include the all project costs
including Phase I.
EHP Review – The Applicant and FEMA will conduct a review of the revised project
design to ensure EHP compliance. The project will meet EHP review requirements before
Phase II approval.
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.10 The 5% Initiative
Some mitigation activities are difficult to evaluate using FEMA-approved BCA methodologies.
Up to 5 percent of the total HMGP funds may be set aside by the Grantee to pay for such
activities.
To be eligible for the 5% 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 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% 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 permanently installed generators or related equipment, such as generator
hook-ups;
Hazard identification or mapping and related equipment for the implementation of
mitigation activities;
Geographic Information System (GIS) software, hardware, and data acquisition whose
primary aim is mitigation;
Public awareness or education campaigns about mitigation; and
Evaluation of model building codes in support of future adoption and/or implementation.
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A.10.1 Availability of Additional Funds for Tornado Mitigation
FEMA allows increasing the 5% 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 Tribal (Standard or Enhanced)
Mitigation Plan or other comprehensive plan that addresses 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 Tribal mitigation
plan.
A.11 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 appropriate Regional Administrator by the Grantee. The Regional
Administrator is the decisionmaker 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
decisionmaker 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 appropriate 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.
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.
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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 VII,
and Part IX. This section contains supplemental guidance specific to PDM.
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.
PDM grants are awarded on a competitive basis. Eligible subapplications will compete nationally
for PDM grant funds.
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 PDM, 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.
B.4 Applicant Ranking of Subapplications
Applicants must rank each subapplication included in their grant application in order of their
priority for funding based on the State or Tribal (Standard or Enhanced) Mitigation Plan. Each
subapplication must be assigned a unique rank in eGrants. Applicants must provide an
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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 National Evaluation Process
Initial FEMA Review
Subapplications will be initially reviewed by FEMA to ensure all minimum requirements are met
for the PDM program. All subapplications that are determined to be eligible by FEMA will be
forwarded to the National Evaluation Panel and the National Technical Review. Applicant
management cost subapplications are excluded from the National Evaluation process and are
awarded based on the award of project and planning subapplications.
National Ranking
FEMA will electronically score all eligible subapplications on the basis of predetermined,
objective, quantitative factors to calculate a National Ranking Score for each subapplication. All
subapplications will be sorted in descending order based on National Ranking Scores and will be
forwarded to the National Evaluation Panel. National Ranking factors can be found at:
http://www.fema.gov/government/grant/pdm/index.shtm.
National Evaluation Panel
Panels composed of representatives from FEMA, States, Territories, local governments,
Federally recognized Indian Tribal governments, and other Federal agencies will peer evaluate
project and planning subapplications on the basis of qualitative factors. FEMA will ensure that
panel evaluations are conducted consistently and fairly with no conflicts of interest. All
subapplications forwarded to National Evaluation will be granted equal consideration during the
National Evaluation regardless of their National Ranking Score. Subapplications will be ranked
based on the National Evaluation scores. National Evaluation factors can be found at:
http://www.fema.gov/government/grant/pdm/index.shtm.
B.6 Selection
FEMA will consider all project subapplications that pass the National Technical Review and all
planning subapplications forwarded through the National Evaluation Panel. FEMA ranks
subapplications based on:
National Ranking scores;
National Evaluation scores; and
National Technical Review determinations.
FEMA will then identify subapplications for further review based on their rank order. 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.
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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 Allocations
An allocation is provided to each State or Territory based on the total number of NFIP insurance
policies and the total number of repetitive loss properties within the State or Territory. An
Applicant may apply for funding up to or exceeding its allocation. Subapplications received from
Applicants that exceed their allocation amount will be forwarded for national consideration.
C.2 Repetitive Loss Strategy
In order to be eligible for an increased Federal cost share of up to 90 percent, the property that is
being submitted for consideration must be a severe repetitive loss property and a FEMAapproved State or Tribal (Standard or Enhanced) Mitigation Plan that addresses repetitive loss
properties must be in effect at the time of grant award. Guidance on addressing repetitive loss
properties can be found in the State Multi-Hazard Mitigation Planning Guidance and in 44 CFR
Section 201.4(c)(3)(v). The Repetitive 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 VI D.2.1.
C.3 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 at least through
completion of the mitigation activity. Residential or non-residential properties currently insured
with the NFIP are eligible to receive FMA funds.
C.4 Selection
After the application deadline, FEMA will review all subapplications to ensure eligibility and
completeness. FEMA will commit funds to eligible Applicants to meet the State or Territory’s
allocation. If the full allocation in one or more States or Territories has not been awarded, FEMA
will review eligible subapplications submitted in excess of the allocations and will award
remaining funds to subapplications that offer the greatest savings to the NFIF as demonstrated by
a FEMA-validated BCR.
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D. Repetitive Flood Claims Program
Most of the information that an Applicant or subapplicant needs to apply for an RFC award or
that a Grantee or subgrantee needs to manage a RFC award is provided in Parts I through VII,
and Part IX. This section contains supplemental guidance specific to RFC.
D.1 Eligible Properties
Residential or non-residential (commercial) properties that have received one or more NFIP
insurance payments are eligible for RFC funds. Properties included in a subapplication must be
NFIP-insured at the time of the application submittal. Flood insurance must be maintained at
least through completion of the mitigation activity.
D.2 Increased Federal Share of Costs
An application may be submitted for RFC funding if neither the Applicant nor the subapplicant
can currently meet the FMA non-Federal share requirement. For RFC, FEMA may contribute up
to 100 percent of the project cost. The Application and the subapplication must include
certification (e.g., signed letter from an authorized local government official) explaining why the
FMA cost-sharing requirement cannot be met. If a project to mitigate this particular property was
previously identified on a subapplication for HMA funding and the project was not funded, the
Applicant or subapplicant must explain why the 25-percent non-Federal cost share is no longer
available for this project.
D.3 Selection
FEMA will rank all eligible mitigation project subapplications on the basis of the greatest
savings to the NFIF as demonstrated by the verified project aggregate BCR. All projects will be
ranked from highest verified BCR to lowest verified BCR. FEMA will consider the national
ranking and program priorities in determining which projects are identified for further review up
to the amount of funds available for the RFC program.
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E. Severe Repetitive Loss Program
General information that an Applicant or subapplicant needs to apply for an SRL award or that a
Grantee or subgrantee needs to manage an SRL award is provided in Parts I through VII, and
Part IX. This section contains supplemental guidance specific to SRL.
Applicants and subapplicants please note the following: The SRL program differs from other
FEMA mitigation grant programs in that those property owners who decline offers of mitigation
assistance will be subject to increases to their insurance premium rates. Furthermore, prior to
submitting a grant application to FEMA, Applicants and subapplicants must consult, to the
extent practicable, with the property owner to select the most appropriate project type for that
property to meet all programmatic, State, and local requirements. Any Mitigation Offer made
under the SRL program remains open and available to the property owner as long as the SRL
program exists, subject to the availability of funds. In the event that the property owner does not
accept a Mitigation Offer, the property owner may appeal the insurance premium rate increase
under certain conditions. The sections below provide more detail on the SRL program.
E.1 Eligible Properties
Properties eligible for inclusion in a subapplication for SRL must be identified on the FEMAvalidated severe repetitive loss property list. A severe repetitive loss property is a residential
property that is covered under an NFIP flood insurance policy and:
(a) That has at least four NFIP claim payments (including building and contents) over
$5,000 each, and the cumulative amount of such claims payments exceeds $20,000;
or
(b) For which at least two separate claims payments (building payments only) have been
made with the cumulative amount of the building portion of such claims exceeding
the market value of the building.
For both (a) and (b) above, at least two of the referenced claims must have occurred within any
10-year period, and must be greater than 10 days apart. To maintain eligibility for SRL funds,
NFIP insurance coverage on structures to be mitigated must be maintained throughout
implementation of the mitigation activity.
E.2 Distribution of Funds and Selection
Applicants meeting a minimum threshold of severe repetitive loss properties receive an
allocation of funds based on the national percentage of severe repetitive loss properties present
within their jurisdiction. An Applicant may apply for funding up to or exceeding its allocation.
Ten percent of SRL funds are set aside and are available through the nationally competitive
process. Applicants that do not meet the minimum threshold of severe repetitive loss properties
to receive an allocation will be eligible to apply for the 10-percent set-aside of the SRL funds.
Federally recognized Indian Tribal governments may be awarded SRL funds through this setaside as either a Grantee or subgrantee. The funds awarded to Indian Tribal governments serving
as the Grantee will not count against an Applicant’s assigned allocation.
Eligible subapplications from Applicants receiving an SRL allocation will be identified for
further review up to the allocation based on the greatest savings to the NFIF, as demonstrated by
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the FEMA-validated BCR. FEMA will give priority to eligible project subapplications up to the
Applicant’s allocation from highest BCR to lowest BCR. Eligible project subapplications not
identified for further review may be forwarded for consideration under the 10-percent set-aside.
Subapplications considered under the 10-percent set-aside are reviewed on a national basis based
on the greatest savings to the NFIF, as demonstrated by the FEMA-validated BCR. Project
subapplications will be ranked nationally from highest BCR to lowest BCR and identified for
further review in that order, until funds are exhausted.
E.2.1 Redistribution of Funds
FEMA may redistribute funds in any given fiscal year for any of the following cases:
An Applicant with an allocation chooses not to participate in SRL;
An Applicant’s allocation exceeds the amount of eligible subapplications submitted; or
Applicants eligible for the 10-percent set-aside have not submitted subapplications up to
the set-aside amount.
FEMA may redistribute funds (as described above) to Applicants with eligible subapplications
that exceed either of the following:
Their allocations; and/or
The amount of the 10-percent set-aside.
In all cases, FEMA will give priority to subapplications based on the FEMA-validated BCR.
E.3 Repetitive Loss Strategy
In order to be eligible for an increased Federal cost share of up to 90 percent, a FEMA-approved
State or Tribal (Standard or Enhanced) Mitigation Plan must be in effect at the time of grant
award and it must address repetitive loss properties. Guidance can be found in the State MultiHazard Mitigation Planning Guidance and in 44 CFR Section 201.4(c)(3)(v). The Repetitive
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 VI D.2.1.
E.4 Increased Cost of Compliance as Non-Federal Cost Share
ICC benefits are available to severe repetitive loss structures mitigated with SRL funds,
regardless of whether recent flood damage has occurred. This payment is intended to supplement
or supply the required non-Federal share of the costs associated with floodproofing, elevating,
relocating, or demolishing a structure.
This ICC benefit is limited to the following:
Validated severe repetitive loss structures;
Severe repetitive loss structures that have been approved for a FEMA SRL program grant;
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Severe repetitive loss structures owned by policyholders who have assigned the ICC
benefits to the community in which the building is located;
The benefit cannot exceed the required non-Federal match for the property, or the
maximum ICC available; and
Structures that have been insured for at least 180 days prior to the availability of funds.
When reviewing submitted project applications, FEMA will provide the maximum eligible ICC
benefit for submitted properties. This benefit, in combination with provided SRL funds, may
provide but will not exceed the total project cost. If the ICC benefit exceeds the required nonFederal share, FEMA will reduce the SRL funds provided to the property accordingly under the
grant agreement.
Details on eligible costs under ICC claims for property acquisition and structure demolition/
relocation and structure elevations can be found here:
http://www.fema.gov/government/grant/srl/index.shtm.
E.5 Additional Subapplicant Considerations
Prior to submitting a subapplication for an SRL project, subapplicants should:
Understand that they must develop procedures to ensure that they provide similar
treatment to all property owners regarding the use of pre-event or current market value for
property acquisition and structure demolition or relocation projects;
Understand that they may select minor localized flood reduction projects because property
owners will not experience the risk of increased insurance premium rates;
Consider the ramifications of property acquisition and structure demolition or relocation
projects on the local tax base; and
Consider the availability of qualified contractors and structural engineers to implement
property acquisition and structure demolition or relocation, structure elevation, mitigation
reconstruction, or dry floodproofing for historic properties projects.
E.6 Subapplication Development
The Applicant and subapplicant must decide on the type(s) of project(s) that will be proposed for
implementation. However, before proposing that a property be mitigated through SRL, the
Applicant and subapplicant must commit to consulting with individual property owners. The
term “property owner” includes any co-owners who share title to the property.
The subapplicant must ensure the property owner is fully informed of the conditions and
procedures of the program, and must advise the property owner that established consultation and
Mitigation Offer procedures will be followed.
E.7 SRL Consultation Process
The consultation process is a required notification and information gathering process for the
Applicant and/or subapplicant applying for SRL funding. The consultation process does not
represent a formal offer of mitigation assistance and must be initiated during application
development and the consultation agreement completed prior to award or final approval. The
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goals of the consultation process are to notify the property owner that his or her property is being
considered for the program, to obtain property owner input in determining the mitigation
activity, to collect sufficient information about the property, and to advise the property owner
that there are potential consequences of declining a Mitigation Offer. Property owners who
decline a Mitigation Offer will be subject to increases to their NFIP insurance premium rates.
All information related to the individual severe repetitive loss property owner and individual
property that is collected during the consultation shall be protected consistent with the Privacy
Act of 1974, as amended, and similar State and local laws and ordinances.
E.7.1 Subapplicant Preparation for Consulting
The subapplicant shall initiate consultation with the property owner during application
development and will make every effort to make the consultation process as simple and
streamlined as possible for the property owner. In preparation for consultation, the subapplicant
will:
Prioritize severe repetitive loss properties for funding. FEMA provides the GSTF
methodology and data to identify properties representing the greatest potential benefit on
the NFIF;
Identify mitigation activities that are available to the property owner in accordance with
local codes and standards and the local or Tribal mitigation plan;
Prepare property-specific examples of potential insurance premium rate increases should
the offer be declined; and
Notify severe repetitive loss property owners that a personal representative may
accompany or attend the consultation on behalf of a property owner. If a property owner
wants the personal representative to make decisions on his or her behalf, the property
owner must provide a notarized letter indicating this to the subapplicant. FEMA shall not
pay for costs incurred by the property owners for a personal representative.
E.7.2 Subapplicant Consultation with the Property Owner
In consulting with the property owner, the subapplicant will accomplish the following before an
award can occur:
Conduct the consultation in a format agreed upon by, and convenient to, the property
owner (e.g., in person, via telephone). The consultation process may involve one or more
meetings as necessary;
Conclude and sign the Consultation Agreement, securing the signature of the property
owner on the Consultation Agreement at the conclusion of the consultation process; and
Advise the property owner that if FEMA does not award the subgrant for the mitigation
project, the property owner will be notified by the subapplicant.
The subapplicant will complete the project subapplication and will not require the property
owner to complete technical paperwork.
During the consultation meeting, the subapplicant must discuss and collect the information
required in the Model SRL Consultation Agreement.
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The consultation process is documented in the Consultation Agreement. The Consultation
Agreement may be signed by the property owner and the subapplicant, or the property owner
may elect not to sign the agreement as detailed in the following section. In either case,
documentation must be provided acknowledging that the SRL consultation process has occurred,
is consistent with the requirements of this guidance, and that all required information and
documentation has been received from the property owner and the subapplicant. The Model SRL
Consultation Agreement is available at: http://www.fema.gov/government/grant/srl/index.shtm.
E.7.3 Possible Outcomes of the Consultation Process
The SRL consultation process has two possible outcomes:
The property owner will sign a Consultation Agreement that the subapplicant will include
with the project subapplication to the Applicant; or
The property owner will indicate either verbally or in writing that he or she will not sign
the Consultation Agreement. In this case, the subapplicant must document the interaction
with the property owner and inform the property owner that their property may be
included in the subapplication and that an offer may be made even though the property
owner declines to consult further. The subapplicant will include this documentation with
the project subapplication.
E.8 Mitigation Offer Process
The Mitigation Offer process will occur once FEMA has awarded the grant to the Grantee and
the Grantee has awarded the subgrant to the subgrantee. The formal offer of mitigation assistance
will be extended via the Mitigation Offer Letter. The subgrantee must use the model format
found at http://www.fema.gov/government/grant/srl/index.shtm when issuing a Mitigation Offer
Letter. If the subgrantee finds it legally necessary to substitute its own Mitigation Offer Letter,
the proposed draft must be reviewed and approved by the FEMA Office of Chief Counsel prior
to sending the letter to the property owner.
Any Mitigation Offer made under the SRL program remains open and available to the property
owner until the SRL program terminates, subject to the availability of funds. When a property
owner declines a Mitigation Offer, the Grantee may use its accounting system to retain the funds
for the duration of the POP. The guidance provided below will assist the subgrantee in
implementing the Mitigation Offer process with the property owner identified in the approved
subgrant.
Grantees and subgrantees should consider the impacts that the required Mitigation Offer process
and related notifications to a property owner may have on the POP. Grantees and subgrantees
should minimize delays in their communications with one another, property owners, and with
FEMA, particularly on the status of response to offers, so that mitigation is completed within the
approved POP.
The amount of the Mitigation Offer includes the cost of the project, the basis for the offer, and
the methodology for calculating the final offer. The amount that the property owner receives is
the final offer amount that reflects applicable reductions (e.g., duplicated benefits and costs
borne by the property owner) and additions (e.g., supplemental housing payments).
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For projects other than property acquisition, the final offer amount is based on
estimates for the cost of the project and applicable deductions.
For property acquisition and structure demolition or relocation projects, the final
offer amount is based on the purchase offer for the severe repetitive loss property (see Part
IX A.11) adjusted by applicable deductions (e.g., duplicated benefits and costs borne by
the property owner), additions (e.g., supplemental housing payment), and the methodology
used to determine the property value (i.e., market value, pre-event value, outstanding
loans, original purchase price).
E.8.1 Subgrantee Responsibilities during the Mitigation Offer Process
The Mitigation Offer may involve an initial meeting and continued coordination such as followup meetings, telephone calls, or mailings necessary to provide information requested by the
property owner. In accordance with SRL regulations, the property owner has 45 days from the
date of the Mitigation Offer Letter to return a signed Mitigation Offer Letter accepting or
refusing the offer of mitigation to the subgrantee. The 45-day period may be extended by the
FEMA Regional Administrator, if the property owner submits a written request before the
expiration of the 45-day time period describing extenuating circumstances and the FEMA
Regional Administrator grants the request.
The subgrantee will:
Sign and send (via certified mail) Mitigation Offer Letters to all property owners
identified in the subgrant;
Complete the Statement of Voluntary Participation form for the property owner’s
signature;
Notify each holder of recorded interest on the property of the Mitigation Offer;
Follow the Mitigation Offer Letter with a meeting with the property owner, if requested;
and
Forward a copy of each Mitigation Offer Letter and all responses to the appropriate
FEMA Regional Office and the Grantee.
E.8.2 Possible Outcomes of the Mitigation Offer Process
The SRL Mitigation Offer process has two possible outcomes:
The property owner accepts the Mitigation Offer of assistance and signs the Mitigation
Offer Letter within the allotted time. The subgrantee then forwards the response to the
Mitigation Offer Letter to the FEMA Regional Administrator copying the Grantee, and the
mitigation activity may proceed; or
The property owner does not accept the Mitigation Offer of assistance and/or does not
sign and return the Mitigation Offer Letter within the allotted time. The subgrantee will
notify the FEMA Regional Administrator (copying the Grantee) and FEMA will issue a
notice to the property owner specifying the effective date of the insurance premium rate
increase for their property. Generally, this increase will occur upon renewal of the
insurance policy contract. In this notice, FEMA will notify the property owner that he or
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68
she has the right to appeal the insurance premium rate increase in accordance with 44 CFR
Part 79.
A Mitigation Offer made under the SRL program remains open and available to the property
owner subject to the availability of funds.
E.8.3 Change In Ownership Subsequent to Mitigation Offer
If the property owner who has completed the consultation process with the subapplicant should
cease to own the property after FEMA has awarded a grant for the project and before the
property transfers to the subgrantee, the subgrantee is not in compliance with the pre-award
consultation requirements of the program with respect to the new property owner. Thus, the
subgrantee should attempt to meaningfully comply with the requirement after-the-fact by
consulting with the new property owner and determining whether the property shall remain in the
SOW of the project. The subgrantee must notify FEMA through the Grantee of the completion of
the consultation process or withdrawal of the property from the project scope. If the subgrantee
completes the consultation process with the new property owner and retains the property in the
scope of the project, the subgrantee shall extend an offer to the new property owner in
accordance with the program regulations and guidance, which the new property owner remains
free to accept or decline, subject to program implications.
E.9 Increased Insurance Premiums and Subsequent Claims Payments
Property owners who decline formal offers of mitigation assistance, in the form of a Mitigation
Offer Letter, and/or do not sign and return the Mitigation Offer Letter within the allotted time,
will be subject to increases to their insurance premium rates, as described in Part VIII E.9.1.
These insurance premium rate increases are limited to the actuarial risk premium rate for the type
and class of property as established in accordance with 44 CFR Section 79.7(c).
E.9.1 Implementation of Insurance Premium Rate Increases
In accordance with 44 CFR Section 79.7(c) and this guidance, in any case in which the owner of
a property does not accept a Mitigation Offer, FEMA will notify each holder of recorded interest
on the property. This notification will note that upon policy renewal or issuance of a new NFIP
policy covering the property, the chargeable premium rate with respect to the property shall be
the amount equal to 150 percent of the chargeable premium rate for the property at the time the
Mitigation Offer was made, as adjusted by any other premium adjustments otherwise applicable
to the property.
The Notice of NFIP Insurance Premium Rate Increase will be accompanied by a detailed, sideby-side comparison of the total premium at the time the offer was made and the projected total
premium as a result of increased insurance premium rate. A similar document and notification
will accompany the official written notice of insurance premium rate increase resulting from any
subsequent paid insurance claims of more than $1,500 in total claim payments to a property
owner who has previously refused a Mitigation Offer.
Unless the property owner initiates a viable appeal of the Assistant Administrator for the Flood
Insurance and Mitigation Administration’s written notice of increased insurance premium rate
within 90 days of the date of the notice, the increase will take effect on the first renewal or
issuance of a new NFIP policy covering the property after the 90-day appeal period has elapsed.
Should the property owner submit a written appeal, including supporting documentation, during
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the 90-day appeal period, the applicable insurance premium rate increase for the property will be
suspended during a stay of applicability pending the outcome of the appeal.
If the property owner prevails on appeal, the chargeable risk premium rate for flood insurance
coverage on the property will not automatically increase, but will continue to be based on the
applicable rating characteristics of the structure prior to the Mitigation Offer, including any other
premium adjustments otherwise applicable to the class of property.
If the property owner loses the appeal, the increase in the chargeable risk premium rate for flood
insurance coverage on the property will be effective on the first renewal or issuance of a new
NFIP policy covering the structure after the appeal is closed. In addition, any insurance premium
rate increase suspended during the stay of applicability shall be collected from the property
owner. If FEMA does not receive the additional premium by the date it is due, the amount of
coverage will be reduced to correspond to the amount of premium payment received. In addition,
if a loss occurs, the loss payment will be limited to the amount of coverage that the original
premium received will buy.
E.9.2 Underwriting Data Requirement
To establish the actuarial or risk premium rate limits for the insurance premium rate increases,
specific underwriting information related to the flood zone and BFE on the effective FIRM, and
the elevation of the lowest floor, as well as other rating criteria specific to the subject property,
are required. The property owner may be required to provide FEMA with information to ensure
that initial and subsequent insurance premium rate increases do not exceed the actuarial risk
premium rate limitation for the structure. The need for this underwriting information only exists
should the property owner refuse a Mitigation Offer.
E.10 Appealing an Insurance Premium Rate Increase
A property owner who has received a notice from FEMA for an increase in flood insurance
premium rates may appeal the decision by following the procedures in this section and
supporting the appeal with one or more of the six statutorily permitted grounds for appeal as
described in Part VIII E.10.1. As detailed below, a property owner submitting an appeal of
insurance rate increase may elect to utilize an Independent Third Party (ITP) or Alternative
Dispute Resolution (ADR) Office staff member. The available appeal grounds and process are
identical in either case.
E.10.1 Six Grounds for Appeal
There are six statutorily based grounds for appeal, which are described in more detail at 44 CFR
Section 79.7(d). No other grounds will be considered by the ITP or ADR Office. They are as
follows:
1. Appeals relating to inability to purchase replacement property (property acquisition and
structure demolition or relocation projects only);
2. Appeals relating to insufficient funding for property acquisition and structure demolition
or relocation, structure elevation, mitigation reconstruction, and dry floodproofing;
3. Appeals relating to diminishing integrity of historic properties;
4. Appeals relating to third-party violations affecting multifamily properties;
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5. Appeals relating to reliance on FIRM current at the time of purchase; and
6. Appeals relating to cost effectiveness of alternative project.
E.10.2 Request for Appeal
A property owner’s Request for Appeal must be submitted in writing in the form of the SRL
Model Appeal Request and must include supporting documentation. The request for appeal must
be postmarked or delivered to the appropriate FEMA Regional Administrator within 90 days of
the date of the Notice of NFIP Insurance Premium Rate Increase. The SRL Model Appeal
Request is available at: http://www.fema.gov/government/grant/srl/index.shtm.
By submitting a Request for Appeal that is timely and technically complete, an increase in the
chargeable insurance premium rate is stayed pending the decision on the appeal by FEMA.
In addition, at any time during the appeal phase, the property owner has the right to withdraw the
appeal and opt to sign the Mitigation Offer Letter.
E.10.3 Initial FEMA Review of Appeal
The FEMA Regional Administrator will conduct an initial review of each appeal received on a
timely basis in order to:
Confirm that the property owner is raising a viable appeal. The FEMA Regional
Administrator may reject the Request for Appeal if it is made on a basis other than one of
the six statutorily outlined grounds, resulting in an increase in the chargeable insurance
premium rate upon renewal of the policy;
Request and assemble additional documentation and information from the property owner
in support of the ground(s) for appeal raised by the property owner. And if applicable,
request cooperation, documentation, and information from the Grantee and subgrantee.
The FEMA Regional Administrator may reject the Request for Appeal if the property
owner fails to provide sufficient supporting documentation within the time period
prescribed by the Regional Administrator, resulting in an increase in the chargeable
insurance premium rate upon renewal of the policy; and
Consider whether the property owner can establish, based on the face of the
documentation and information provided, that the basis of the Mitigation Offer was in
error. In such a case, the FEMA Regional Administrator has the discretion to request that
the subgrantee re-offer the Mitigation Offer or close the appeal if appropriate.
In all other cases, the FEMA Regional Administrator will refer the appeal for review by an ITP.
E.10.4 Appeal to Independent Third Party
If the appeal is not resolved after the initial FEMA review, the FEMA Regional Administrator
will transmit the Request for Appeal and the accompanying documentation and information to
the FEMA ADR Office as soon as practicable.
FEMA maintains a list of individuals qualified to hear appeals as an ITP based on objective
criteria, including training and experience as an ADR professional, established by the ADR
Director. The FEMA ADR Office employs ADR professionals who possess the training and
experience to serve as a neutral third party to review the appeal in lieu of an ITP. Accordingly,
the property owner may choose to have his/her appeal heard by a reviewer from the FEMA ADR
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Office in order to minimize the expense of the appeal. If the property owner chooses this lowcost alternative to an ITP, the property owner waives the right to have the appeal heard by an ITP
and the determination by the reviewer from the FEMA ADR Office has the same effect as a
determination by an ITP. The ADR Director can provide further guidance to the property owner
about his or her options for a reviewer.
Appeal Based on the Record or Hearing: The ITP may hear a property owner’s appeal in one
of two ways:
1. Upon written request by the property owner, the ITP will conduct a hearing in connection
with the appeal. The written request for a hearing must be included in the Request for
Appeal; or
2. If the property owner does not make a written request for a hearing, the ITP will consider
the record on appeal as well as documents and information submitted by the property
owner and the Grantee and subgrantee, if applicable, and will make a decision based on
the record on appeal.
Because the property owner is responsible for the compensation of the ITP if he or she loses on
appeal, the property owner will receive information about additional costs, if any, associated
with a hearing versus costs associated with consideration of the record on appeal.
When making a decision about the merits of the appeal, the ITP will consider the record on
appeal. In addition, the ITP has the discretion to consider other relevant documentation and
information outside the record on appeal. The ITP has the exclusive authority to determine
whether other relevant documentation and information outside the record on appeal will be
considered.
Conduct of a Hearing: If the property owner makes a written request for a hearing, such
hearing will be conducted by the ITP in a manner consistent with guidelines established by the
ADR Director. The ADR Director will provide these guidelines upon request. The ITP may
convene a hearing at a location designated by the ADR Director. Whenever possible, hearings
will be held at a location close to the severe repetitive loss property that is the subject of the
appeal, unless the parties jointly agree to a different location.
The parties to the hearing are the property owner and a representative of FEMA.
Parties are permitted to have a designated personal representative accompany them to the
hearing.
Technical or Subject Matter Experts: The ITP has the discretion to consult with or hear from a
technical or subject matter expert. The ADR Director will maintain a list of appropriate technical
or subject matter experts from other Federal agencies and elsewhere. The ITP will notify the
parties of his or her intent to utilize a technical or subject matter expert provided there is no
conflict of interest among the parties to the appeal or the participants at the hearing. If one of the
parties raises a conflict of interest, the ADR Director will consider it and make a decision about
whether to replace the technical or subject matter expert.
Decision: Within 90 days of the date on which FEMA receives the property owner’s Request for
Appeal, the ITP will issue a decision in connection with the property owner’s appeal in writing
to the ADR Director.
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Final Decision: The decision of an ITP that is consistent with 44 CFR Part 79 and this guidance
will be final and binding on the parties to the appeal. However, the ADR Director may correct
clerical, typographical, or computational errors made by the ITP.
Action on Decision: The ADR Director will forward the decision to the property owner and
FEMA. If the determination to increase the chargeable insurance premium rate for flood
insurance coverage is upheld, FEMA will calculate any required insurance premium rate
increases, including past amounts due, based on regulation. If the increase is not upheld, the
anticipated rate increase will not go into effect.
Administration of Appeal to ITP: The ADR Director will conclusively resolve any procedural
disputes arising in the course of the appeal to the ITP.
Outcomes of Appeal to ITP:
1. If the Severe Repetitive Loss Property Owner Prevails on Appeal, the ITP shall require
FEMA to charge the risk premium rate for flood insurance coverage of the property at the
rate paid prior to the Mitigation Offer (see 44 CFR Section 79.7(d)(5)).
The ITP has no authority to award attorneys’ fees, pre-judgment interest, post-judgment
interest, or punitive damages. In addition, the ITP is prohibited from creating other
categories of awards; for example, no award of consequential, special, or exemplary
damages is available to a property owner.
Costs: If the ITP or technical or subject matter expert receives compensation for his/her
services and the property owner prevails on appeal, the NFIF shall bear the costs of such
compensation. A property owner who brings an appeal will be responsible for paying
his/her attorneys’ fees and costs; or
2. If the Severe Repetitive Loss Property Owner Loses the Appeal, FEMA shall promptly
apply the increase to the chargeable risk premium rate for flood insurance coverage of the
property to the amount established pursuant to 44 CFR Section 79.7(c) and shall collect
from the property owner the amount necessary to cover the stay of the applicability of
such increased rates while the appeal was pending.
Costs: If the ITP or technical or subject matter expert receives compensation for his/her
services and the property owner loses on appeal, the property owner shall bear the costs
of such compensation. In addition, a property owner who brings an appeal will be
responsible for paying his or her attorneys’ fees and costs.
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PART IX. ADDITIONAL PROJECT
GUIDANCE
Part IX provides additional information that is not generally applicable to all HMA projects. This
section supplements the information provided in Parts I through VIII and does not provide all of
the information necessary to apply for funding for any type of project.
A. Property Acquisition and Structure Demolition or Relocation for Open Space
This section supplements the information provided in Parts I through VIII.
For property acquisition and structure demolition or relocation projects for the purpose of open
space, Applicants and subapplicants must comply with 44 CFR Part 80, FEMA Property
Acquisition and Relocation for Open Space and this guidance. A project may not be framed in a
manner that has the effect of circumventing these requirements.
A.1 Overview
Generally, FEMA-funded property acquisition and structure demolition or relocation projects for
open space consist of a community purchasing floodprone structures from willing sellers and
either demolishing the structures or relocating the structures to a new site outside of the
floodplain. The purchased property is then maintained for open space purposes in perpetuity in
order to restore and/or conserve the natural floodplain functions. While some communities may
elect to develop a new site outside of the floodplain for participating residents to move to, FEMA
encourages communities to opt for the simpler acquisition and structure removal model. These
projects require only minimal environmental review, are considerably less expensive, and allow
homeowners to determine where to relocate.
Because Federal law requires properties acquired with FEMA funds for this project type to be
maintained as open space in perpetuity, Grantees and subgrantees are responsible for oversight in
ensuring and enforcing proper land use, and for coordinating with FEMA on any future land use
or property disposition issues.
During development of a project for open space, property owners are responsible for notifying
the subapplicant of their interest in participating in the proposed project. They must provide all
requested information to the subapplicant, and they must take all required actions necessary for
completing the grant subapplication and for implementing the property acquisition and structure
demolition or relocation activities.
A.2 Eligible Activities
To be eligible, the subapplicant must acquire the [full] fee title (but for easements and
encumbrances FEMA determines to be compatible) of properties from willing, voluntary sellers,
or retain such interest. The subapplicant must commit not to use eminent domain should the
property owner choose not to participate, and must verify that the property is not needed as a part
of an intended planned project. Once funds are awarded, a property may not be subdivided prior
to acquisition, except for portions outside the identified hazard area, such as the SFHA or any
risk zone identified by FEMA.
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Properties that are eligible for acquisition include those where:
The property will be acquired from a willing, voluntary seller;
The property contains a structure that may or may not have been damaged or destroyed
due to an event;
All incompatible easements or encumbrances can be extinguished;
The property is not contaminated with hazardous materials at the time of acquisition,
other than incidental demolition or household waste; and
The property is not part of an intended, planned, or designated project area for which the
land is to be acquired by a certain date, and/or where there is an intention to use the
property for any public or private future use inconsistent with the open space deed
restrictions and FEMA acquisition requirements (examples include roads and flood
control levees).
Acquisitions in CBRS units and OPAs are eligible only under PDM, FMA, SRL, and RFC, but
not under HMGP, and only if the projects are otherwise eligible under the requirements in 44
CFR. and this guidance. In addition, acquisitions are eligible only if they qualify for one of the
exceptions in section 6 of CBRA, 16 U.S.C. 3505. That is, acquisitions are eligible if they are
consistent with the purposes of the CBRA, and qualify as projects for the study, management,
protection, and enhancement of fish and wildlife resources and habitats, as provided in 16 U.S.C.
3505 (a)(6)(A). Acquisitions are also subject to the regulatory restrictions of allowable uses
under 44 CFR. Section 80.19
Any relocated structure must be placed on a site located outside of the SFHA, outside of any
regulatory erosion zones or other mapped hazard areas, and in conformance with any other
applicable State or local land use regulations.
A.3 Open Space Restrictions
To be eligible, a project must result in property acquisition and structure demolition or relocation
that meets all of the requirements of 44 CFR Part 80 and this guidance governing the use of grant
funds and the use of acquired real property, including:
The subgrantee will dedicate and maintain the property in perpetuity for uses compatible
with open space, recreational, or wetlands management practices, and consistent with
conservation of natural floodplain functions, by recording deed restrictions consistent with
the FEMA Model Deed Restriction;
No new structures will be built on the property except as indicated below:
Public buildings that are open on all sides and functionally related to a designated
open space or recreational use;
Public restrooms;
Structures that are compatible with open space, recreational, or wetlands management
usage and proper floodplain management policies and practices, which the FEMA
Regional Administrator approves in writing before the construction of the structures
begins; or
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Any structures built on the property according to the subparagraphs above will be
elevated or floodproofed to the BFE plus 1 foot of freeboard and meet applicable
requirements of the NFIP floodplain management regulations at 44 CFR Section 60.3;
Allowable land uses for properties acquired for open space under PDM, FMA, RFC, and
SRL projects within CBRS units and OPAs are identified in Part IX A.15. FEMA may
prohibit additional post-acquisition uses it determines, in consultation with U.S. Fish and
Wildlife Service (USFWS), inconsistent with the purposes of the CBRA;
After settlement, no Federal disaster assistance for any purpose from any Federal source,
nor flood insurance payments, may be made with respect to the property, and no person or
entity shall seek such amounts;
The subgrantee must obtain the approval of the Grantee and the FEMA Regional
Administrator before conveying ownership (fee title) of the property to another public
agency or qualified conservation organization. Property transfer to private citizens and
corporations will not be approved. The transferee must be another public entity or a
qualified conservation organization. All development rights in the form of a conservation
easement on the property must be conveyed to the conservation organization or retained
by the subgrantee or other public entity; and
By accepting grant funds, the subgrantee accepts responsibility for monitoring and
enforcing the deed restriction and/or easement language.
The open space restrictions described above and included in 44 CFR Section 80.19 apply to all
FEMA-funded property acquisitions for the purpose of open space, regardless of when the
application period opened, when the Presidential major disaster was declared, or when the
property was acquired.
For managing open space after a property acquisition and structure demolition or relocation
project is implemented, see Part IX A.17. For the FEMA Model Deed Restriction and other
Acquisition Project Resources, see Part X C.10.
A.4 Application Information
Subapplicants are responsible for meeting the requirements and timeframes specified at 44 CFR
Section 80.13, and must provide information necessary for the Applicant and FEMA to
determine the eligibility of the project, as specified in the subapplication package. This includes
project and property-specific information as described in Part IV H.1.1, such as project
description and property information (including EHP information). FEMA may request
additional information after subapplications are submitted to ensure that all necessary
information is received. However, all information required by the regulations and this guidance
must be received before a funding decision and award or final approval can be made.
A.4.1 Project Scope of Work
The SOW must include the following additional information at the time the subapplication is
submitted:
For all HMA programs, the project cost estimate must include the value of each property
(pre-event or current, as appropriate); in all cases, documentation of the current market
value is also required; and
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The subgrantee must identify, in the subapplication SOW, an appeal or reconsideration
process for property owners who dispute the amount of the purchase offer property
valuation.
A.4.2 Assurances
Subapplicants are responsible for meeting the requirements and timeframes specified at 44 CFR
Section 80.13, and must provide information necessary for the Applicant and FEMA to
determine the eligibility of the project, as specified in the subapplication package. Subapplicants
requesting assistance for property acquisition and structure demolition or relocation must include
a written Statement of Assurances in their subapplications. Property acquisition and structure
demolition or relocation projects without these formal assurances will not be considered for
funding. The FEMA Statement of Assurances must be signed by the subapplicant’s authorized
agent. The Statement of Assurances must provide acknowledgement of, and agreement to, the
requirements identified in the model Statement of Assurances available at:
http://www.fema.gov/government/grant/resources/acq_assurances.shtm.
Subapplications that do not include a signed FEMA Statement of Assurances acknowledging
these requirements are incomplete, and will not be considered for funding.
A.4.3 Deed Restriction Language
The subapplication must also include a sample of the deed restriction (not including property
specific details) that the subapplicant intends to record with each property deed. The sample
must be consistent with the FEMA Model Deed Restriction. The FEMA Model Deed Restriction
is available on the FEMA Web site at
http://www.fema.gov/government/grant/resources/hma_deed_restriction.shtm. The subapplicant
must seek approval from the FEMA Office of Chief Counsel, through the FEMA Regional
Office, for any changes in language differing from the Model Deed Restriction language.
Changes may be made to comply with local legal form requirements, but changes to substantive,
programmatic provisions will not be entertained.
For all acquisitions for open space in CBRS units and OPAs the subapplicant must include a
sample of the deed restriction for review and approval from the FEMA Office of Chief Counsel,
through the Regional Office to ensure compliance with all deed restriction requirements specific
to these areas.
A.4.4 Individual Property Documentation
The following application information involves obtaining documentation of the individual
property site or of coordination with individual property owners, and must be submitted during
the application process.
A.4.4.1 Documentation of Voluntary Interest
Documentation of voluntary interest signed by each property owner must be submitted as
specified in 44 CFR Section 80.13. This documentation should be accomplished as early in the
project development process as is feasible. Participation in property acquisition and structure
demolition or relocation projects by property owners is voluntary. The prospective participants
must be informed in writing that participation in the program is voluntary, and that the
subapplicant will not use its eminent domain authority to acquire their property for the project
purposes should negotiations fail and the property owner chooses not to participate.
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The Notice of Voluntary Interest can be documented using individual signed statements, or
through a group sign-up sheet (as identified in the examples cited below). The documentation
must record the name and signature of interested property owners associated with each property
and must also clearly show each property owner acknowledging the following language:
This project for open space acquisition is voluntary and neither the [Applicant]
nor the [subapplicant] will use its eminent domain authority to acquire the
property for open space purposes should negotiations fail and the property owner
chooses not to participate.
Example Notices of Voluntary Interest are available at:
http://www.fema.gov/government/grant/resources/vol_notice1.shtm and
http://www.fema.gov/government/grant/resources/vol_notice2.shtm.
For the SRL program, documentation of voluntary interest from each property owner may be
documented in the Consultation Agreement and included with the project subapplication (see
Part VIII E.7).
During the implementation of the project, the subgrantee shall execute a more formal Statement
of Voluntary Participation with the owner of each property identified in the subapplication
Statement of Work (see Part IX A.10).
A.4.4.2 Certification of Owner Status for Pre-event Value
The subapplicant must provide certification from each property owner that the property owner is
a National of the United States or qualified alien (refer to Part IX A.11.3 for additional
information) before the property owner can receive pre-event value for the property. Subgrantees
will offer participants who refuse to certify, or who are not Nationals of the United States or
qualified aliens, no more than the appraised current market value for their property.
A.4.5 Consultation Regarding Other Ongoing Federal Activities
Because properties acquired under HMA programs must be permanently converted to open space
and will be unavailable for future development, subapplicants must coordinate in accordance
with 44 CFR Section 80.13 to ensure that other Federal actions are not anticipated that would
affect the same parcels considered for acquisition for open space.
The subapplicant will need to forego an open space acquisition project and pursue other
mitigation project options if it finds that other Federal activities are planned in the proposed
project area. If the subapplicant proceeds with the acquisition project, it must include
documentation of its coordination under this section in its subapplication.
A.4.5.1 U.S. Army Corps of Engineers
The subapplicant must demonstrate in its subapplication for mitigation assistance that it has
consulted with USACE regarding each subject property’s potential future use for the
construction of a flood levee system (including berms, floodwalls, or dikes) and that USACE
will reject future consideration of such use if the subapplicant accepts FEMA assistance to
convert the property to permanent open space. FEMA will not award funds for any property
without this documentation. The construction of flood levee systems on these lands is
incompatible with open space uses and, therefore, will not be allowed. This restriction generally
does not apply to structures for ecosystem preservation, restoration, or enhancement.
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If this initial level of consultation with the subapplicant indicates that the local government
wishes to consider a flood damage reduction levee in the area, the subapplicant or local
government must then undertake an expanded consultation process with the Applicant, FEMA,
and USACE. The consultation will involve the identification and full consideration of future
potential land use conflicts to enable the local government to make an informed decision
regarding how it should proceed. There may be situations where the local government may be
able to pursue both the open space acquisition and flood damage reduction levee projects in the
same community without any land use conflicts (i.e., the levee will not cross acquired land). If,
however, the local government determines that such conflicts cannot be resolved and chooses to
pursue the USACE flood damage reduction levee, the local government must notify FEMA,
through the Applicant, that it will not submit a subapplication for FEMA mitigation grant
funding for property acquisition and structure demolition or relocation.
If the local government decides to pursue a property acquisition and structure demolition or
relocation project following the consultation process, the subapplicant will include in its
subapplication assurances, a resolution, or an equivalent document adopted by the governing
body of the local government that indicates:
In consultation with USACE, the local government has addressed and considered the
potential future use of these lands for the construction of flood damage reduction levees,
and has chosen to proceed with acquisition of permanent open space; and
The local government understands that land acquired for open space purposes under the
relevant mitigation grant program will be restricted in perpetuity to open space uses and
will be unavailable for any use that is incompatible with the open space and floodplain
purposes designated for the property, including the construction of flood damage
reduction levees, paved roads, and other development.
A.4.5.2 Department of Transportation
The subapplicant must demonstrate in its subapplication for mitigation assistance that it has
coordinated with the relevant State Department of Transportation (DOT) to ensure that no future,
planned improvements or enhancements to the Federal aid systems, or other State transportation
projects, are presently under consideration (i.e., as identified in any planning or future use
documents) that will affect the proposed project area. The construction of such improvements,
enhancements, or projects on these lands is incompatible with open space uses and, therefore,
will not be allowed.
A.4.5.3 Other Federal Agencies
The Applicant and subapplicant must demonstrate in the application/subapplication for
mitigation assistance that they have consulted with other Federal agencies, as appropriate,
regarding other program requirements and/or activities, and identified the relationship to FEMA
mitigation grant activities and funding. Other Federal agencies’ requirements may apply to the
mitigation grant activities if other agency funds are used for activities related to the project in the
community, or to match the mitigation grant funding, such as CDBG funds. In the limited cases
when another Federal agency’s funds may be used to contribute to the non-Federal share of a
FEMA-funded mitigation project, both programs’ requirements apply to the whole project. The
Applicant is responsible for coordinating the various programs available within the State. It is
important to include local program representatives. Therefore, it is important to coordinate
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approaches and schedules with other programs involved. The objective should be to make the
process as simple and consistent as possible for subapplicants and property owners.
A.4.6 Consultation Regarding Properties Located within the CBRS or OPAs
As required by section 6 of the CBRA, the FEMA Regional Administrator will consult with the
designated representative of the Department of the Interior (DOI) at the regional level before
approving any action involving the acquisition for open space of a structure on or attached to a
unit of the CBRS or an OPA.
The consultation will be by written memorandum to the DOI representative and will contain the
following:
Identification of the unit within the CBRS;
Description of the structure and the property to be acquired, demolished or relocated;
including identification of the structure as an exception under section 6 of CBRA; and full
justification of its status as an exception;
Amount of proposed Federal funding;
Additional mitigation measures required, if any; and
A determination of the action’s consistency with the purposes of CBRA, if required by
these regulations, in accordance with 44 CFR Section 206.349.
Pursuant to FEMA understanding with DOI, the DOI representative will provide technical
information and an opinion whether or not the proposed action meets the criteria for a CBRA
exception, and on the consistency of the action with the purposes of CBRA (when such
consistency is required). DOI is expected to respond in a timely manner from the date of the
FEMA request for consultation. If a written response is not received, the FEMA Regional
Administrator will contact the DOI representative to determine if the request for consultation
was received.
For those cases in which the regional DOI representative believes that the proposed action should
not be taken and the matter cannot be resolved at the regional level, the FEMA Regional
Administrator will submit the issue to the Director, Office of Environmental Planning and
Historic Preservation, Federal Insurance and Mitigation Administration. In coordination with the
FEMA Office of Chief Counsel, consultation will be accomplished at FEMA Headquarters with
the DOI consultation officer. After this consultation, the Director, Office of Environmental
Planning and Historic Preservation, Federal Insurance and Mitigation Administration, determines
whether or not to approve the proposed action.
A.5 Allowable Costs
Allowable costs are those costs that are necessary and reasonable for the proper and efficient
performance and administration of the Federal award. Allowable costs for property acquisition
and structure demolition or relocation projects for open space depend upon the scope of the
project.
The following costs associated with the acquisition of hazard-prone real property and the
demolition of structures are generally allowable:
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Market value of the real property (land and structures) either at the time of sale or
immediately prior to the most recent disaster or flood event, subject to applicable
adjustments. However, for land already owned by an eligible entity, compensation will
be for the structure and for development rights only, not for the land. This includes any
entity eligible to apply for grant or subgrant funding under the relevant funding
program, even if they are not the Applicant or subapplicant for the project;
Fees for necessary appraisal costs, title search, title insurance, property inspection, and
survey (if necessary);
Fees associated with title transfer, contract review, and other costs associated with
conducting the real estate settlement including recordation of the deed and deed
restrictions; and
Demolition, site restoration, and site stabilization for the acquired site.
The following costs associated with the acquisition of hazard-prone property and
relocation of structures are generally allowable:
Market value of the real property (land only). However, for land already owned by an
eligible entity, compensation will be for the development rights. This includes any
entity eligible to apply for grant or subgrant funding under the relevant funding
program, even if they are not the Applicant or subapplicant for the project;
Fees for necessary appraisal costs, title search, title insurance, property inspection, and
survey (if necessary);
Fees associated with title transfer, contract review, and other costs associated with
conducting the real estate settlement, including recordation of the deed and deed
restrictions;
Jacking and moving of a structure to a new site;
The reasonable cost of disassembling, moving, and reassembling any attached
appurtenances, such as porches, decks, skirting and awnings;
Necessary individual site preparations including foundation, water, sewer, and utility
hookups; and
Demolition, site restoration, and site stabilization for the acquired site.
In addition to the cost of demolition, the following costs of demolition activities at the
vacated site are generally allowable if necessary for open space property acquisition with
either structure demolition or relocation:
Removal of demolition debris and household hazardous wastes to an approved landfill
(this includes debris from the demolition of houses, garages, driveways, sidewalks,
and above-grade concrete slabs);
Abatement of asbestos and/or lead-based paint;
Removal of septic tanks (if not removed, floors and walls must be cracked or crumbled
so the tank will not hold water, and be filled with sand or other clean fill);
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Permitted disposal of fuel tanks that support a residential use only;
Removal of all structure foundation and basement walls to at least 1 foot below the
finish grade of the site;
Filling of basements with compacted clean fill (basement floors must have a minimum
1-foot-diameter hole in the floor to allow for drainage);
Removal of only those trees that restrict the demolition work on any structure;
Termination of all abandoned utilities at least 2 feet below the finish grade of the site;
Capping of all wells and/or removal of associated components; and
Grading, leveling, and site stabilization of all demolition sites.
In addition to the allowable costs identified above, in exceptional circumstances there may be a
significant shortfall between the amount the subgrantee pays an owner for his/her damaged
residence and the cost of a comparable replacement home in a non-hazard-prone location. In that
case, an allowable project cost up to $22,500 per property may be provided to the owneroccupants to apply to the shortfall.
A.6 Property-Related Costs that Are Not Allowable
Costs that are not allowable under HMA programs include, but are not limited to, the following:
Compensation for land that is already held by an eligible entity. This is the case even if the
eligible entity is not the subapplicant for the project. In that event, however, compensation
for development rights (i.e., obtaining an open space easement) may be an allowable cost;
The cleanup or remediation of contaminated properties, except for permitted disposal of
incidental demolition, household hazardous wastes, and fuel tanks that support a
residential use only; and
Aesthetic improvements and landscaping, new site property acquisition, or public
infrastructure and utility development.
A.7 Relocation and Removal of Existing Buildings
As part of an open space acquisition and demolition or relocation project, existing buildings must
be removed and/or disposed of in accordance with applicable laws within 90 days of closing and
settlement of the property acquisition transaction. The FEMA Regional Administrator can only
grant an exception to this requirement in accordance with 44 CFR Section 80.17(d). If numerous
properties are purchased on different dates, the Grantee and subgrantee are still responsible for
structure removal within 90 days of settlement for each individual property. This exception can
be granted for multiple properties within a single project when the properties are individually
identified and the need for an exception is justified, in accordance with the regulations. As part
of an open space acquisition and relocation project, all relocated structures must be placed on a
site outside of an SFHA, outside of any regulatory erosion zones at a distance at least 60 times
the average annual erosion rate measured from an appropriate “erosion reference feature” and
any other identified hazard areas. The owner shall ensure the building is brought into compliance
with all applicable laws and regulations.
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As part of an open space acquisition and demolition project, existing buildings must be
demolished (resulting in the permanent destruction of each structure) and disposed of in
accordance with applicable laws.
In certain disaster-related instances, the demolition and debris removal related to acquired
structures may be eligible for reimbursement under the FEMA Public Assistance program if the
structures represent a health and safety hazard as a result of the disaster. States/Grantees and
subgrantees should coordinate with the appropriate FEMA Regional Office for more information
and to determine whether these costs are eligible under that program. If the costs of demolition
do not qualify for Public Assistance program funding, they are eligible project costs under the
relevant mitigation grant program. If any parts of the structure are sold for salvage value, this
amount shall reduce the total cost of the project before cost shares are calculated.
A.8 Hazardous Materials
In accordance with 44 CFR Section 80.11(e), properties that are contaminated with hazardous
materials are not eligible for acquisition. The subgrantee must take steps to ensure that a property
with past or present commercial or industrial use and adjacent properties suspected of having
hazardous materials at the site are not contaminated at the time of acquisition. If the
subapplication is selected, the subgrantee must meet the requirements of EPA’s “all appropriate
inquiries” rule, 40 CFR Part 312, including contracting with an appropriate qualified
environmental professional for a Phase I Environmental Site Assessment Process, as defined by
that rule, or by conducting an inquiry and providing a declaration certifying the inquiry and
evaluation. Any assessment must be in accordance with the procedures of ASTM International
Standard E1527-05 or E2247-08. The costs for meeting these requirements are considered
eligible project costs if such costs are included in the project’s budget. In accordance with these
criteria, and 44 CFR Section 80.17(a), the subgrantees shall:
Conduct interviews with past and present owners, operators, and occupants;
Search for recorded environmental cleanup liens;
Review Federal, Tribal, State, and local government records; and
Conduct visual inspections of the facility and of adjoining properties.
The purpose of this process is to seek to identify conditions indicative of releases and threatened
releases of hazardous substances, pollutants, contaminants, petroleum and petroleum products,
and controlled substances on, at, in, or to the subject property by gathering the following types of
information about the subject property:
Current and past property uses and occupancies;
Current and past uses of hazardous substances;
Waste management and disposal activities that could have caused releases or threatened
releases of hazardous substances;
Current and past corrective actions and response activities undertaken to address past and
ongoing releases of hazardous substances;
Engineering controls;
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Institutional controls; and
Properties adjoining or located nearby the subject property that have environmental
conditions that could have resulted in conditions indicative of releases or threatened
releases of hazardous substances to the subject property.
The subgrantee must seek to gather all information that is publicly available, obtainable from its
source within reasonable time and cost constraints, and which can practicably be reviewed.
If the Phase I “all appropriate inquiries” report identifies the presence of hazardous substances,
pollutants, contaminants, petroleum and petroleum products, or controlled substances on, at, or
in the subject property, the subgrantee shall require the owner to remove such materials in
accordance with any applicable Federal, State, Tribal, or local requirements. The costs of a Phase
II Environmental Site Assessment to evaluate suspected areas and to identify the nature and
extent of contamination on, at, in, or to the property are not eligible mitigation grant project
costs.
If the “all appropriate inquiries” report identifies the past release of hazardous substances,
pollutants, contaminants, petroleum and petroleum products, and controlled substances on, at, in,
or to the subject property, the subgrantee shall require the owner to provide a clean-site
certification. The clean-site certification must be provided before the subgrantee can purchase
any interest in the property. The seller must also agree to indemnify the Grantee, FEMA, and the
subgrantee for any liability arising from previous contamination of the property. The cost of
Phase III Environmental Site Assessment remediation plans, cleanup, and certification of the
property are not eligible mitigation grant project costs.
A.9 Clear Title
The subgrantee shall conduct a title search for each property it plans to acquire. The purpose of
the title search is to ensure that the owner is the sole and actual titleholder to the property, or
identify other persons with a property interest, and to ensure that the title is clear. This means
that there are no mortgages or liens outstanding upon sale of the property. In addition, there may
not be incompatible easements or other encumbrances to the property that would make it either
ineligible for acquisition or noncompliant with open space land use restrictions.
Other requirements include:
A title insurance policy demonstrating that clear title conveys must be obtained for each
approved property that will be acquired;
A physical site inspection for each property verifying no physical encumbrances to the
property (where appropriate this may require a site survey to clearly establish property
boundaries);
Title to the property must transfer by a warranty deed in all jurisdictions that recognize
warranty deeds;
All incompatible easements or encumbrances must be extinguished;
The subgrantee shall take possession at settlement;
The subgrantee must record the deed at the same time as and along with the programmatic
deed restrictions;
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The deed transferring title to the property and the programmatic deed restrictions will be
recorded according to State law and within 14 days after settlement; and
All property transfers shall be consistent with 44 CFR Part 80 and this guidance.
A.10 Statement of Voluntary Participation
The Statement of Voluntary Participation documents more formally the Notice of Voluntary
Interest, as well as documenting information related to the purchase offer. The Statement of
Voluntary Participation is available on the FEMA Web site:
http://www.fema.gov/government/grant/vol_participation.shtm. The subgrantee shall provide to
FEMA a signed copy of the Statement of Voluntary Participation for each property after award.
For further information on documentation of voluntary interest, see Part IX A.4.4.1. For further
information on the purchase offer, see Part IX A.11.
Participation is not voluntary for tenants of properties to be acquired; for information about
considerations for tenants, see Part IX A.12.
A.11 Final Mitigation Offer
The final Mitigation Offer to a property owner is based upon the value assigned to a property
(“purchase offer”) and applicable additions and deductions. Deductions to the purchase offer
may include DOB deductions, and additions may include any supplemental housing or insurance
incentive payments. The subgrantee must ensure that all property owners are treated fairly, and
are offered an equitable package of benefits. The subgrantee (using a Statement of Voluntary
Participation) shall inform each property owner in writing of the market value (pre-event or
current) of the property, and the method used to determine the final Mitigation Offer.
If several different entities or programs are acquiring property in the same area, property owners
may find it confusing if different offers are made to area owners at different times. To avoid any
negotiation difficulties or confusion, the subgrantee should coordinate the release of property
valuation information and purchase offers to property owners for the various programs. The
subgrantee may wish to set a time limit with the property owner for the validity of a purchase
offer. The subgrantee must provide an appeal or reconsideration process for property owners
who dispute the amount of the purchase offer property valuation.
Purchase offers made under the SRL program have different requirements than those made
under other FEMA mitigation grant programs and, in addition to the following requirements,
must comply with the offer requirements identified in Part VIII E.8. The purchase offer of an
severe repetitive loss property must be the greatest of the following amounts:
The current market value of the property or the pre-event market value of the property;
The original purchase amount paid by the property owner holding the flood insurance
policy as demonstrated by property closing documents; and
The outstanding amount of any loan to the property owner, secured by a recorded interest
in the property at the time of the purchase offer.
When determining value based on the outstanding amount of loans to the property owner for the
SRL program, the loans must be secured by a recorded interest in the property at the time of the
purchase offer and the value shall not include home equity loans or lines of credit secured after
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the property owner signs the Pre-Award Consultation Agreement. Any loans secured after the
property owner signs the Pre-Award Consultation Agreement are not eligible.
A.11.1 Purchase Offer: Value of the Property
For each property identified for acquisition, the subgrantee shall establish and document a
property value based on market value, which is defined as:
The amount in cash, or on terms reasonably equivalent to cash, for which in all
probability the property would have sold on the effective date of the valuation,
after a reasonable exposure time on the open competitive market, from a willing
and reasonably knowledgeable seller to a willing and reasonably knowledgeable
buyer, with neither acting under any compulsion to buy or sell, giving due
consideration to all available economic uses of the property at the time of the
valuation.
Current market value reflects the property value at the time of the final Mitigation Offer. Preevent market value is defined as the market value of the property immediately before the relevant
event affecting the property. For HMGP, the relevant event for assistance is the major disaster
under which funds are available. For the PDM program, pre-event market value is the value
before the most recent major disaster; however, if the project is occurring separate from or more
than 12 months after a disaster event, the current market value may be more appropriate. For the
FMA, RFC, and SRL programs, the pre-event market value is defined as the value of the
property immediately before the most recent flood event resulting in an NFIP claim of at least
$5,000.
The benefit of payment of pre-event market value is only available to an owner who owned the
property during the event and is a U.S. National or qualified alien. If the current property owner
purchased or took possession due to default or foreclosure of the disaster-damaged property after
the major relevant event, or is not a U.S. National or qualified alien, then the subgrantee shall not
offer the owner more than the current market value.
Typically, property acquisition and structure demolition or relocation projects require the
valuation of the property (land and structure as a whole). In situations where an eligible entity
already owns the property but wants to deed-restrict it, valuation will be for the structure and
development rights instead of for the land. Relocation projects require the valuation of land only.
A.11.2 Valuation Methodologies
The appraisal methodology shall be used to determine property value. Appraisals must be
conducted by an appraiser in accordance with the Uniform Standards of Professional Appraisal
Practice. The appraiser must comply with relevant State laws and requirements, and shall have
the appropriate certification, qualifications, and competencies based on the type of property
being appraised. The subgrantee must coordinate with the Grantee to determine the assumptions
that will be used in the appraisal (i.e., current or pre-event market value). These assumptions
must be applied consistently throughout the project area for all properties to be acquired.
When determining value for a large number of structures, the subgrantee may choose to perform
appraisals to establish a statistical sampling of property values, and develop an adjustment factor
to apply to tax-assessed values so that they reasonably reflect each property’s market value.
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Potential deductions from and additions to the purchase offer must also be considered (see Part
IX 11.4 and 11.5).
A.11.3 Purchase Offer and Nationality
A property owner who is not a National of the United States or a qualified alien is not eligible for
a pre-event market value determination of property value. The property value must be based on
current market value.
The term “National of the United States” is defined at 8 U.S.C. Part 1101 and means a citizen of
the United States or a person who is not a citizen but who owes permanent allegiance to the
United States. The term “qualified alien” is defined at 8 U.S.C. Part 1641 and means an alien
who, at the time the alien applies for, receives, or attempts to receive a Federal public benefit, is:
1. An alien who is lawfully admitted for permanent residence under the Immigration and
Nationality Act [8 U.S.C. Part 1101 et seq.];
2. An alien who is granted asylum under Section 208 of such Act [8 U.S.C. Part 1158];
3. A refugee who is admitted to the United States under Section 207 of such Act [8 U.S.C.
Part 1157];
4. An alien who is paroled into the United States under Section 212(d)(5) of such Act [8
U.S.C. Part 1182 (d)(5)] for a period of at least 1 year;
5. An alien whose deportation is being withheld under Section 243(h) of such Act [8 U.S.C.
Part 1253] (as in effect immediately before the effective date of Section 307 of division C
of Public Law 104–208) or Section 241(b)(3) of such Act [8 U.S.C. Part 1231 (b)(3)] (as
amended by Section 305(a) of division C of Public Law 104–208);
6. An alien who is granted conditional entry pursuant to Section 203(a)(7) of such Act [8
U.S.C. Part 1153 (a)(7)] as in effect prior to April 1, 1980; or
7. An alien who is a Cuban and/or Haitian entrant (as defined in Section 501(e) of the
Refugee Education Assistance Act of 1980).
Prior to award or final approval, subgrantees will ask all property acquisition and structure
demolition or relocation project participants (property owners) to certify that they are either a
National of the United States or a qualified alien. Subgrantees will offer participants who refuse
to certify, or who are not Nationals of the United States or qualified aliens, no more than the
appraised current market value for their property. Participants who refuse to certify or are not
Nationals of the United States or qualified aliens may not receive supplemental housing
payments.
Subgrantees may wish to use FEMA Form 90-69B, Declaration and Release, to obtain
certification from participating property owners. At the time of certification, the subgrantee will
ask the property owner to show a form of identification (any government-issued identification
displaying the signer’s name will suffice). If the property owner applied for FEMA disaster
assistance, a Form 90-69B will already be on file at FEMA and the subgrantee will instead
request verification from FEMA through the Grantee that a certification is on file.
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A.11.4 Deductions from Purchase Offer
The Grantee, subgrantee, and the property owner must identify any potential DOB. FEMA will
deduct other available benefits from the purchase offer. Some examples when DOB may occur in
a property acquisition and structure demolition or relocation project include the following:
The subgrantee offers full pre-event market value but the property owner has received
insurance, loans, repair grants, compensation in compliance with a court order, or other
assistance available to them to help address damages to the structure regardless of whether
such benefits were sought or received. This is because payment of full pre-event market
value compensates the owner for the loss of value that has occurred;
The subgrantee offers full pre-event value, but legal claims are appropriate or legal
obligations arise in connection to the property that may provide a benefit to the property
owner. Parties involved in pending legal disputes must take reasonable steps to recover
benefits available to them; and
Relocated tenants receive relocation assistance and rental assistance but have received
payments for the same purpose as part of the disaster assistance provided by any agency or
payments from any other source. Any acquisition-related assistance provided to tenants
must be reduced accordingly. However, tenant-related DOB deductions do not affect
amounts available to the property owner.
For property valuations based on pre-event market value, the following procedures assist in
preventing mitigation grant funds from duplicating benefits available from other sources:
The subgrantee establishes the purchase offer property value as of a certain date;
The subgrantee provides to the Grantee a list of property owners participating in the
property acquisition and structure demolition or relocation project and a list of tenants that
may be affected by the acquisition;
The Grantee and FEMA inform the subgrantee of the amount of repair or replacement
assistance (grants and/or SBA loans) available to each property owner, and rental or
relocation assistance available to tenants. FEMA shall provide to the Grantee and
subgrantee NFIP coverage information, including the amount paid on a claim and the
amount of coverage available;
The subgrantee coordinates with property owners who shall disclose all potential amounts
available to them for the same purpose, as described above, including repair or
replacement assistance received (grants and/or SBA loans), all insurance benefits available
to them under an existing policy (whether they submitted a claim or not), and any
potential recovery based on litigation or other legal obligations. The property owner must
take reasonable steps to recover such amounts. Amounts that are reasonably available to
the property owner shall be treated as benefits available for the same purpose, even if the
property owner did not seek them. The subgrantee shall coordinate with tenants who shall
disclose any amounts received from rental or relocation assistance;
Property owners who have an SBA loan will have to repay the loan or roll it over to a new
property at closing as part of the settlement of the property acquisition transaction; and
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The subgrantee identifies any other potential sources of benefits to the subgrantee,
property owner, or tenant.
The subgrantee shall reduce the purchase offer by the amount of any duplicating benefits.
Deductions are not taken, however, for amounts the owner can verify with receipts that were
expended on repairs or cleanup (subgrantees may not credit homeowners for the homeowners’
own labor hours for repair work).
For any insurance payments made for which the purpose is unspecified, property owners may
submit either 1) an affidavit stating that the unspecified settlement will be used for personal
property replacement, or 2) documentation from the insurance company specifying the type of
losses covered by the previously unspecified settlement. In the case of an affidavit, upon receipt
of the affidavit from the homeowner, the Grantee and subgrantee will treat the payment as a
personal property settlement that is not subject to the DOB deductions process.
A.11.5 Additions to Purchase Offer
If a purchase offer for a property is less than the cost for the property owner to purchase a
comparable replacement dwelling in a non-hazard-prone site in the same community, the
Grantee and subgrantee may choose to make available a supplemental payment of up to $22,500
for the property owner to apply to the difference. Subgrantees should consider the cost of
relocating to a permanent residence that is of comparable value and that is functionally
equivalent. To receive supplemental payment, the Grantee and subgrantee must demonstrate that
all of the following circumstances exist:
Decent, safe, and sanitary housing of comparable size and capacity is not available in nonhazard-prone sites within the community at the anticipated acquisition price of the
property being vacated; and/or
The project would otherwise have a disproportionately high adverse effect on low-income
or minority populations because project participants within those populations would not be
able to secure comparable decent, safe, and sanitary housing; and
Funds cannot be secured from other more appropriate sources, such as housing agencies or
voluntary groups.
For SRL, property owners that receive additional amounts of SRL funds to cover the original
purchase price of the property, or to cover mortgages or other loans, are generally not eligible to
receive supplemental housing payments.
For HMGP, the Grantee has the option to allow subgrantees to provide a credit to property
owners with flood insurance. In this case, the subgrantee would provide an incentive payment in
an amount equal to up to 5 years of flood insurance premiums actually paid by the current
property owner for an NFIP Policy for structure coverage.
A.12 Tenants
Although the property owner must voluntarily agree to participate in the open space project,
participation is not voluntary for residential and business tenants and owners of mobile homes
who rent homepads (homepad tenants) and who must relocate as a result of acquisition of their
housing. Therefore, these tenants are entitled to assistance as required by the Uniform Relocation
Assistance and Real Property Acquisition Policies Act of 1970 (URA), as amended. The Act is
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implemented at 49 CFR Part 24. (Owners participating in FEMA-funded property acquisition
and structure demolition or relocation projects are not entitled to relocation benefits because the
voluntary program meets URA exceptions.) URA relocation benefits to displaced tenants include
moving expenses, replacement housing rental payments, and relocation assistance advisory
services. This includes owners of manufactured homes who lease the pad site.
The amount of assistance the subgrantee must pay to the tenant is described at 49 CFR Part 24,
Subpart E. An eligible displaced tenant is entitled to:
Reasonable out-of-pocket (or fixed schedule) moving expenses; and
Compensation for a reasonable increase in rent and utility costs incurred in connection
with the relocation in certain circumstances.
Relocation assistance payments for tenants are intended to ensure that these individuals are able
to relocate to decent, safe, and sanitary comparable replacement dwellings outside the floodplain
or hazard area. If a tenant chooses to purchase a replacement dwelling, the tenant may apply the
amount of rental assistance to which he or she would be entitled towards the down payment.
Similarly, if a mobile home owner who rents a homepad chooses to purchase a replacement pad
or lot, the mobile home owner may apply the amount of rental assistance to which he or she
would be entitled towards the down payment.
However, mitigation grant funding is supplemental to other primary funding sources and must be
reduced by amounts reasonably available (even if not sought or received) from other sources,
such as insurance and other funds to address the same purpose or loss. A DOB may occur when
relocated tenants receive relocation assistance and rental assistance if they have received
payments for the same purposes as part of the disaster assistance provided by FEMA, the
Grantee, and/or other sources. DOB verification shall focus on the assistance provided through
the FEMA disaster assistance programs, including temporary housing and rental assistance
and/or funds from any other sources. The Grantee and FEMA shall inform the subgrantee of the
amount and source of any such assistance provided to tenants who may be displaced by a
property acquisition and structure demolition or relocation project. Any acquisition-related
assistance provided to tenants must be reduced accordingly. This also affects the total eligible
costs allowable for the project (see Part IX A.11.4). Tenant-related DOB deductions do not affect
amounts available to the property owner.
A person who is an alien not lawfully present in the United States is not eligible to receive URA
relocation benefits or relocation advisory services. FEMA may approve exceptions if unusual
hardship to the alien’s spouse, parent, or child, who is a U.S. citizen or an alien admitted for
permanent residence, would otherwise result. Subgrantees will ask tenants who are potential
recipients of URA assistance to certify that they are a U.S. citizen or are lawfully present in the
United States. Subgrantees will not provide URA assistance to participants who refuse to certify
or who are not a U.S. citizen or lawfully present.
Refer to 49 CFR Part 24 for detailed instructions regarding implementation of URA
requirements. Subgrantees shall closely coordinate with the Grantee and FEMA when
implementing URA requirements. The State DOT is often a good resource in determining how to
calculate the appropriate URA payment, since the Federal Highway Administration (FHWA)
oversees applicability of the URA.
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A.12.1 Rental Payments
A tenant displaced from a dwelling due to a federally funded property acquisition and structure
demolition or relocation project is entitled to a rental increase payment if:
That tenant rents or purchases and occupies a decent, safe, and sanitary replacement
dwelling within 1 year after the date he or she moves out of the original dwelling; and
The tenant occupied the displacement dwelling for the 90 days preceding the initiation of
negotiations for acquisition of the property. The initiation of negotiations is defined as the
first formal indication that the subgrantee wants to purchase a particular property. Any
tenant who occupied the dwelling prior to a disaster event is usually eligible. The
exception to this is if the project negotiations are unrelated to a disaster event or begin so
long after the event that the event is no longer a relevant factor. If the dwelling is reinhabited after the event, former tenants are generally not eligible (generally, a signed
lease is preferable to prove tenancy; however, other documentation such as utility bills
may be used to prove tenancy if a signed lease is not available due to the disaster event).
Compensation for rent increase is 42 times the amount that is obtained by subtracting the “base
monthly rent” for the displacement dwelling from the monthly rent and average monthly cost of
utilities for a comparable replacement dwelling, or the decent, safe, and sanitary replacement
dwelling now occupied by the displaced person.
The “base monthly rent” for the displacement dwelling is the lesser of the average monthly cost
for utilities plus the rent at the displacement dwelling as determined by FEMA, or 30 percent of
the tenant’s average gross household income. (The URA regulations define “tenant” as a person
who has the temporary use and occupancy of real property owned by another.)
Subgrantees may exceed the limits identified in the URA regulations in extraordinary
circumstances, if necessary to ensure that a displaced tenant will be able to obtain and retain a
decent, safe, and sanitary (as defined at 49 CFR Section 24.2(a)(8)) comparable unit outside of
the high-hazard area. A rental assistance payment may, at the subgrantee’s discretion, be
disbursed in either a lump sum or in installments. However, if any HUD programs are providing
partial funding for the project, the subgrantee should verify those program requirements to
ensure proper coordination with mitigation grant program requirements. The rental increase
payment may not exceed a total of $5,250.
A.12.2 Homepad Tenants
Mobile home owners who lease a homepad and who must relocate to a new homepad as the
result of acquisition of their pre-disaster homepad are also entitled to URA relocation benefits
and replacement housing payments. Payments to mobile home owners shall not duplicate
insurance payments or payments made by other Federal, State, local, or voluntary agencies.
Complex situations involving FEMA mobile homes that have been donated to a State or local
government and then sold to the mobile home owner should be directed to the appropriate
FEMA Regional Office for eligibility determination and a calculation of benefits.
Displaced mobile home owners who rent their homepads are entitled to assistance as detailed
below. However, only in rare cases may the combination of the two types of URA assistance
exceed $22,500.
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A.12.3 Homepad Rental Assistance
The displaced mobile home owner and homepad renter is entitled to compensation for rental and
utility increases resulting from renting a comparable homepad and moving expenses as detailed
in the section for tenants. Compensation for homepad rent increase is 42 times the amount that is
obtained by subtracting the “base monthly rent” for the displacement homepad from the monthly
rent and average monthly cost of utilities for a comparable replacement homepad. The rental
increase payment may not exceed a total of $5,250. Displaced mobile homeowners are also
entitled to one of the following:
Replacement Housing Assistance: For URA purposes the displaced mobile home owner
is considered to be involuntarily displaced from his or her residence due to the homepad
owner (landlord) selling that property. Therefore, if the mobile home is purchased, the
displaced mobile home owner is also entitled to replacement housing assistance to
compensate for his or her need to find replacement housing. Compensation for mobile
home replacement is equivalent to the amount that is obtained by subtracting the value of
the displacement mobile home from the cost of a new replacement mobile home. In
property acquisition and structure demolition or relocation projects where the mobile
homes are intact and are being relocated to new homepads, there is no difference. The
replacement housing payment may not exceed a total of $22,500. If the owner is also
being compensated for homepad rental increase, then the combination of rental and
relocation assistance may not exceed a total of $22,500; or
Costs to Move a Manufactured Home: If the owner of a manufactured home wishes to
move their existing home to a new site, rather than sell it, those moving costs are eligible.
The reasonable cost of disassembling, moving, and reassembling any attached
appurtenances, such as porches, decks, skirting and awnings, anchoring the unit, and
utility hook-up charges are included.
A.12.4 Tenant Businesses
Tenant businesses that are involuntarily relocated due to a FEMA-funded property acquisition
and structure demolition or relocation project are also entitled to URA benefits. Assistance
provided to a tenant business cannot duplicate payments from insurance or any other source.
Thus, SBA loans and other types of financial assistance received after the disaster would have to
be factored out of benefits received under the URA. The Grantee and subgrantees should seek
the assistance of the appropriate FEMA Regional Office in determining benefits for tenant
businesses. Also, the State DOT can be a good resource for determining benefits for tenants,
since the FHWA oversees applicability of the URA.
A.13 Property Acquisition Closeout
At completion of the grant/subgrant activity, FEMA and the Grantee shall verify that all required
subgrant activities have been accomplished (in accordance with all programmatic guidance and
proper grants management practices and 44 CFR Section 80.21), that all properties identified in
the subapplication have been acquired, and that the Model Deed Restriction language was
recorded with each corresponding deed. The subgrantee shall provide to FEMA through the
Grantee the following property reporting requirement information:
A photograph of the property site after project implementation;
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A copy of the recorded deed and attached deed restrictions for each property;
Latitude and longitude coordinates of the property;
Signed Statements of Voluntary Participation from the owner of each property identified
in the subgrant SOW (see Part IX A.10); and
For each property identified on the FEMA Repetitive Loss database, a completed FEMA
Form AW-501, documenting the completion of mitigation on the repetitive loss property.
The form is available on the FEMA Web site at
http://www.fema.gov/government/grant/resources/aw501ins.shtm.
For more information about project closeout, see Part VI D.
A.14 Future Federal Benefits
After settlement of the property acquisition transaction, no disaster assistance for any purpose
from any Federal entity may be sought or provided with respect to the property, and FEMA will
not distribute flood insurance benefits for that property for claims related to damage occurring
after the date of settlement in accordance with 44 CFR Part 80 requirements.
Also, crops for which insurance is not available will not be eligible for any disaster assistance
and are grown at the farmer’s risk. Payment through the Non-Insured Crop Disaster Assistance
Program (NAP), 7 U.S.C. Part 7333, for damage to crops for which insurance is not available, is
considered to be “disaster assistance,” and as such will not be available to owners of open spacerestricted land. However, benefits obtained through crop insurance programs offered under the
Federal Crop Insurance Act, as amended, 7 U.S.C. Part 1501 et seq., are not considered “disaster
assistance,” and will be available to owners of open space-restricted land.
A.15 Open Space Land Use Requirements
Subgrantees must apply specific deed restriction language to all acquired properties to ensure the
property will be maintained in perpetuity as open space and consistent with natural floodplain
functions, as agreed by accepting FEMA mitigation grant funding. This is done for each property
by recording the open space and deed restriction. Modifications to the Model Deed Restriction
language can only be made with prior approval from the FEMA Office of Chief Counsel through
the appropriate FEMA Regional Office.
Allowable land uses generally may include parks for outdoor recreational activities, wetlands
management, nature reserves, cultivation, grazing, camping (except where adequate warning
time is not available to allow for evacuation), unpaved surfaces, and other uses FEMA
determines compatible with the grant and deed restrictions, including more specific listings
provided below.
Allowable land uses generally do not include walled buildings; flood control structures (such as
levees, dikes, or floodwalls); paved surfaces; bridges; cemeteries; actions that pose health, safety,
or environmental risk in the floodplain; above- or below-ground pumping stations or storage
tanks; placement of fill materials; or other uses that obstruct the natural and beneficial use of the
floodplain (see below for additional detail regarding land use).
The list below is a guide to open space use that addresses typical situations; however, the
subgrantee and Grantee should review every situation using the regulations, open space intent,
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and floodplain management principles. The local floodplain administrator should review all
proposed uses of acquired floodplain land. The Grantee and subgrantee, in coordination with the
appropriate FEMA Regional Office, shall determine whether a proposed use is allowable and
consistent with the deed restrictions, grant agreement, this guidance, and floodplain management
requirements.
Allowable uses include:
Vegetative site stabilization, natural dune restoration, agricultural cultivation, and grazing;
Public picnic shelters, pavilions, and gazebos, with associated foundations, provided that
the structure does not contain walls;
Public restrooms;
Small-scale recreational courts, ball fields, golf courses, and bike and walking paths;
Campgrounds, if adequate warning will be provided to allow for evacuation;
Installation of signs when designed not to trap debris;
Unimproved, unpaved parking areas consistent with open space uses;
Unpaved access roads, driveways, and camping pads limited to those necessary to serve
the acceptable uses on acquired property. Existing paved roads can be reused for these
purposes;
Small boat ramps, docks, and piers to serve a public recreational use;
Drainage facilities intended to service onsite needs;
Construction activities, excavation, and other minor water control structures necessary to
create areas for water detention/retention including wetlands restoration or restoration of
natural floodplain floodwater storage functions;
Sewer, water, and power to serve the allowable uses. Sewer, water, and power line
crossings, where there is no floodwater obstruction created and there are no other readily
available locations for these systems; and
Simple structures used exclusively for agricultural purposes in connection with the
production, harvesting, storage, drying, or raising of certain agricultural commodities, to
include livestock, such as a pole-frame building (any such structure cannot be of a nature
that would make it eligible for insurance under the NFIP), and steel grain bins and steelframe corn cribs.
Allowable land uses for property located within CBRS units or OPAs are limited to the
following:
Vegetative site stabilization for the management, protection, and enhancement of fish,
wildlife, plants, and their habitats;
Bike and walking paths that are consistent with the conservation purposes of the
acquisition;
Installation of signs when designed not to trap debris;
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Unpaved access roads and driveways limited to those necessary to serve the conservation
purposes of the acquisition. Existing paved roads can be reused for these purposes. All
roads must be on natural grade;
Small boat ramps, docks, and piers to serve a use related to the study, management,
protection, and enhancement of fish, wildlife, plants, and their habitats; and
Minor construction activities, excavation, and other water control structures necessary for
wetlands restoration or restoration of natural floodplain floodwater storage functions.
Uses generally not allowed on acquired open space land:
The construction of flood damage reduction levees, dikes, berms, or floodwalls;
Walled buildings or manufactured homes, except public restrooms. Reuse of pre-existing
structures is not allowed, unless all walls are removed;
Fences and all other obstructions in the floodway. Fences outside of the floodway must be
designed to minimize the trapping of debris;
Storage of inventory supporting a commercial operation or governmental facility,
including wheeled vehicles or movable equipment;
Cemeteries, landfills, storage of any hazardous or toxic materials, or other uses that are
considered environmentally contaminating, dangerous, or a safety hazard;
Pumping and switching stations;
Above- or below-ground storage tanks;
Paved roads, highways, bridges, and paved parking areas. Paved parking areas include
asphalt, concrete, oil-treated soil, or other material that inhibits floodplain functions;
Placement of fill, except where necessary to avoid affecting onsite archeological
resources;
Installation of septic systems or reuse of pre-existing septic systems, except to service a
permissible restroom;
For projects within CBRS Units and OPAs: any use FEMA determines is inconsistent with
the allowable land uses identified above; and
Any uses determined by the Grantee and/or FEMA as inconsistent with the regulations,
this guidance, or deed restrictions.
Reuse of existing paved surfaces for recreational uses on the acquired property consistent with
allowable uses is generally acceptable; however, paved surfaces beyond those directly required
for such uses should be removed. Communities shall use unpaved surfaces allowing for natural
floodplain functions, where feasible, for allowable uses such as trails. Examples of unpaved
surfaces include grass, hard-packed earth, and graded gravel.
Communities may creatively salvage pre-existing structures on the acquired property. In some
cases, the complete demolition of a structure may not be necessary; it may be possible to convert
a closed-in structure with walls, such as a house, into an open picnic pavilion with a concrete
slab floor and posts supporting the roof.
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A.16 Subsequent Transfer of a Property Interest
Post-grant award, the subgrantee may convey a property interest only with the prior approval of
the appropriate FEMA Regional Administrator and only to certain entities in accordance with 44
CFR Section 80.19(b) and this guidance.
After acquiring the property interest, the subgrantee, including successors in interest, shall
convey any interest in the property only if the appropriate FEMA Regional Administrator,
through the Grantee, gives prior written approval of the transferee. The transferee must be
another public entity or a qualified conservation organization. A qualified conservation
organization means an organization with a conservation purpose where the organization has
maintained that status for at least 2 years prior to the opening of the grant application period that
resulted in the transfer of the property interest to the subgrantee, pursuant to Section 170(h) (3)
and (4) of the Internal Revenue Code of 1954, as amended, and the applicable implementing
regulations. The transferee must document its status as a qualified conservation organization,
where applicable. Any request to convey an interest in the property must include a signed
statement from the proposed transferee that it acknowledges and agrees to be bound by the terms
of the original mitigation grant/subgrant conveyance, 44 CFR Part 80, and this guidance, and
must reference and incorporate the original deed restrictions providing notice of the conditions in
this section. The statement must also incorporate a provision for the property interest to revert to
the subgrantee or Grantee in the event that the transferee ceases to exist or loses its eligible status
as defined under this section. See 44 CFR Section 80.19 for more information.
The subgrantee may convey an easement or lease to a private individual or entity for purposes
compatible with the uses described in 44 CFR Section 80.19 and this guidance, with prior
approval of the appropriate FEMA Regional Administrator, and as long as the conveyance does
not include authority to control and enforce the terms and conditions identified above. The
FEMA Regional Administrator may choose to consult with the FEMA Office of Chief Counsel
in reviewing documents proposed to convey an interest in the property. Any lease or easement
must be for uses compatible with open space purposes and is clearly subject to the land use and
other restrictions of the property by reference and/or incorporation of the recorded deed
restriction language.
A.17 Monitoring, Reporting, and Inspection
The Grantee will work with subgrantees to ensure that the property is maintained in accordance
with land use restrictions. The Grantee and subgrantees should jointly monitor and inspect
acquired properties every 3 years to ensure that the inspected parcels continue to be used for
open space purposes.
Every 3 years, the subgrantee, the Grantee, and FEMA must coordinate to ensure the subgrantee
submits documentation to the appropriate FEMA Regional Administrator certifying that the
subgrantee has inspected the subject property within the month preceding the report, and that the
property continues to be maintained consistent with the provisions of the grant/subgrant. If the
property subsequently transfers to an allowable transferee, the subgrantee, the Grantee, and
FEMA will coordinate with that entity to submit the information.
The Grantee, FEMA, and the subgrantee have the right to enter the parcel, with notice, in order
to inspect the property to ensure compliance with land use restrictions. Subgrantees may identify
the open space nature of the property on local tax maps to assist with monitoring.
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Enforcement
If the required monitoring (or other information) identifies that the subject property is not being
maintained according to the terms of the grant, the subgrantee, Grantee, and FEMA are
responsible for taking measures to bring the property back into compliance.
In the event a property is not maintained according to the identified terms, the Grantee shall
notify the subgrantee (which includes successors in interest) that they have 60 days to correct the
violation. If the subgrantee fails to demonstrate a good faith effort within the terms of the grant
agreement within 60 days, the Grantee shall enforce the terms of the grant agreement by taking
any measures it deems appropriate, including bringing an action of law or equity in a court of
competent jurisdiction. If the Grantee fails to bring the property into compliance, then FEMA
may enforce the terms of the grant agreement by taking any measures it deems appropriate,
including:
Withholding FEMA mitigation awards or assistance from the Grantee, subgrantee, and
current holder of the property interest (if different) pending corrective action;
Requiring the transfer of title; and/or
Bringing an action of law or equity in a court of competent jurisdiction against the
Grantee, subgrantee, and/or their respective successors and assigns.
FEMA also reserves the right to transfer the property title and/or easement to a qualified third
party for future maintenance.
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B. Wildfire Mitigation
This section supplements the information provided in Parts I through VIII.
For PDM and HMGP wildfire mitigation projects, Applicants and subapplicants must comply
with FEMA Mitigation Policy MRR-2-08-1, Wildfire Mitigation Policy for the Hazard
Mitigation Grant Program (HMGP) and Pre-Disaster (PDM) Mitigation Program, dated
September 8, 2008. MRR-2-08-1 is available at
http://www.fema.gov/government/grant/hma/policy.shtm.
B.1 Eligible Activities
PDM and HMGP are available to mitigate the risk to at-risk structures and associated loss of life
from the threat of future wildfire through:
Defensible space that involves creating perimeters around residential and non-residential
buildings and structures through the removal or reduction of flammable vegetation;
The application of non-combustible building envelope assemblies, the use of ignitionresistant materials, and proper retrofit techniques of new and existing structures; and
Hazardous fuels reduction vegetation management, vegetation thinning, or reduction of
flammable materials to protect life and property beyond defensible space parameters, but
proximate to at-risk structures.
For homes and structures constructed or activities completed prior to the establishment of the
local building codes, FEMA may fund activities that meet or exceed codes currently in effect.
For communities with no local fire codes in place, FEMA may fund activities when the materials
and technologies are in accordance with the International Code Council, FEMA, U.S. Fire
Administration, and the National Fire Protection Association (NFPA) Firewise recommendations
as appropriate.
Additional fire-related information and tools can be found at www.firewise.org or
www.nfpa.org. Wildfire mitigation activities will be in accordance with the applicable firerelated codes and standards, including but not limited to the following:
International Code Council Publication: International Wildland-Urban Interface Code;
NFPA 1144: Standard for Reducing Structure Ignition Hazards for Land Development in
Suburban and Rural Areas;
NFPA 1141: Standard for Fire Protection Infrastructure for Land Development in
Suburban and Rural Areas;
NFPA 703: Standard for Fire-Retardant Treated Wood and Fire-Retardant Coatings for
Building Materials; and
NFPA 914: Code for Fire Protection of Historic Structures.
In addition, FEMA has developed FEMA P-737, Home Builder’s Guide to Construction in
Wildfire Zones, September 2008. FEMA does not have authority to fund projects on Federal
lands owned by another Federal entity, or projects with the purpose of addressing forest health
conditions, or ecological or agricultural issues related to land and forest management (e.g.,
insects, diseases, weather-related damages, and pest infestations).
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B.2 Duplication of Programs
The Applicant must ensure, prior to submission of the grant application, that DOP between
Federal agencies will not occur. FEMA requires that the Applicant include documentation in the
grant application to ensure that no DOP will occur. This includes demonstrating the Applicant
has coordinated with other appropriate Federal agencies. With regard to land adjacent to Federal
lands, FEMA will coordinate with other Federal agencies to ensure the proposed project does not
fall within the scope of another Federal agency’s grant authority, as well as to ensure consistency
with Federal policy and priorities.
In addition, the following general program information must be included in the subapplication:
A description of the wildfire mitigation activities and the method to accomplish the
activities;
Map(s) showing the project area and relationship of structures to wildland/urban interface
or forested, range, or grassland area; and
Property-level rating of wildfire risk for each home or community, along with the scale
used to measure the rating levels, if applicable.
B.3 Eligible Wildfire Activities
Wildfire mitigation projects may mitigate the risk to residential and non-residential structures
(including public and commercial facilities). These projects must be located in, adjacent to, or
co-mingled with the built environment and provide protection to life and the built environment
from future wildfire hazard.
B.3.1 Defensible Space Activities
Defensible space activities involve creating perimeters around residential and non-residential
structures through the removal or reduction of flammable vegetation, including vertical clearance
of tree branches. Specifically, this involves minimizing the volume of combustibles (e.g., surface
litter such as dry leaves, pine needles, dead and dying foliage, and trees, and removal of propane
tanks) in the safety zone around the structure. The description of requested defensible space
activities must be provided for each property.
The required radius of defensible space around the building or structure is directly related to the
degree of the hazard and, therefore, the radius for defensible space may also vary from one
jurisdiction to another. Local codes and standards may provide specific requirements for
defensible space; however, the International Code Council’s International Wildland-Urban
Interface Code can be used as the default code.
B.3.2 Structural Protection through Ignition-Resistant Construction Activities
These activities involve using non-combustible materials and technologies on new and existing
structures. FEMA will only consider a subapplication for an ignition-resistant construction
project when:
The property owner has previously created defensible space and agrees to maintain the
defensible space. The subapplicants must include a description of the defensible space for
each property in the application. FEMA will provide funding for ignition-resistant
construction projects only after the subapplicant has demonstrated that the defensible
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space activity is complete and has provided documentation (e.g., photographs and
description of the defensible space) if requested by the Applicant; or
The subapplication includes both the defensible space and ignition-resistant construction
projects as part of the same project subapplication. The subapplicant must include a
description of the defensible space for each property in the subapplication. Each property
owner must agree to maintain the defensible space in accordance with this policy.
Protection of homes, structures, and critical facilities through the use of ignition-resistant
construction techniques or non-combustible building material are eligible if they meet or exceed
local codes, and are in conformance with appropriate fire-related codes and standards. Eligible
activities include:
Installation of roof coverings, roof sheathing, roof flashing, roof skylights, roof and attic
vents, and roof eaves and gutters that conform to any of the following ignition-resistant
construction standards: 1) construction materials are fire-resistant in accordance with
nationally recognized testing standards, 2) construction materials are non-combustible,
and 3) construction materials constitute an assembly that has a minimum 1-hour-fireresistant rating;
Installation of wall components such as the fascia, windows, window glazing, doors,
window frames, and insulation that conform to any of the following ignition-resistant
construction standards: 1) construction materials are fire-resistant in accordance with
nationally recognized testing standards, 2) construction materials are non-combustible,
and 3) construction materials constitute an assembly that has a minimum 1-hour-fireresistant rating;
Protection of propane tanks or other external fuel sources; and
Purchase and installation of external, structure-specific water hydration systems
(sprinklers), a dedicated power source, and a dedicated cistern if no water source (e.g.,
lake, river, or swimming pool) is available. FEMA will only consider the project when
assurances are provided in the operations and maintenance plan that a GIS system will be
maintained to identify property addresses with wildfire sprinkler systems and that this
information will be made available to the fire department.
B.3.3 Hazardous Fuels Reduction Activities
Hazardous fuels reduction may be accomplished using community-owned equipment, rental
equipment, or use of contract resources and equipment for mechanical treatments such as
disking, mowing, and/or chopping (e.g., chippers, saws, etc.). Equipment used by communities
for hazardous fuels reduction activities must not pose an additional risk of fire ignition (i.e.,
spark arrestor). Eligible activities include:
Community-level vegetation management;
Vegetation removal;
Vegetation clearing and/or thinning;
Slash removal; and
Vertical clearance of tree branches.
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Such activities reduce the risk to human life and structures from future wildfires. Such activities
may be no farther than 2 miles from structures and may include the following techniques:
Chemical treatments, including herbicide applications with appropriate safeguards to
ensure protection of human life, the environment, and watersheds;
Grazing or biomass conversion;
Mechanical treatments such as disking, mulching, grinding, mowing, chopping, and
removal of such material; material left onsite must meet appropriate depth practices;
Biomass removal including clearing straw, removing dead or dry vegetation, thinning,
removing bush and pine straw, or removing blown-down timber from wind throw, ice, or a
combination thereof; and
Other industry-accepted techniques at the discretion of FEMA.
B.4 Ineligible Wildfire Activities
Certain project activities and their associated costs are not eligible for funding:
Projects that do not protect homes, neighborhoods, structures, or infrastructure;
Projects on federally owned land, as well as on land adjacent to Federal lands, when the
proposed project falls within the scope of other Federal agencies’ grant authority;
Projects for hazardous fuels reduction in excess of 2 miles from structures;
Projects to address ecological or agricultural issues related to land and forest management
(e.g., insects, diseases, weather-related damages, and infestations);
Irrigation of vegetation to avoid disease or drought-related infestation;
Projects to protect the environment, watersheds, or forest management;
Projects for burning activities, such as prescribed burning or pile burning;
Projects for clear-cutting;
Projects for maintenance activities;
Projects for the purchase of fire-related equipment (e.g., vehicles and fire trucks) or
communications equipment;
Projects for creation and maintenance of fire breaks, access roads, and staging areas;
Purchase of equipment to accomplish eligible work (e.g., chainsaws, chippers);
Projects for irrigation systems; and
Development or enhancement of fire suppression capability through the purchase of
equipment or resources (e.g., water supply or sources, dry hydrants, cisterns not related to
water hydration systems, and dip ponds).
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B.5 Operations and Maintenance Plan
FEMA will only consider HMGP and PDM wildfire projects for which (a) the application
includes a draft operations and maintenance plan at the time of application, including
information demonstrating that the requested wildfire project will be maintained to achieve the
proposed hazard mitigation; and (b) a final operations and maintenance plan has been submitted
to FEMA prior to performing any activities as part of the funded project and after the Grantee
has affirmed that the plan is consistent with this policy, meets or exceeds local codes, and is in
conformance with appropriate fire-related codes.
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C. Hazard Mitigation Assistance for Safe Rooms
This section supplements the information provided in Parts I through VIII. This section is
applicable to PDM and HMGP.
C.1 General
For PDM and HMGP safe room projects, Applicants and subapplicants must comply with FEMA
Mitigation Interim Policy MRR-2-09-1, Hazard Mitigation Assistance for Safe Rooms, dated
April 30, 2009. MRR-2-09-1 is available at
http://www.fema.gov/government/grant/hma/policy.shtm.
MRR-2-09-1 establishes the eligibility parameters for PDM and HMGP safe room projects
including: eligible activities, design standards, flood hazard siting limitations, population
protected, period of protection, eligible costs, operation plan, maintenance plan, and cost
effectiveness. Parts IX C.2 and C.3 of this guidance provide a summary of these parameters.
Part IX C.4 of this guidance provides additional guidance for specific sections of MRR-2-09-1;
therefore, Applicants and subapplicants also must comply with these parts. Part IX C.4 of this
guidance summarizes the Implementation Guidance for FEMA Mitigation Interim Policy MRR2-09-1, Hazard Mitigation Assistance for Safe Rooms, dated April 30, 2009. .
C.2 Overview
For the purposes of PDM and HMGP, the term “safe room” only applies to:
Extreme wind (combined tornado and hurricane) residential and non-residential safe
rooms;
Extreme wind (combined tornado and hurricane) community safe rooms;
Tornado community safe rooms; and
Hurricane community safe rooms.
Extreme wind mitigation projects include residential, non-residential, and community safe
rooms. These activities are for the hazard mitigation purpose of immediate life safety resulting
from structural and building envelope protection against extreme wind hazards for a limited atrisk population that cannot evacuate out of harm’s way prior to an event.
In extreme wind events where there is sufficient warning time, such as hurricanes, the general
population may be expected to leave the area of anticipated immediate impact and seek shelter
outside the at-risk area. However, some people such as first responders and those physically
unable to leave the area remain in harm’s way. Therefore, for hurricane threats, FEMA will only
consider funding extreme wind mitigation projects that are designed for a specific population
that cannot remove themselves from harm’s way during a land-falling hurricane. In extreme
wind events, such as tornadoes, the threat posed affords little to no warning to allow the general
population to leave the area of immediate impact and, therefore, they must seek immediate lifesafety protection. This limits the potential occupancy of tornado residential, non-residential, and
community safe rooms to onsite occupants only, or to those within close proximity.
PDM and HMGP funds may only be used for safe room projects designed to achieve “nearabsolute protection” as described in FEMA 320, Taking Shelter From the Storm: Building a Safe
Part IX. Additional Project Guidance: C. Hazard Mitigation Assistance for Safe Rooms
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Room For Your Home or Small Business, August 2008, and FEMA 361, Design and
Construction Guidance for Community Safe Rooms, August 2008. Any lower threshold of
protection exposes safe room occupants to a greater degree of risk than is acceptable. In order to
provide this acceptable level of hazard mitigation protection during extreme wind events, a
structure has to meet design criteria intended for this specific purpose, which exceed the design
criteria for structure and building envelope protection only. In some cases, these projects also
afford some ancillary level of structural and building envelope protection to reduce or eliminate
damage to the structure and its contents and to ensure continuation of facility function.
PDM and HMGP funds are not available for general population shelters, including evacuation or
recovery shelters intended to provide longer-term services and housing for people leaving the
anticipated impact area of an extreme wind event, or because their homes have been damaged or
destroyed by extreme wind events, fire, disasters, or other catastrophes. Such general population
shelters are not intended to sustain the extreme wind event and are not required to satisfy the
higher design criteria of near-absolute protection consistent with hazard mitigation residential,
non-residential, and community safe rooms as established in FEMA 320 and 361. In addition, the
hazard mitigation time of protection for safe rooms is 2 hours for tornado events and 24 hours for
hurricane events. These time periods also differentiate hazard mitigation event-only safe rooms
from longer-term evacuation and recovery shelters.
Furthermore, the planning and operation of PDM and HMGP safe rooms should not conflict with
State and/or local evacuation plans. PDM and HMGP safe room project activities should not be
used as a substitute for, or as an option for individuals to ignore, local community and/or State
evacuation plans or any other law or ordinance.
C.3 Eligibility Parameters
FEMA will consider an extreme wind event mitigation activity consisting of the retrofit or
construction of a residential, non-residential, or community safe room (single- or multi-use) to be
an eligible project type for PDM and HMGP grant awards as follows:
The safe room project must provide immediate life-safety protection in the target area of
impact of a striking hurricane and/or tornado;
The safe room is designed and sized only to the extent necessary for the limited population
that must remain in the impact strike area during an extreme wind event. The safe room is
also designed only to the extent necessary for the limited time period that a hurricane
and/or tornado event is occurring. Therefore, safe rooms must be sized according to the
defined population that will utilize the facility during a storm event and their design is to
accommodate this population for a limited time period (see Part IX C.4.1 for further
details and MRR-2-09-1 Section VII, Parts A and C);
The safe room project is constructed with criteria recognized by FEMA to afford nearabsolute protection and verified by a licensed design professional. Project applications
must include documentation to show that the project meets or exceeds the criteria for the
identified risk to be mitigated. Criteria are found in the following publications:
FEMA 320, Taking Shelter From the Storm: Building a Safe Room For Your Home or
Small Business – Third Edition, August 2008; or
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FEMA 361, Design and Construction Guidance for Community Safe Rooms – Second
Edition, August 2008.
In addition, the Standard for the Design and Construction of Storm Shelters (ICC-500), a
consensus standard from the International Code Council is acceptable for use in designing
PDM and HMGP safe rooms only when incorporating specific recommendations outlined
in FEMA 320 and 361. For further details, see MRR-2-09-1 Section VII, Part A;
The safe room project is not located in a flood hazard area where the flood waters have the
potential to endanger occupants within the safe room. Consistent with FEMA 320 and
361, safe rooms must be located outside the following high-hazard areas:
The Coastal High-Hazard Area (Zone VE) or other areas known to be subject to highvelocity wave action; or
Areas seaward of the Limit of Moderate Wave Action where mapped, also referred to
as the Coastal A Zone in ASCE/SEI 24-05; or
Floodways.
In addition, residential and non-residential safe rooms consistent with FEMA 320 may not
be located in:
Areas subject to coastal storm surge inundation associated with a Category 5 hurricane
(where applicable, these areas should be mapped areas studied by USACE, NOAA, or
other qualified sources). For further details, see MRR-2-09-1 Section VII, Part B;
Allowable safe room project costs are directly related to and necessary for the hazard
mitigation purpose of providing immediate life safety resulting from structural and
building envelope protection to the limited population required to remain in the impact
zone during an extreme wind event. For further details, see Part IX C.4.2 and MRR-2-09-1
Section VII, Part D;
Operations and maintenance (O&M) plans must be developed for each project. At a
minimum the process to include O&M plans will include the following:
Descriptive statement of the O&M plan at time of application;
Draft O&M Plan prior to any retrofit or construction; and
Final O&M Plan prior to project closeout.
For further details, see Part IX C.4.3, Operations and Maintenance Plans, and MRR-2-09-1
Section VII, Part E;
The safe room project must demonstrate cost effectiveness. For further details, see Part IX
C.4.4, and MRR-2-09-1 Section VII, Part F; and
The safe room project must adhere to other program conditions as shown in this guidance.
For further details, see MRR-2-09-1 VII, Part Section G.
C.4 Implementation Guidance
The FEMA Mitigation Interim Policy MRR-2-09-1, Hazard Mitigation Assistance (HMA) for
Safe Rooms (Safe Rooms Policy), was issued in April 2009 by FEMA to provide guidance to
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States, Territories, Indian Tribes, and communities on HMA funding available for extreme wind
mitigation activities as provided under PDM and HMGP Policy MRR-2-09-1 establishes the
eligibility parameters for PDM and HMGP safe room projects, including: eligible activities,
design standards, flood hazard siting limitations, population protected, period of protection,
eligible costs, operation plan, maintenance plan, and cost effectiveness.
This implementation guidance complements Policy MRR-2-09-1 through the provision of
additional information to ensure that Applicants and subapplicants pursuing PDM or HMGP
grant funds for safe room projects adequately understand and address all policy requirements.
This guidance is presented in five sections:
Section 1 – Population Protected: provides guidance relevant to identifying, quantifying, and
documenting the at-risk populations from hurricanes and/or tornadoes eligible for PDM or
HMGP consideration. This section provides a description of acceptable population categories
threatened by extreme wind events, as well as considerations affecting this population’s ability to
utilize a safe room facility such as travel time, warning time, etc.
Section 2 – Eligible Costs: provides two tables that identify the general building systems and
components for residential and community safe rooms and identifies the eligibility of each for
funding under the PDM and HMGP programs.
Section 3 – O&M Plans: provides guidance to assist Applicants and subapplicants in
understanding O&M plan requirements. This section details steps as to when draft and final
plans are provided in the application and project life-cycle, as well as the signature and review
responsibilities of local, State, and Federal officers.
Section 4 – Cost Effectiveness: discusses the total project costs required for the purpose of
demonstrating compliance with cost-effectiveness requirements.
Section 5 – Summary of Grant Application Requirements: includes a summary of grant
application requirements.
C.4.1 Population Protected
The Safe Room Policy, Section VII, Part C (page 6), Population Protected and Period of
Protection states:
FEMA will only consider PDM and HMGP applications for safe room projects that
identify the safe room population that must remain behind to face an imminent threat
against either, or both, tornado or hurricane hazards. This is the population that the
applicant will identify and quantify, so that the anticipated population and resulting size
of the safe room can be verified during the grant application review process. This is
demonstrated by risk assessment information such as that developed as part of a
mitigation plan or evacuation plan.
Applicants and subapplicants should be mindful that PDM and HMGP funds are not available for
general population shelters, including evacuation or recovery shelters. Therefore, it is essential
that Applicants and subapplicants identify the specific hazard mitigation population to be
protected; otherwise, the application review may be delayed or an application rejected.
This implementation guidance provides details to assist Applicants and subapplicants to identify,
quantify, and document the eligible at-risk populations needing hazard mitigation life-safety
protection during extreme wind events, all of which are required in applications for PDM or
Part IX. Additional Project Guidance: C. Hazard Mitigation Assistance for Safe Rooms
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HMGP funding, as outlined below. Sections 1.1 and 1.2 address hurricane and tornado hazards,
respectively, and how at-risk populations are affected by them. This section further describes
categories of populations at risk from tornadoes, hurricanes, or a combination of the two.
Safe Room Policy, Section VII, Part C (page 7), Population Protected and Period of Protection
states:
The applicant will demonstrate consideration of at least the following components in
determining eligible safe room population:
population to be protected within the area at risk of impact by tornado and/or hurricane
hazards;
warning capabilities, logistics, and operations components that support basic safe room
functions;
travel times for the population to be protected to reach the safe room, such that people are
not exposed to additional risk when moving to the protected area;
hazard mitigation time of protection: 2 hours for tornado and 24 hours for hurricane; and
relationship of the population to be protected by the safe room to State or local emergency
evacuation requirements.
The at-risk population identified directly impacts the proposed safe room design size
requirements and is another factor that will be verified during the grant review process. This is
important to understand, because as the Safe Room Policy states, “PDM and HMGP funding will
not be provided to support safe rooms that are sized larger than that required to accommodate the
identified at-risk population.”
For example, a community may decide to build a dual-use facility that includes a tornado safe
room function within a community center. The new building project for the community center
may include an assembly or multi-purpose room that is 1,185 square feet in area. In order to
utilize the space for a community tornado safe room, this gross square footage must be reduced
to account for egress circulation, partitions, interior columns, furnishings, finishes, equipment,
and the like. This may be done through exact calculations or through an estimated approach that
calculates usable square footage as 85 percent of the gross square footage. The resulting net
usable floor area is what is available to accommodate a limited number of safe room occupants.
In this example the 1,185 square feet is reduced to 1,007 usable square feet:
1,185 (0.85) = 1,007 square feet
As per FEMA 361 design criteria, a minimum of 5 square feet per safe room occupant must be
provided. In this example safe room, designers must also account for wheelchair-bound or
bedridden occupants. A community safe room should be sized to accommodate a minimum of
one wheelchair space (at 10 square feet) for every 200 occupants. Therefore the 1,007-squarefoot usable floor area will provide enough space for the protection of 200 occupants and would
be eligible for HMGP and PDM funding. It would not be reasonable for an application
submitted, under this example, to request usable square footage of 2,000 square feet because that
size has not been demonstrated as necessary for the identified at-risk population of 200
occupants:
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Factor
Contribution
Square Footage
199 occupants
@ 5 s.f. per person
995 s.f.
1 wheelchair occupant
@ 10 s.f. per person
10 s.f.
Total 200 occupants
1,005 s.f.
Applicants and subapplicants should refer to Chapter 3 of FEMA 361 for further guidance on
sizing criteria.
As previously stated, community safe rooms are intended for a limited at-risk population;
however, the criteria for tornadoes and hurricanes differ in certain applications. When identifying
the population at risk from tornadoes and hurricanes, the respective mitigation activities should
be considered separately and then combined (if both exist). Characteristics such as the size of the
targeted area, the warning time before the impact, and the duration of the storm affect the
population requiring protection differently; therefore, the population at risk must be determined
for each type of event.
The following sections identify issues to consider when applying for funding for a hurricane,
tornado, or combined hazard community safe room. Applicants and subapplicants should select
the most appropriate population for their safe room project:
Part IX C.4.1.1 Population at risk from hurricanes
Part IX C.4.1.2 Population at risk from tornadoes
Part IX C.4.1.3 Population at risk from both hurricane and tornadoes
The steps to identify the populations at risk for each of these hazard categories are further
described below.
C.4.1.1 Population at Risk from Hurricanes
This section provides information to assist in identifying and defining the population at risk from
hurricanes. The section also describes this at-risk population to assist Applicants and
subapplicants in identifying who may require a safe room facility.
Information Sources
Determining the hurricane safe room population is dependent on the assumptions used in the
development and implementation of evacuation or emergency response plans and policies being
administered by local, State, and Federal (if applicable) emergency management organizations.
Therefore, Applicants and subapplicants are encouraged to coordinate with the relevant agency
in the jurisdiction developing those plans. In addition, local or Tribal mitigation plans are
required to include a risk assessment that defines the hazard characteristics within an area, and to
provide a vulnerability assessment. Evacuation plans are likely more specific in terms of
population, but the risk assessment in a community’s existing mitigation plan may also be a
source for this information. Documentation to support the determination of the at-risk population
may be directly related to the planning tools mentioned above and should be included in the
application.
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Hurricane Population Categories
Generally, two broad categories of potential hurricane safe room occupants may be identified as
part of the limited at-risk population in need of life-safety protection. The at-risk population
should be accommodated within the safe room for a minimum of 24 hours (the FEMA 361
minimum design occupancy time for hurricane safe rooms). Applicants and subapplicants are
encouraged to use verifiable information, such as emergency evacuation plans and local
emergency management plans (or other applicable sources) to identify potential safe room
occupants from the categories listed below.
Category 1: First Responders
People who may be required to remain in harm’s way, i.e., the civilian personnel of the
emergency response services, also known as first responders. These groups include, but
are not limited to personnel of fire and police departments, rescue squads, emergency
operations centers (EOCs), emergency medical and ambulance services, search and rescue
teams, and similar personnel that a local community may depend upon for a successful
response to an extreme wind event.
Category 2: Critical and Essential Services Personnel and Facility Occupants
In many cases, other critical services personnel may be required to remain in harm’s way
to facilitate the continued operation of certain critical facilities, including long-term care
and custodial care facilities, water supply and wastewater facilities, power supply and
distribution plants, fuel and other hazardous material storage facilities, communications
and data centers, and others that a local community may depend upon for a successful
response to an extreme wind event. This category may also include occupants of these
facilities such as patients in hospitals, residents of long-term care facilities, and prison/jail
inmates.
Documentation
Applicants and subapplicants must provide documentation to support the identified at-risk
population for the safe room. Applicants and subapplicants must also submit adequate
documentation in support of their risk assessment to allow grant program reviewers to make a
determination of whether the proposed safe room size is appropriate for the at-risk population
identified. The documentation should be sufficiently detailed to be verified during the grant
review process. Applicant and subapplicant coordination with the local, State, or Federal (if
applicable) agency responsible for developing emergency evacuation plans is critical. Each grant
program identifies specific documentation requirements, but in general, evacuation plans,
emergency response plans, meeting notes, etc. that can be used to quantify the at-risk population
are acceptable. For example, each population category listed above may be part of the affected
population identified in an emergency evacuation plan.
In all cases, it should be emphasized that planning and operation of PDM and HMGP safe rooms,
including the identification of the population to be protected, should not conflict with State
and/or local evacuation plans. PDM and HMGP safe room activities should not be used as a
substitute for, or as an option for individuals to ignore, local community and/or State evacuation
plans or any other law or ordinance.
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Travel considerations
The issues to consider in estimating travel time to the safe room facility include: local emergency
management and law enforcement requirements, mandatory evacuations, evacuation times from
at-risk areas, and any other plans that affect the movement of at-risk populations. Further
guidance is provided in Chapter 8 of FEMA 361.
Basic warning capabilities
In addition to design and construction criteria, an adequate warning system must be in place to
notify prospective community safe room occupants when they should evacuate to the safe room
facility. Occupants of homes (residences) with a residential safe room are assumed to use that
room and require no evacuation and only a minimal travel time. Applicants and subapplicants for
community safe room projects must demonstrate that the at-risk population can be properly
notified to allow sufficient travel time to the community safe room.
Period of protection
As identified in the Safe Room Policy, Section VII, Part C, and FEMA 361 requirements, the
hazard mitigation time of protection for safe rooms is a minimum of 24 hours for hurricane
events.
C.4.1.2 Population at Risk from Tornadoes
This section provides information to assist in identifying and defining the population at risk from
tornadoes.
Tornado safe room populations are determined based on limited warning times (minutes, not
days) and the maximum reasonable travel time for potential safe room occupants to reach the
safety of the facility. At-risk populations that cannot reach the safe room in a reasonable time
(this topic is discussed later in this document) are not considered as potential occupants of the
safe room.
Tornadoes strike without timely warning, often depriving the at-risk population of sufficient time
to seek safety. Only about 20 minutes (or less) of warning time may be provided before a tornado
strikes. For a limited or no-warning storm event, at-risk individuals have various degrees of
vulnerability.
Two aspects of vulnerability should be considered in identifying and quantifying the population
at risk from a tornado:
1. The physical characteristics of the built environment (buildings or other structures)
in which the population resides.
Buildings differ in their susceptibility to damage from a tornado and, therefore, the
building occupants are exposed to varying risks of injury or death. Individuals living in
non-engineered housing, older housing, and manufactured housing are more susceptible
to catastrophic damage from a tornado; hence, they are extremely vulnerable.
2. The ability of the population to mobilize to the safe room during a tornado,
irrespective of where they are located.
While a 20-minute warning may be sufficient time for an able-bodied adult to find
adequate shelter, this is not the case for the very young, the elderly, the sick or frail, or
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those with impaired mobility. These groups require the greatest level of assistance, time
to mobilize, and attention during an emergency.
Documentation
Applicants and subapplicants must provide documentation to support the identified at-risk
population for the safe room. Applicants and subapplicants must also submit adequate
documentation in support of their risk assessment to allow grant program reviewers to make a
determination of whether the proposed safe room size is appropriate for the at-risk population
identified. The documentation should be sufficiently detailed to be verified during the grant
review process. Applicant and subapplicant coordination with the local, State, or Federal (if
applicable) agency responsible for developing emergency action plans is critical. Each grant
program identifies specific documentation requirements, but in general, emergency response
plans, area maps, building construction drawings, meeting notes, etc. that can be used to quantify
the at-risk population are acceptable. In addition, local or Tribal mitigation plans are required to
describe the vulnerability of their community and structures, and in particular vulnerability of
special high-risk populations and, therefore, may also be a source for this information. It is
essential that Applicants and subapplicants provide this information; otherwise, the application
review may be delayed or an application rejected.
Travel time considerations
The two vulnerability aspects listed above will facilitate identifying and targeting high
concentrations of at-risk populations. The most effective tornado safe rooms minimize
occupants’ travel time. Consequently, onsite community safe rooms, built either as integral parts
of a building or as separate structures, offer the greatest level of protection to occupants.
Community safe rooms in hospitals, schools, long-term care centers, and other facilities that
house highly vulnerable populations are most successful in minimizing the risks. These safe
rooms may be designed to serve the community at large in addition to onsite residents. In such
cases, the population of the safe room is limited by the respective proximity of potential
occupants to the safe room, which is defined by the maximum allowed travel time and/or the
maximum distance to the safe room.
The distance from the safe room for the at-risk population is based on a maximum walking travel
time of 5 minutes or a maximum driving travel distance of approximately 0.5 mile. When
considering a single- or dual-use community safe room, the 5-minute walk time or the equivalent
0.5-mile driving distance must be calculated by the actual travel route or pathway a pedestrian or
a driver will be required to follow. This pathway should not be restricted, bottlenecked, or
obstructed by such barriers as multi-lane highways, railroad tracks, bridges, or similar facilities
or topographic features. Traffic congestion (including parking constraints) during the movement
of the potential at-risk population to the safe room once a storm watch/warning notification is
issued should be considered when defining the at-risk population for the community safe room.
In either case, whether walking or driving, prospective safe room occupants must be able to
safely reach the facility within 5 minutes of receiving a tornado warning or notice to seek shelter.
Basic warning capabilities and logistics
Both a residential and a community safe room, as defined by the Safe Room Policy, are built and
operated for the purpose of saving lives during extreme wind storms. In addition to design and
construction criteria, an adequate warning system should be in place to notify prospective safe
Part IX. Additional Project Guidance: C. Hazard Mitigation Assistance for Safe Rooms
111
room occupants when they should evacuate to the safe room facility. This is especially critical
for tornadoes, for which the warning time is very short. The safe room facility must open its
doors to admit occupants and provide them with the services they need in a timely manner.
Further guidance is provided in FEMA 361, Chapter 9.
Period of protection
As identified in Safe Room Policy Section VII, Part C, and FEMA 361 requirements, the hazard
mitigation time of protection for safe rooms is a minimum 2 hours for tornado events.
C.4.1.3 Population at Risk from Both Hurricanes and Tornadoes
Many areas in the United States are subject to both hurricane and tornado hazards. When
building a safe room to protect from both hazards, the population at risk must be determined
independently for each hazard. When designing a combined safe room for both tornado and
hurricane hazards, the most restrictive design criteria for these hazards, provided in FEMA 361,
must be used. There is not necessarily one set of complete criteria for each hazard. For that
reason, design engineers should pay close attention to the criteria outlined in FEMA 361 when
designing a combined safe room for both tornado and hurricane hazards.
C.4.2 Eligible Costs
The Safe Room Policy, Section VII, Part D (page 8), Eligible Costs states:
Allowable costs for PDM and HMGP safe room projects are those project components
such as the design and building costs directly related to and necessary for the hazard
mitigation purpose of immediate life safety resulting from structural and building
envelope protection to the limited population that must remain in the impact area during
an extreme wind event.
As stated above, funding for safe room construction is provided only for the expenditures that
directly relate to, and are necessary for, provision of basic safe room functions. Safe room
project costs typically include eligible expenditures for design, construction, and administration
of the project. Conversely, costs associated with providing facilities for any function that is not
essential for life-safety protection of occupants are not eligible. If a safe room facility can fulfill
its basic function of life-safety protection for the occupants during a storm without a building
feature or component that provides conveniences or additional comfort, costs associated with
that feature or component are not eligible. Examples of such features include flooring, seating, or
food preparation facilities. This is significant for dual-use community safe rooms, which are
designed to provide other functions for their day-to-day operations. Applicants and subapplicants
should not request, nor should they reasonably expect, consideration for these and other nonmitigation related components.
As stated in the Policy, “in the case of retrofits, pre-existing conditions of code non-compliance
that local or State officials are obligated to remedy are not eligible for hazard mitigation funding
consideration.” However, eligible costs may include code-required, mitigation-related
components and above-code components, as long as all components contribute to the nearabsolute protection criteria set forth in FEMA 320 and FEMA 361.
Program Funding Limits
Potential Applicants and subapplicants should understand that HMGP or PDM grant funding for
safe room projects is subject to all program-specific rules and regulations including any prePart IX. Additional Project Guidance: C. Hazard Mitigation Assistance for Safe Rooms
112
determined limitations on the Federal share of project costs. Detailed information on funding
program limits can be found in Part IV E. Potential Applicants and subapplicants should also
consult their SHMO for details on funding limitations.
Cost Estimates
Applications must include detailed, line-item costs in the project cost estimates submitted for
safe room projects. Well-documented project cost estimates contain quantities, unit costs, and a
source for each unit cost. In contrast, lump-sum cost estimates do not provide quantities and unit
costs required to evaluate the accuracy of the project cost estimate. Lump-sum cost estimates are
not acceptable.
Under the HMGP and PDM grant programs, project cost estimates include unit costs related to
the proposed square footage of the protected area or areas of the safe room. These unit costs may
also be related to the protected population (occupants) of the safe room.
Table 6 in this section may be used to assist in identifying mitigation-related components that are
eligible for PDM and HMGP funding under the Safe Room Policy. Important notes regarding the
contents of the table are provided following the table.
Part IX. Additional Project Guidance: C. Hazard Mitigation Assistance for Safe Rooms
113
Table 6: Eligible and Ineligible Components of Residential and Community Safe Rooms
Building Systems & Components
Design Criteria
Residential
Safe rooms
1- & 2Family
Dwellings
NonResidential,
Dual-Use
Tornado
Safe Room
NonResidential,
Single-Use
Tornado
Safe Room
NonResidential,
Dual-Use
Hurricane
Safe Room
NonResidential,
Single-Use
Hurricane
Safe Room
Systems and Components Defining
the Safe Room Space
Foundations, structural systems, walls,
and ceilings/roofs (new construction
and retrofit) that directly support or
protect the building cladding, providing
near-absolute, life-safety protection
Available criteria included in FEMA
320 and 361.
Eligible
Eligible
Eligible
Eligible
Eligible
Doors and Windows
Available criteria included in FEMA
320 and 361.
Eligible
Eligible
Eligible
Eligible
Eligible
Protection of exterior above-ground
generators and/or electrical,
ventilation, or communication
equipment
Available criteria included in FEMA
320 and 361.
Eligible
Eligible
Eligible
Eligible
Eligible
Signage
Available criteria included in FEMA
320 and 361.
Ineligible
Eligible
Eligible
Eligible
Eligible
Communications
Required by FEMA 361 (Chapters 8
and 9 for emergency communications
to and from the safe room).
Eligible
Eligible
Eligible
Eligible
Eligible
Local Area Network (LAN) drops and
wiring
Not a design requirement of FEMA
320 or FEMA 361.
Ineligible
Ineligible
Ineligible
Ineligible
Ineligible
Eligible
Eligible
Eligible
Eligible
Eligible
Common “Best Practice”
Components (Recommended by
FEMA)
Components Where Function Meets
FEMA Protection Criteria
Alternate Source of Power (e.g.,
generator, battery)
As specified in FEMA 320 or 361
requirements. Capacity should be
limited to the load required for lifesafety protection: a minimum of 2
hours for tornadoes and 24 hours for
hurricanes.
Part IX. Additional Project Guidance: C. Hazard Mitigation Assistance for Safe Rooms
114
Residential
Safe rooms
1- & 2Family
Dwellings
NonResidential,
Dual-Use
Tornado
Safe Room
NonResidential,
Single-Use
Tornado
Safe Room
NonResidential,
Dual-Use
Hurricane
Safe Room
NonResidential,
Single-Use
Hurricane
Safe Room
Building Systems & Components
Design Criteria
Equipment and Supplies (i.e., fire
extinguishers, first aid kits)
As specified in FEMA 320 or 361
criteria. Compliant with minimum local
building code provisions when used
as a safe room or A-3 occupancy.
Ineligible
Eligible
Eligible
Eligible
Eligible
Ventilation
As specified in FEMA 320 or 361
criteria. Compliant with minimum local
building code provisions when used
as a safe room or A-3 occupancy.
Eligible
Eligible
Eligible
Eligible
Eligible
Permanent Electrical Lighting
As specified in FEMA 320 or 361
criteria. Compliant with minimum local
building code provisions when used
as a safe room or A-3 occupancy.
Eligible
Eligible
Eligible
Eligible
Eligible
Emergency Electrical Lighting
As specified in FEMA 320 or 361
criteria. Compliant with minimum local
building code provisions when used
as a safe room or A-3 occupancy.
Eligible
Eligible
Eligible
Eligible
Eligible
Permanent Electrical Outlets
As specified in FEMA 320 or 361
criteria. Compliant with minimum local
building code provisions when used
as a safe room or A-3 occupancy.
Ineligible
Ineligible
Ineligible
Ineligible
Ineligible
Emergency Electrical Outlets
As specified in FEMA 320 or 361
criteria. Compliant with minimum local
building code provisions when used
as a safe room or A-3 occupancy.
Eligible
Eligible
Eligible
Eligible
Eligible
Upgrade of an electrical or ventilation
system for protected portions of the
structure (required for safe room
installation)
As specified in FEMA 320 or 361
criteria. Compliant with minimum local
building code provisions when used
as a safe room or A-3 occupancy.
Eligible
Eligible
Eligible
Eligible
Eligible
Upgrade of an electrical or ventilation
system for unprotected portions of the
structure (not required for safe room
installation)
As specified in FEMA 320 or 361
criteria. Compliant with minimum local
building code provisions when used
as a safe room or A-3 occupancy.
Ineligible
Ineligible
Ineligible
Ineligible
Ineligible
Part IX. Additional Project Guidance: C. Hazard Mitigation Assistance for Safe Rooms
115
Residential
Safe rooms
1- & 2Family
Dwellings
NonResidential,
Dual-Use
Tornado
Safe Room
NonResidential,
Single-Use
Tornado
Safe Room
NonResidential,
Dual-Use
Hurricane
Safe Room
NonResidential,
Single-Use
Hurricane
Safe Room
Building Systems & Components
Design Criteria
Steps/stairs, elevators/lifts for safe
room ingress-egress
As specified in FEMA 320 or 361
criteria. Compliant with minimum local
building code provisions when used
as a safe room or A-3 occupancy.
Eligible
Eligible
Eligible
Eligible
Eligible
Americans with Disabilities Act (ADA)
entrances for ingress-egress
As specified in FEMA 320 or 361
criteria. Compliant with minimum local
building code provisions when used
as a safe room or A-3 occupancy.
Eligible
Eligible
Eligible
Eligible
Eligible
Toilets and Hand Washing Facilities
located within the safe room
As specified in FEMA 361 criteria;
and also in compliance with minimum
local building code provisions.
Ineligible
Eligible
Eligible
Eligible
Eligible
Compliance with FEMA Safe Room
Policy, FEMA 320, and FEMA 361 for
Design Flood Criteria and Floodplain
Management
As specified in 320 or 361
requirements, where compliant with
minimum local building code
provisions, and in accordance with
MRR-2-09-1.
Eligible
Eligible
Eligible
Eligible
Eligible
Planning/Engineering/Architecture/Des
ign Fees
Only planning/design costs required
for the safe room, utility protection,
and travel/time accessibility. Must
comply with unit cost allowances.
Eligible
Eligible
Eligible
Eligible
Eligible
Engineering Peer Review of Safe
Room Design Criteria (limited to
systems and components providing
life-safety protection). This cost may
be included in the design
cost/engineering fee but may also be
singled out as a line-item cost.
Only additional engineering review of
plans/design required for the safe
room, utility protection, and occupant
protection. Must comply with unit cost
allowances for design fees.
Eligible
Eligible
Eligible
Eligible
Eligible
Excavation
As required for excavating the
required foundation for the safe room,
such as: interior foundation (e.g.,
interior column footing), exterior
foundation, underground placement
of safe room, or underground
placement of electrical lines.
Eligible
Eligible
Eligible
Eligible
Eligible
Design and Construction
Components
Part IX. Additional Project Guidance: C. Hazard Mitigation Assistance for Safe Rooms
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Residential
Safe rooms
1- & 2Family
Dwellings
NonResidential,
Dual-Use
Tornado
Safe Room
NonResidential,
Single-Use
Tornado
Safe Room
NonResidential,
Dual-Use
Hurricane
Safe Room
NonResidential,
Single-Use
Hurricane
Safe Room
Building Systems & Components
Design Criteria
Below-Ground Electrical Lines for Safe
Rooms within Another Structure
Compliant with minimum local
building code.
Ineligible
Ineligible
Ineligible
Ineligible
Ineligible
Below-Ground Electrical Lines from
Structure to Exterior Safe Room
Compliant with minimum local
building code.
Eligible
Eligible
Eligible
Eligible
Eligible
Moisture Protection
As specified in FEMA 320 or 361
criteria. Compliant with minimum local
building code provisions when used
as a safe room or A-3 occupancy.
Eligible
Eligible
Eligible
Eligible
Eligible
Surveys, Tests, Soil Borings, etc. for
Protected Portion
As specified in FEMA 320 or 361
criteria. Compliant with minimum local
building code provisions when used
as a safe room or A-3 occupancy.
Ineligible
Eligible
Eligible
Eligible
Eligible
Safe Facility Maintenance
As per HMA Program Guidance,
FEMA is not responsible for project
maintenance.
Ineligible
Ineligible
Ineligible
Ineligible
Ineligible
Restroom fixtures that are not the
minimum code required for toilet and
hand washing facilities within the safe
room
Not a design requirement of FEMA
320 or 361.
Ineligible
Ineligible
Ineligible
Ineligible
Ineligible
Paint on walls and ceilings for the safe
room
Not a design requirement of FEMA
320 or 361.
Ineligible
Ineligible
Ineligible
Ineligible
Ineligible
Floor coverings – Subfloors as is
appropriate and adequate for use in a
safe room
Not a design requirement of FEMA
320 or 361.
Ineligible
Ineligible
Ineligible
Ineligible
Ineligible
Floor covering for the unprotected
portion of the project
Not a design requirement of FEMA
320 or 361.
Ineligible
Ineligible
Ineligible
Ineligible
Ineligible
Finishes that enhance basic
wall/ceiling paint or floor covering
Not a design requirement of FEMA
320 or 361.
Ineligible
Ineligible
Ineligible
Ineligible
Ineligible
Removal of structures from developed
land
Not a design requirement of FEMA
320 or 361.
Ineligible
Ineligible
Ineligible
Ineligible
Ineligible
Kitchen cabinets, countertops, and
kitchen equipment
See “Storage areas for food, water,
and equipment” below.
Ineligible
Ineligible
Ineligible
Ineligible
Ineligible
Generally Ineligible Components
(Non-Essential to Protection)
Part IX. Additional Project Guidance: C. Hazard Mitigation Assistance for Safe Rooms
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Residential
Safe rooms
1- & 2Family
Dwellings
NonResidential,
Dual-Use
Tornado
Safe Room
NonResidential,
Single-Use
Tornado
Safe Room
NonResidential,
Dual-Use
Hurricane
Safe Room
NonResidential,
Single-Use
Hurricane
Safe Room
Building Systems & Components
Design Criteria
Storage areas for food, water, and
equipment
FEMA 361 includes the
recommendation for food and water
storage within the safe room in
Section 8.6.1. FEMA 361 also
identifies safe room equipment that
should be stored within the safe
room. See Sections 8.6.3 and 9.1.8,
and Table 9.1.
Ineligible
Eligible
Eligible
Eligible
Eligible
Security cameras and EOC-type
equipment
Not a design requirement of FEMA
320 or 361.
Ineligible
Ineligible
Ineligible
Ineligible
Ineligible
Purchase of land
Not a design requirement of FEMA
320 or 361.
Ineligible
Ineligible
Ineligible
Ineligible
Ineligible
Landscaping
Not a design requirement of FEMA
320 or 361.
Ineligible
Ineligible
Ineligible
Ineligible
Ineligible
Ineligible
Ineligible
except for
sidewalks
necessary for
access
Ineligible
except for
sidewalks
necessary for
access
Ineligible
except for
sidewalks
necessary for
access
Ineligible
except for
sidewalks
necessary for
access
Site work not related to the protected
portion (excavation, grading, parking,
sidewalks, etc.)
Not a design requirement of FEMA
320 or 361.
Eligible Costs Table Notes:
1. Parking, and all non-building elements that support getting occupants from the parking area to the safe room area, are ineligible costs. These costs include, but
are not limited to, the parking areas/surfaces, weather protection structures, walkways, stairs and railings, and signage otherwise not needed for pedestrian access
unless required by the ADA.
2. Community-wide, mass notification systems are not eligible costs for safe room projects. Only warning systems necessary to notify prospective safe room
occupants along with communications equipment directly supporting the safe room function are eligible costs.
3. Safe rooms must comply with minimum square footage requirement presented in FEMA 361 when applying for Federal funding. However, when additional
space per occupant is provided, this typically reduces the BCR for the safe room project. Currently, no exceptions or provisions allow for the additional benefit to
be credited due to the use of facility (such as an EOC, a hospital, a special needs shelter, etc.). FEMA 361 square footage criteria are net square footages (usable)
for the safe room (protected) area.
4. When a safe-room is a single-use space or any other space that has not otherwise been classified for use or occupancy, the occupancy should be defined as A-3
as defined in Section 303 of the 2006 (or most current edition) of the International Building Code (IBC). This occupancy designation will provide the criteria
needed for defining other non-safe room design parameters from the building code for the safe room space, including, but not limited to, lighting, toilet and hand
washing fixtures, ventilation, etc.
Part IX. Additional Project Guidance: C. Hazard Mitigation Assistance for Safe Rooms
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Under the current Safe Room Policy, for each structure type, eligible project costs are limited to:
Protection by design components (see Table 6), including and limited to the safe room
portion of the envelope (walls, ceilings, doors, windows, as specified in FEMA 320 and
361).
Ancillary “best practice” components (see Table 6) recommended by FEMA 320 and
361, including standby (backup) power, communications, and emergency electrical
lighting limited to the safe room portion of the building.
Design and construction components (see Table 6) for safe room portion only,
including engineering fees and excavation.
Required features by function (see Table 6) (necessary for safe room function and
habitation) components, including ventilation, permanent electrical lighting, steps for
ingress/egress, toilets and hand washing facilities, etc. for the normal use of the safe room
when eligible according to Table 6. Some of these features may be recommended, but
FEMA does not pay for these elements.
Ineligible costs are non-essential components including any above-code, code-required, or
below-code components not necessary to provide for minimum life-safety protection in the safe
room area. Table 7 presents examples of five safe room projects and their eligible costs.
Community Safe Room –
Retrofit
Residential Safe Room
Table 7: Example Eligible Costs by Safe Room Type
Tornado or
Hurricane Safe
Room, New
Construction or
Retrofit, Interior,
or Exterior
Example: Interior basement safe room, new construction.
Eligible Costs: Eligible project costs include:
Protective safe room envelope (walls, ceiling, and door)
Required FEMA 320 best-practice components
Design and construction costs for safe room portion only
Required safe room components, such as permanent electrical lighting and
ventilation, as specified in FEMA 320
Eligible Costs: Costs eligible for FEMA cost share include:
Single-Use
Tornado or
Hurricane Safe
Room, Retrofit
Components or hardening activities that meet FEMA 361 wind mitigation
criteria
Required FEMA 361 best-practice components including signage,
communications, standby (backup) power sources
Construction and design fees
Required components, such as electrical lighting, ventilation, (may only be
necessary for hurricane safe rooms), toilets and hand washing facilities as
specified in FEMA 361
Ineligible Costs: Non-mitigation performing components not identified in FEMA 361.
Part IX. Additional Project Guidance: C. Hazard Mitigation Assistance for Safe Rooms
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Community Safe Room –
Retrofit
Eligible Costs: Costs eligible for FEMA cost share (limited to designated mitigationperforming areas of the structure) include:
Dual-Use
Tornado or
Hurricane Safe
Room, Retrofit
Costs to harden walls, floors, ceilings/roofs, windows in safe area only
Standby (Backup) power sources for safe room area only
Any local code-required items, including toilet and hand washing facilities,
electrical lighting, and ventilation limited to the safe room area
Ineligible Costs: Non-mitigation-performing components not identified in FEMA 361,
including items relating to non-shelter use, such as auditorium seating, sports
equipment and fixtures, floor treatments, bathroom fixtures (other than coderequired toilets and hand washing fixtures specified by the FEMA safe room
publications), etc.
Community Safe Rooms – New Construction
Eligible Costs: Costs eligible for FEMA cost share include:
Single-Use
Tornado or
Hurricane Safe
Room, New
Construction
Walls, floors, ceilings/roofs, doors, and windows included in the safe room
Required FEMA 361 best-practice components including signage,
communications, standby (backup) power sources, and construction and
design fees
Local code-required items, including toilet and hand washing facilities,
electrical lighting, ventilation, ADA entrances (ADA entrances are federally
mandated but also required by local code)
Ineligible Costs: Non-mitigation performing components not identified in FEMA 361.
Eligible Costs: Costs eligible for FEMA cost share (limited to the safe room area of
the structure) include:
Dual-Use
Tornado or
Hurricane Safe
Room, New
Construction
Walls, floors, ceilings/roofs, doors, and windows included in the safe room
portion of the facility
Required FEMA 361 best-practice components including signage,
communications, standby (backup) power sources
Construction and design fees
Local code-required items, including toilet and hand washing facilities,
electrical lighting, and ventilation
Ineligible Costs: Non-mitigation-performing components not identified in FEMA 361,
including items relating to non-shelter use, such as auditorium seating, sports
equipment and fixtures, floor treatments, bathroom fixtures, etc.
C.4.3 Operations and Maintenance Plans
The Safe Room Policy requires Applicants and subapplicants to submit a descriptive statement
regarding the O&M plan with any safe room grant application. The policy states in Section VII
(page 3):
FEMA will consider an extreme wind event mitigation activity consisting of the retrofit or
construction of a residential, nonresidential, or community safe room (single- or multiuse) to be an eligible project type for PDM and HMGP grant awards as follows:
[In the 7th bullet:] where adequate operations and maintenance planning are
demonstrated;
And further states in Section VII, Part E (page 9):
To be considered for funding, PDM and HMGP community safe room project
applications will include a statement acknowledging that the requested community safe
room will be operated and maintained in a manner that will achieve the proposed hazard
mitigation. FEMA will only consider operations and maintenance plans that are
Part IX. Additional Project Guidance: C. Hazard Mitigation Assistance for Safe Rooms
120
consistent with criteria available in FEMA 361 Design and Construction Guidance for
Community Safe Rooms Chapter 9 and the samples provided in Appendix C and D.
Community safe rooms, as defined by the Safe Room Policy, are built and operated for the
purpose of immediate life-safety protection during extreme wind hazards. To achieve this
purpose, community safe rooms must be built to the design criteria specified in Section VII, Part
A of the Safe Room Policy, and they must admit occupants and provide them with the services
they need in a timely manner. Consequently, the Safe Room Policy requires that all community
safe room applications provide a clear and succinct statement acknowledging that the requested
community safe rooms will be operated and maintained in manner that will achieve the proposed
hazard mitigation. Therefore, it is essential that Applicants and subapplicants provide this
information; otherwise, the application review may be delayed or an application rejected. In
addition, a signed Draft O&M Plan will be provided at pre-construction and a signed Final
Approved O&M Plan will be provided at closeout for evaluation of community safe room
funding applications. Again, it is essential that this information be provided otherwise project
implementation may be inhibited.
The following steps outline the O&M plan requirements for projects seeking FEMA grant
funding, details for each step are provided in the subsections below.
Step 1. (3.1) Descriptive statement of O&M plan (due at time of application);
Step 2. (3.2) Draft O&M Plan (due prior to any retrofit or construction); and
Step 3. (3.3) Final O&M Plan (due prior to project closeout).
C.4.3.1 Descriptive Statement of O&M Plans
A statement acknowledging the requirement for an O&M plan for the community safe room
should be included in the grant application. At a minimum, it should include a description of the
maintenance procedures, as well as a brief statement about the operation of the safe room when
opened for use. The statement should also provide basic information about how the safe room
will be used, including a description on initiating use, a discussion of the warning system, basic
procedures for opening the doors to the public, and key components of the safe room
maintenance procedures. Finally, the statement should identify the office that will be responsible
for the O&M of the safe room.
C.4.3.2 Draft O&M Plans
The development of a Draft O&M Plan should be coordinated with the appropriate entities both
using and operating the community safe room and signed by appropriate officials in these
organizations.
A Draft O&M Plan must be submitted at pre-construction and, at a minimum, must include the
items identified in the O&M component lists below. The Draft O&M Plan may be based on
preliminary engineering drawings. FEMA 361, Chapter 9 and Appendices C and D, provide
additional information on the O&M components. The O&M plans should include, but not be
limited to, the following components:
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Operations Components:
Community organization(s) responsible for operating and maintaining the community safe
room, such as the local emergency management office. Include contact information for the
relevant office(s).
Command and management roles and responsibilities for key individuals, such as the
overall safe room manager and site coordinator and their essential duties; and/or the
agency responsible for fulfilling these roles.
Major tasks the safe room management team will perform during a tornado/hurricane
watch issued by the National Weather Service.
Major tasks the safe room management team will perform during a tornado/hurricane
warning issued by the National Weather Service.
General operation tasks performed in the community safe room from the time the
emergency is announced to the time occupants may safely leave the community safe
room.
Maintenance Components:
Assurance from the organization responsible for operating and maintaining the community safe
room of the following during the useful life of the community safe room:
Non-mitigation uses will not prohibit the use of the community safe room to perform its
hazard mitigation purpose of life-safety protection. This will ensure the approved safe
room occupancy is available at all times.
Regular maintenance will be scheduled and performed by a designated party during the
useful life of the community safe room.
Basic exterior and interior signage will be posted as is necessary and appropriate for
adequate safe room operations.
A redundant power source, such as batteries or generators, is available to provide standby
(emergency) power for lighting and ventilation for the community safe room in the event
of primary power failure, as required.
The community safe room inventory will include essential equipment and supplies such as
communications equipment, emergency equipment, first-aid supplies, water, and sanitary
supplies.
A Draft O&M Plan is required before any retrofit or construction activities begin. Draft O&M
Plans must include:
Both the operations and maintenance components listed above.
The signature of the subgrantee for the approved application.
The signature of authorized officials from the identified community organization(s)
responsible for operating and maintaining the community safe room, if different than the
subgrantee.
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122
Grantee Review of Draft O&M Plan
The Safe Room Policy specifies that the Grantee affirm the Draft O&M Plan is consistent with
FEMA 361 criteria by:
Reviewing the draft plan to ensure it addresses both the operations and maintenance
components, as well as the signature requirements listed above.
Coordinating with the subgrantee to address any missing components and/or signatures
not included in the draft plans.
Transmitting the Draft O&M Plan to FEMA with a written statement affirming its
consistency with FEMA 361 criteria.
FEMA Review of Draft O&M Plan
The Grantee will be informed in writing once FEMA has determined the Draft O&M Plan is
consistent with FEMA 361 criteria. This will allow the Grantee to inform the subgrantee that it
may begin retrofit or construction activities. FEMA comments on the Draft O&M Plan must be
addressed before FEMA makes a final determination of consistency.
Additional information on plan components is provided in FEMA 361, Chapters 3, 5, 8, and 9:
Maximum Occupancy (FEMA 361, 3.3.1, 3.4.1, and 3.5.1);
Warning Signals (limited information in FEMA 361, 5.4 and 5.5);
Access and Entry (FEMA 361, 4.4 and 8.4);
Signage (FEMA 361, 9.4);
Parking (FEMA 361, 5.4);
Pets (FEMA 361, 5.4);
Special Needs Populations (FEMA 361, 8.7);
Emergency Provisions, such as food and water, sanitation management (FEMA 361, 8.9);
and
Identified non-mitigation uses of the community safe room (FEMA 361, 5.2.2).
C.4.3.3 Final O&M Plans
The development of a Final O&M Plan should be coordinated with the appropriate entities both
using and operating the community safe room and signed by appropriate officials in these
organizations.
A Final O&M Plan is required before project closeout. The Draft O&M Plan should be updated
to reflect the actual design and construction of the safe room and include any other changes that
may have been required due to construction, access issues, or other relevant factors.
Final O&M Plans must include:
Operations and maintenance components listed above;
The signature of the subgrantee for the approved application; and
Part IX. Additional Project Guidance: C. Hazard Mitigation Assistance for Safe Rooms
123
The signature of authorized officials from the identified community organization(s)
responsible for operating and maintaining the community safe room, if different than the
subgrantee.
Grantee Review of Final O&M Plan
The Safe Room Policy requires that the Grantee affirm that the Final O&M Plan is consistent
with FEMA 361 criteria by:
Reviewing the final plans to ensure they address both the O&M components, as well as
the signature requirements listed above;
Coordinating with the subgrantee to address any missing components; and
Transmitting the Final O&M Plan to FEMA with a written statement affirming its
consistency with FEMA 361 criteria.
FEMA Review of Final O&M Plan
The Grantee will be informed in writing once FEMA has determined the Final O&M Plan is
consistent with FEMA 361 criteria. FEMA comments on the Final O&M Plan must be addressed
before FEMA makes a final determination of consistency. Grantees not completing a Final O&M
Plan at closeout will be subject to recoupment of grant funds as determined by FEMA.
C.4.4 Cost Effectiveness for Safe Rooms
The Safe Room Policy, Section VII, Part F (page 10), Cost Effectiveness states, “PDM and
HMGP safe room projects requesting funding must demonstrate their cost effectiveness through
an acceptable benefit-cost analysis (BCA).”
This section discusses the total project costs required for the purpose of demonstrating
compliance with cost-effectiveness requirements. The total project cost for BCA purposes is
equal to the sum of all eligible costs necessary to achieve life-safety protection. Applicants and
subapplicants should refer to the Eligible Costs section of this guidance to help identify the full
range of components that make up these necessary costs. As identified in the Safe Room Policy,
project costs typically include:
Design activities;
Site preparation and building foundation materials and construction;
Structural systems capable of resisting the design wind loads (including roof decking and
roof support structures);
Protective envelope components such as:
Walls, ceiling/roof systems, and doors; and
Other retrofit hardening activities that meet FEMA-approved performance criteria;
Functional components such as:
Permanent electrical lighting, ventilation, heating/cooling, and toilets and handwashing facilities consistent with FEMA-approved performance criteria;
Part IX. Additional Project Guidance: C. Hazard Mitigation Assistance for Safe Rooms
124
Signage, emergency communications equipment, and backup power generation for the
safe area; and
O&M plan development.
In some cases, the total project costs of a safe room for a large community may exceed the
funding limits of the HMGP or PDM grant program. In these instances, the actual total project
cost must be used in the BCA. The grant program funding limit (which would be less than the
actual project cost) may not be used as the total project cost entered into the BCA.
Similarly, some applications may not request PDM or HMGP funds up to the available Federal
cost share. In these cases, the application must still use the sum of all required, not just
requested, costs necessary to achieve the hazard mitigation purpose of immediate life-safety
protection.
C.4.5 Summary of Grant Application Requirements
To be eligible for FEMA grant funding, safe room applications and subapplications must provide
documentation to show:
Compliance with the FEMA Mitigation Safe Room Policy;
Compliance with relevant HMGP and PDM program guidance requirements; and
Compliance with local planning, zoning, building, and other applicable codes.
In addition to these three basic requirements, all applications and subapplications must include:
Population at risk:
Documentation on the composition, size, and rationale for including each group
designated as an at-risk population;
For tornado residential and community safe rooms, documentation must show how the
designated population would reach the safe room within the prescribed time limit after
notification; and
For hurricane safe rooms, documentation must demonstrate that each group
comprising the at-risk population belongs to one of the categories specified in this
guidance;
Travel limitations:
For tornado community safe rooms, travel limits are 5 minutes for the occupants who
will be walking or the maximum distance of 0.5 mile from the safe room for those
driving. This means that the population relied upon as the potential occupants of the
safe room must reside or work in buildings that are no more than 0.5 mile away from
the safe room; and
For hurricane safe rooms, travel times are not limited;
A BCA performed using the latest available and approved BCA tools;
A description of the approach the subapplicant will use in preparing the O&M plan; and
Closeout Requirements:
Part IX. Additional Project Guidance: C. Hazard Mitigation Assistance for Safe Rooms
125
Final approved O&M plan;
Photos of the project site before and after construction;
Latitude/longitude at the project site; and
Vicinity map and map of SFHA if applicable.
Part IX. Additional Project Guidance: C. Hazard Mitigation Assistance for Safe Rooms
126
D. Mitigation Reconstruction Projects
This section supplements the information provided in Parts I through VIII. For mitigation
reconstruction resources, see Part X C.11.
D.1 Additional Project Eligibility Requirements
Mitigation reconstruction projects cannot be combined with other activity types within the same
project subapplication. To ensure the subapplication scope, schedule, and budget adhere to
programmatic requirements, a mixture of activity types other than mitigation reconstruction
within the subapplication is not permitted. Applicants must indicate within the mitigation activity
section of their subapplication why they are electing to utilize mitigation reconstruction, and
have not chosen the other available activity types. Mitigation reconstruction projects must be
designed using the best available data, including an Advisory Base Flood Elevations (ABFEs), if
available.
Mitigation reconstruction projects result in the construction of code-compliant and hazardresistant structures on elevated foundation systems. No mitigation reconstruction projects are
allowed in the regulatory floodway or coastal high hazard area (Zone V).
D.2 Eligible Mitigation Reconstruction Costs
Mitigation reconstruction activities may involve the demolition of an existing structure followed
by onsite replacement with a hazard-resistant (e.g., flood, wind, and fire) and code-compliant
structure.
All reasonable and necessary costs, including anticipated project costs, direct costs associated
with project scoping, costs for reviewing design professional changes, and costs for preconstruction and construction activities listed below, are eligible project costs. All costs shall be
based on the construction of fundamental, code-compliant structures as related to the codes and
standards outlined in this guidance. Eligible activities must adhere to all Federal, State, and local
requirements. A detailed project cost estimate shall be prepared by, or under the supervision of,
the design professional responsible for project design. Details pertaining specifically to the
project cost estimate, such as submittal format, cost ranges, preparation requirements, and source
documentation, are included in Part IV H.3.
Eligible costs are limited to $150,000 Federal share per property. Some eligible activities such as
administrative allowances and permitting fees need not be included in the $150,000 maximum
Federal share.
The activities eligible as part of a grant award under this activity type are separated into three
major categories: Consultation and Project Scoping, Pre-Construction Activities, and
Construction Activities. Specific activities within each of these categories that are eligible to the
extent reasonable and necessary to perform the project purpose are identified in Table 8.
Part IX. Additional Project Guidance: D. Mitigation Reconstruction Projects
127
Table 8: Eligible Mitigation Reconstruction Activities
Activity
1. Project Scoping
Property Verification (e.g., size of pre-existing structure)
Preliminary Elevation Determination
Environmental Site Assessment Phase 1
Engineering Feasibility Study (For example: Can an existing structure be
elevated? Is mitigation reconstruction feasible?)
BCA
Title Search (e.g., ownership verification)
2. Pre-Construction Activities
Site Survey (i.e., boundaries and elevation)
Testing of Soils/Geotechnical, Testing for Asbestos and Lead-Based Paint
Archeological Assessment Phase 1
Local, State, and Federal Permitting (e.g., environmental, historic)
Architectural/Engineering Design/Plans/Specifications
Plan Review
3. Construction Activities
Permitted disposal of routine asbestos, lead-based paint, and household
hazardous wastes incidental to demolition
EHP Mitigation
Demolition/Removal
Erosion Control/Grading/Drainage
Utility Connections
Landscaping for Site Stabilization (e.g., seeding)
Walkways and Driveways
Elevated Foundation Construction
Inspection of Foundation System
Structural Shell
Framing
Exterior Doors
Windows (includes protection)
Access/Egress
Exterior Cladding
Roofing
Interior Partitioning
Drywall
Trim
Painting
Interior Doors
Insulation
Part IX. Additional Project Guidance: D. Mitigation Reconstruction Projects
Subject to Federal
Share Funding Limit
of $150,000?
No
No
No
No
No
No
No
No
No
Yes
Yes
No
No
No
Yes
Yes
Yes
Yes
Yes
Yes
No
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
128
Activity
Utility Equipment
Heating, Ventilation, and Air Conditioning (HVAC)
Water/Wastewater Plumbing
Electrical Panel and Wiring
Hot Water Heater
Fixtures
Sinks/Toilets/Showers
Lighting
Cabinets and Countertops
Flooring
Building Inspections
Certificate of Occupancy
Final Elevation Certificate
Owner Displacement Costs
Tenant Displacement Costs
Prepare and Record Flood Insurance Requirement (after construction is
finalized)
Subject to Federal
Share Funding Limit
of $150,000?
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
No
No
No
No
No
No
D.2.1 Eligible Demolition/Removal Activities
Mitigation reconstruction projects will include either total or partial demolition of the site. All
demolition debris shall be removed and taken to an approved landfill. The following must be
considered during demolition:
Abatement of asbestos and lead-based paint;
Removal of existing associated structures, garages, and above-grade concrete slabs;
Abandoned septic tanks, if not removed, must be emptied, have the floors and walls
cracked or crumbled to prevent the tank from holding water, and be filled with sand or
other clean fill;
All foundation and basement walls not included within the mitigation reconstruction
project footprint shall be removed to at least 1 foot below the finish grade of the site, or as
necessary to construct the new foundations;
All basements not included within the mitigation reconstruction project footprint shall be
filled with compacted clean fill. Prior to filling, basement floors should be provided with a
minimum 1-foot diameter hole in the floor to allow for drainage;
Only trees that restrict the mitigation reconstruction work on any structure may be
removed;
Any abandoned utilities shall be terminated at least 2 feet below the finish grade of the
site;
Any abandoned wells shall be capped and associated components may be removed; and
Part IX. Additional Project Guidance: D. Mitigation Reconstruction Projects
129
All disturbed areas must be graded and leveled. The top 12 inches of soil should be
capable of supporting vegetation in areas not included in the reconstructed footprint.
D.2.2 Ineligible Mitigation Reconstruction Costs
Certain mitigation reconstruction activities and their associated costs are not eligible. Ineligible
costs include, but are not limited to, the following:
Landscaping for ornamentation (e.g., trees, shrubs);
Decks and garages not included as part of the foundation system;
All construction activities not specifically noted in this guidance and not specifically
approved by FEMA in advance; and
Site remediation of hazardous materials.
D.3 Additional Information about the Feasibility and Effectiveness Requirement
The height to which a foundation can be constructed is a key factor in determining feasibility.
Assistance in evaluating flood mitigation techniques can be found in FEMA 551, Selecting
Appropriate Mitigation Measures for Floodprone Structures, March 2007. All proposed
mitigation measures from FEMA 551 must be consistent with other HMA program criteria such
as eligible activities. FEMA has developed guidance for the design of appropriate foundations
based on the requirements of the International Codes and other applicable coastal construction
standards. This guidance is included in FEMA 550, Recommended Residential Construction for
Coastal Areas: Building on Strong and Safe Foundations, December 2009, which also includes
sample foundation design calculations and drawings, and describes in detail the considerations
for determining the feasibility of constructing to the required height. While FEMA 550 was
developed in response to the reconstruction needs following Hurricane Katrina, the design
solutions provided can be used in both coastal and non-coastal flood zones. The document
recommends that users choose the appropriate foundation by following the Foundation Selection
Decision Tree. In this document, FEMA recommends that the sample designs be used for a
maximum height of 8 feet for a closed foundation, and up to 15 feet for an open foundation. A
design professional should be consulted to determine feasibility for residential structures with
required foundation heights greater than these limits.
D.4 Mitigation Reconstruction Project Scoping
The SOW for mitigation reconstruction projects is expected to include six general activities
associated with construction. Each of the following activities is outlined in subsequent
subsections:
Pre-construction;
Site preparation;
Foundation construction;
Structural shell construction;
Interior finishes; and
Construction completion.
Part IX. Additional Project Guidance: D. Mitigation Reconstruction Projects
130
In developing the mitigation reconstruction SOW, the subapplicant should consider:
Health issues involved with working with asbestos, mold, or lead-based paint;
Whether the structure can be safely elevated with a low likelihood of collapse or
disintegration of the structure during the process and the need for a registered engineer or
architect to ensure that structure elevation is possible; and
The square footage of a resulting structure shall be no more than 10 percent greater than
that of the original structure. Breezeways, decks, garages, etc. will not be considered part
of the original square footage unless they were situated on the original foundation system.
Original square footage must be documented in the SRL subapplication through copies of
tax records or other verifiable means.
In order to facilitate project development and to ensure all potential costs have been estimated, a
conceptual design of proposed activities must be prepared during subapplication development.
Although the construction of each structure will be designed by a licensed professional as part of
the implementation of the project, basic design parameters for each structure must be established
during project scoping. Some of the design parameters that must be established during project
scoping include foundation type, required foundation height, flood hazard conditions,
appropriate wind design, project cost, and site conditions. To aid potential subapplicants through
the project scoping process, FEMA has developed detailed information regarding project cost
estimates (see Part IV H.3.1).
D.4.1 Design Parameters
The primary design parameters that must be considered during project scoping include:
Foundation Type: A key consideration for scoping mitigation reconstruction projects is
the type of foundation required. The type of foundation for a specific mitigation
reconstruction project is based on the location of the property within a defined flood zone
(based on the BFE or ABFE) and the required height of the proposed structure above
adjacent grade. During project scoping, the applicable flood zone or flood hazard area for
each structure must be identified, as well as the associated foundation design
requirements. This will aid subapplicants in determining the appropriate foundation type.
The type of foundation selected affects the type and cost of construction, and must be
identified prior to subapplication submittal. Assistance in evaluating flood mitigation
techniques can be found in FEMA 551. Detailed guidance on foundation designs and
design parameters can be found in FEMA 550;
Foundation Height: The required height to which a foundation must be constructed is a
key factor in determining feasibility and cost. Assistance in evaluating flood mitigation
techniques can be found in FEMA 551. FEMA has developed guidance for the design of
appropriate foundations based on the requirements of the International Codes and other
applicable coastal construction standards. This guidance is included in FEMA 550, which
also includes sample foundation design calculations and drawings. In this document,
FEMA has recommended sample designs and associated height limitations for various
foundation types. For residential structures with required foundation heights greater than
these limits, a design professional should be consulted to determine feasibility;
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Wind Design Considerations: All mitigation reconstruction activities must be completed
in accordance with the International Codes. This includes the appropriate wind design as
dictated by the required wind design speed for the project location. An additional
consideration is the requirement for the installation of shutters or other protective
measures in windborne debris regions, which are defined by those areas with a design
wind speed of 120 miles per hour or greater. During project scoping, projects located
within these areas should be identified, and the associated cost of shutters or protective
measures must be included in project costs;
Seismic Considerations: All mitigation reconstruction activities must be completed in
accordance with the International Codes. This includes the appropriate seismic design as
dictated by the required seismic design for the project location. During project scoping,
projects located within these areas should be identified and the associated cost of seismic
design measures or protection must be included in project costs; and
Project Cost: The requirements and preferences for mitigation reconstruction developed
through the parameters described above will significantly affect the cost of proposed
activities. Proposed costs must be developed for consideration of mitigation options and
completion of the BCA. Detailed guidance on costing procedures is available from the
appropriate FEMA Regional Office. In addition to these specific parameters, other
considerations may need to be addressed during project scoping, such as:
Zoning requirements and other local ordinances;
Soil conditions;
Site access requirements; and
EHP considerations.
During project scoping, consideration should be given to all parameters that have the potential to
significantly affect project implementation, including work schedule, project cost, and project
effectiveness. Additional resources for mitigation reconstruction design parameters can be found
in Part X C.11.
D.4.2 Meeting Codes and Standards
Mitigation reconstruction projects shall be designed and constructed to the minimum standard as
established by the requirements of the 2006 International Codes. Structures, including all parts and
appurtenances, shall be designed and constructed to safely support all loads, including dead loads,
live loads, roof loads, floor loads, wind loads, flood loads, snow loads, seismic loads, and
combinations of loads expected to be imposed on the structure as defined in the code and related
documents referenced in the codes. The construction of structures shall result in a system that
provides a complete load path capable of transferring all loads from the point of origin through loadresisting elements to the soils supporting the foundations. One- and two-family dwellings shall be
designed and constructed, as a minimum, to meet the requirements of the 2006 International
Residential Code for One- and Two-Family Dwellings published by the International Code Council,
as well as, ASCE/SEI 24-05. However, FEMA encourages communities to use the newly issued
2009 International Codes with its referenced standards. These include Appendix G: Flood Resistant
Construction for all occupancies including residential, commercial, and other. The 2006 International
Part IX. Additional Project Guidance: D. Mitigation Reconstruction Projects
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Codes shall be the minimum applicable requirement until and unless a subsequent edition of that
code is adopted by the governing jurisdiction.
Multi-family dwellings shall be designed and constructed, at a minimum, to meet the requirements of
the International Building Code (IBC) published by the International Code Council. The 2006 IBC
shall be the minimum applicable requirement until and unless a subsequent edition of that code is
adopted by the governing jurisdiction. For purposes of this program, the absence of an adopted
building code in a participating jurisdiction or a jurisdiction’s use of a building code not meeting the
requirements of the International Codes shall not relieve the subapplicant from meeting the minimum
design and construction requirements.
Installation of manufactured homes must follow regulations and guidance provided by HUD and the
State Administering Agency. In addition, for installations in the SFHA, the flood provisions in NFPA
225, Model Manufactured Home Installation Standard (2009 Edition), shall be the minimum
requirement. This document details the standards for preparation of sites and foundations on which
manufactured homes are installed, and the procedures for onsite installation of homes.
FEMA also provides additional guidance including recommended prescriptive pre-engineered
foundation design in FEMA 85, Protecting Manufactured Homes from Floods and Other Hazards,
November 2009. FEMA 85 has been updated to reflect the requirements of the most current codes
and standards, and to provide a best practices approach in reducing damages from natural hazards.
Project construction documents, including design drawings and specifications, shall be signed and
sealed by a design professional licensed in the State in which the project is to be constructed and
certified for compliance with the codes, standards, and minimum construction requirements specified
in this guidance. Construction documents must be produced prior to the start of construction but are
not required for submittal as part of an application. The construction documents shall include a
statement that the design meets or exceeds the applicable 2006 International Code. Construction
documents based on standard details developed by a manufacturer or material supplier, including
framing members, framing connections and roofing, and siding or appurtenance fasteners shall be
signed and sealed by a design professional licensed in the State in which the project is constructed.
D.4.3 Pre-Construction
Pre-construction activities for each structure include project design, analysis, and permitting
required to meet the requirements for funding.
Project design will be performed by, or under the direct supervision of, a design professional
(i.e., a registered architect or engineer licensed in the State of the project). The design includes
all calculations, analysis, and research necessary to determine the forces expected to act on the
project structure. The design must account for all attachments and appurtenances. The selected
structural framing members must be sufficient to provide a load path for all load-bearing
members so as to transfer design loads to the foundations. The design must also account for the
connections required to transfer loads from one member to another in accordance with the design
concept.
Assistance in evaluating flood mitigation techniques can be found in FEMA 551. Design and
construction techniques for building foundations can be found in FEMA 550, which describes in
detail the considerations for determining the feasibility of constructing to the required height.
While FEMA 550 was developed in response to the reconstruction needs following Hurricane
Katrina, the design solutions provided can be used in both coastal and non-coastal flood zones.
Part IX. Additional Project Guidance: D. Mitigation Reconstruction Projects
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The design process also includes any testing required to establish site-specific design parameters,
such as soil borings conducted as part of a geotechnical exploration, to determine foundation
requirements.
Prior to construction, each subapplicant must obtain all applicable permits and pay all required
permitting fees. Applicable permits are expected to include, but not be limited to, the following:
Zoning or land use approvals;
Environmental permits or required certifications;
Historic preservation approvals; and
Building permits.
D.4.4 Site Preparation
Site preparation activities include demolition of existing structures, removal and disposal of
project debris, site environmental restoration, utility relocation, and site grading required as part
of the project. The subgrantee shall conduct American Society for Testing and Materials
International’s E2247-08 Phase I Environmental Site Assessment in accordance with the EPA’s
all appropriate inquiries rule (40 CFR Part 312). A clean-site certification from the appropriate
Federal or State agency is required for properties that were subject to remedial, removal,
response, or corrective actions for hazardous materials. Environmental site remediation costs are
not eligible.
D.4.5 Foundation Construction
Foundation construction activities include installation, monitoring, and testing (if required) of
foundations supporting the structure. Assistance in evaluating flood mitigation techniques can be
found in FEMA 551. Design and construction techniques for building foundations can be found
in FEMA 550. This guidance document describes in detail the considerations for determining the
feasibility of constructing to the required height. While FEMA 550 was developed in response to
the reconstruction needs following Hurricane Katrina, the design solutions provided can be used
in both coastal and non-coastal flood zones.
Installation of an open foundation system shall be monitored to ensure that foundation elements
are installed to the depth, and achieve the load capacity, specified in the construction documents.
Foundation construction monitoring can be conducted by a building official or his/her designee,
the licensed design professional responsible for the project design, or an independent agency.
D.4.6 Structural Shell Construction
Structural shell construction activities include all framing, load-carrying elements, attachments,
and building envelope components above the foundation. As rough-in installation of electrical,
communications, plumbing, and mechanical systems may require drilling through or making
notches in load-carrying elements, such rough-in work is also part of the structural shell
construction activities. Structural shell construction activities must include an inspection of the
completed shell prior to interior work covering the framing.
A critical element of structural shell construction is an engineering inspection conducted after
framing, service rough-in, and building envelope construction are completed, but prior to
installation of interior walls or coverings. The engineering inspection shall verify that the size,
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location, and materials used in the construction are in conformance with the construction
drawings and the applicable International Code.
The results of an engineering inspection by, or under the direct supervision of, the responsible
design professional or an independent agency shall be presented in a written report signed and
sealed by the licensed design professional in charge of the monitoring. The engineering
inspections must be conducted by a building official or his/her designee. The licensed design
professional responsible for the project design may inspect the structure for quality control
reasons.
D.4.7 Interior Finishes
Interior finish activities include installation of interior walls, flooring, wiring/lighting fixtures,
insulation, plumbing and mechanical fixtures, kitchen/bath counters, cabinets, sinks, toilets,
tub/shower, and HVAC. Inspections of these interior finishes shall be conducted in accordance
with the requirements of the applicable International Code Council building code.
D.4.8 Construction Completion
Construction completion activities consist of conducting final inspections, preparing a final
elevation certificate (including digital photographs), issuing a Certificate of Occupancy for the
structure, and assembling the documentation necessary to verify the project’s conformance with
program requirements.
D.5 Cost Estimate
Each project requires a project cost estimate as part of the technical and cost-effectiveness
evaluation process. The project cost estimate shall include all reasonably anticipated project
costs, including direct costs associated with project scoping and construction and closeout
activities. The project cost estimate should also be based on standard-grade construction.
Eligible costs are limited to $150,000 Federal share per property. Some eligible activities, such
as administrative allowances and permitting fees, need not be included in the $150,000
maximum Federal share.
Federal share funding will be estimated and obligated on a per-square-foot basis; reimbursement
will be in a manner consistent with standard SRL Grantee procedures. Based on the foundation
type and required elevation height, a square-foot cost for each potential combination of structure
characteristics will be developed. All structures of the same type within a subapplication will
have costs allocated at the same square-foot rate. Subapplicants will identify the type and
number of structures of each possible combination to be included in the proposed project.
For cost-estimating purposes, the breakdown of structure types will be based on the following
structure and foundation characteristics:
Structure Type:
One-story
Two-story
Structure Area:
800 to 3,200 square feet (one-story)
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135
1,200 to 3,600 square feet (two-story)
Foundation Type:
Open foundation
Closed foundation
Foundation Height:
0 to 5 feet
5 to 10 feet
10 to 15 feet
Over 15 feet
To facilitate the application development process, FEMA will provide square-foot cost estimates
for combinations of the above structure characteristics with respect to the appropriate geographic
region of the Grantee. The square-foot costs will be developed with the understanding that the
costs of eligible construction activities can vary based on the quality and type of construction
materials and finishing work. Mitigation reconstruction costs will be based on materials, service
equipment, and standard-grade construction practices, with basic exterior ornamentation and
interior refinements consistent with an average quality of construction as defined in a
commercially available cost guide. Any costs incurred above and beyond the square-foot costs as
allocated by FEMA will not be the responsibility of FEMA and will not be included in the
determination of the Federal share or non-Federal cost share. Only actual costs incurred for
eligible activities will be reimbursed by the Grantee.
Subapplicants may contact their Applicant to obtain the FEMA-provided square-foot cost
estimates and may use these values without submitting additional documentation. However, an
Applicant may provide a specific cost estimate for each combination of structure characteristics
on a square-foot basis. FEMA will review cost estimates submitted to ensure they are reasonable
and valid for the type of construction and the geographic area. Cost information will be
maintained and updated by FEMA to keep the reference cost range information as current as
possible. Additional dollars-per-square-foot information provided by subapplicants may be used
by FEMA to manage the changing dynamic of construction cost variances.
For Applicants not using the square-foot costs provided by FEMA, documentation of the source
of all cost estimates must be provided. Costs must be provided in dollars-per-square-foot format.
The costs shall be based on the construction of fundamental, code-compliant structures with
essential appurtenances as described. This will allow for a comparative review of projects of
varying types within a region and to ensure that reasonable construction costs have been
submitted.
D.6 Plan Review and Inspections
Construction drawings and specifications shall be reviewed by the local jurisdiction prior to the
start of construction. As defined by Section 103 of the IBC, the required review of the
construction drawings and specifications shall be conducted by the local jurisdiction’s building
official. If the local jurisdiction has not established a building department, the reviews must be
conducted by an independent design professional retained by the jurisdiction to conduct such
reviews. The reviewing design professional shall be licensed in the State. Payment of the
Part IX. Additional Project Guidance: D. Mitigation Reconstruction Projects
136
reviewing design professional is an allowable cost. Construction inspections must be conducted
to verify that the project was constructed in full accordance with the approved design and the
applicable International Codes. Construction inspections shall be conducted by the office of the
building official or under the direct supervision of a design professional licensed in the State of
the project, as applicable.
D.7 Builder Certification
At a minimum, all work must be performed by contractors licensed or registered in the State
where they are working and who maintain appropriate insurance coverage. In addition,
contractors must adhere to more stringent local requirements, where applicable.
D.8 Certificate of Occupancy
Projects funded under this program shall not be occupied, or the occupancy category changed,
without prior issuance of a Certificate of Occupancy by the governing local jurisdiction. In
jurisdictions that have adopted the International Codes, the Certificate of Occupancy shall be
issued only after the building official inspects the structure and finds no violations of the
provisions of applicable codes or other laws enforced by the building department, as well as the
provisions and requirements of this guidance.
In the absence of an adopted building code in a participating jurisdiction, or the absence of a
designated building official, the required inspections shall be conducted by, or under the direct
supervision of, a design professional licensed in the State of the subject project. In communities
that have not currently adopted the International Codes, the State Building Commission shall
determine the education, training, and experience requirements for inspectors responsible for
conducting inspections.
Inspections required prior to the issuance of a Certificate of Occupancy include, but are not
limited to, the following:
Demolition Inspection: Inspections shall be made after all utility connections have been
disconnected and secured in such manner that no unsafe or unsanitary conditions exist on
the site during or after demolition operations;
Foundation Inspection: Inspections shall be made during foundation construction to
verify that the foundations have been installed to the depth and capacity specified in the
construction documents;
Floodplain Inspection: Inspections shall be made for properties located in the SFHA,
upon placement of the lowest floor, and prior to subsequent vertical construction.
Documentation of the elevation of the lowest floor shall be provided by a land surveyor,
engineer, or architect authorized by law to certify elevation information in the State where
the project is located. Handheld Global Positioning System-derived ground elevations are
not acceptable to meet this requirement. In addition, setbacks and distances from water
courses, the regulatory floodway, Zone V, and the mapped limit of the 1.5-foot breaking
wave zone should be checked prior to construction;
Framing Inspection: Inspections shall be made after the roof is in place, including all
framing and bracing, and after the plumbing, mechanical, and electrical rough-ins are
complete. The framing inspections shall be made to verify that framing members are of
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the type, size, and grade indicated on the construction documents and the connections and
fasteners have been installed in accordance with the applicable codes and construction
documents;
Sheathing Inspection: Shall be conducted after all roof and wall sheathing and fasteners
are complete and, at a minimum, shall include inspection of the roof sheathing, wall
sheathing, sheathing fasteners, and roof/wall dry-in; and
Final Inspection: A final inspection should be completed to document compliance with
all requirements of the International Codes, local floodplain ordinances, and any other
State or local regulations.
A comprehensive list of all required inspections, permits, and certifications is included in the
International Codes. Additional information on flood-related inspections can be found in the
International Code Council document, Reducing Flood Losses through the International Codes.
A sample inspection checklist is available at:
http://www.fema.gov/library/viewRecord.do?id=1595.
D.9 Mitigation Reconstruction Closeout
In addition to the typical HMA closeout processes, closeout of mitigation reconstruction projects
generally includes the following:
A Certificate of Occupancy and Final Elevation Certificate for each structure in the project
to certify that the structure is code-compliant. A copy of a recorded deed for each
property, including mitigation reconstruction project deed requirements, shall also be
submitted to the Grantee;
A certification from a building official or licensed design professional verifying that the
structure was designed and constructed to the minimum standard of the 2006 International
Codes must be provided. These documents shall be submitted before closeout can be
completed. If a subgrantee fails to provide these documents, FEMA has the authority to
recoup grant funds provided for the project;
Verification that final square footage is within 10 percent of original structure square
footage at the time of closeout;
Verification of insurance for each structure; and
Update of the property site information in the eGrants database for each structure.
Part IX. Additional Project Guidance: D. Mitigation Reconstruction Projects
138
E. Structure Elevation
This section supplements the information provided in Parts I through VIII. For Structure
Elevation resources, see Part X C.12.
E.1 Overview
Structure elevation activities generally involve physically raising an existing structure to an
elevation at or above the BFE, or higher if required by FEMA or local ordinance. Structure
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. Buildings
proposed for elevation must be structurally sound and capable of being elevated safely.
E.1.1 Eligible Design Standards
At a minimum, FEMA requires Applicants and subapplicants to design all structure elevation
projects in accordance with the NFIP standards outlined in 44 CFR Part 60. For additional
information about the NFIP and structure elevation projects, see Part X C.1.
FEMA encourages Applicants and subapplicants to design all structure elevation projects in
accordance with ASCE/SEI 24-05.
Buildings proposed for structure elevation must be structurally sound and capable of being
elevated safely. In addition, important design considerations for structure elevations consistent
with 44 CFR Part 60 are as follows:
The lowest floor of structures must be elevated to the BFE or to the elevation specified in
the local ordinance, if higher. Upon completion of the elevation work, an Elevation
Certificate (FEMA Form 81-31) verifying “as built” elevations will be completed to
ensure that the structure complies with the local floodplain ordinance, and NFIP
floodplain management and HMA grant requirements.
Elevation projects must be designed and adequately anchored to prevent flotation,
collapse, or lateral movement of the structure due to hydrodynamic and hydrostatic loads,
including the effects of buoyancy. It is recommended that an engineer certify that the
design elevation will withstand the depth and velocity of 100-year flood events
(hydrostatic and hydrodynamic loads), any potential increase in wind load, or any other
relevant load factors.
For elevation projects in Zone V with open foundations (piles, piers, posts, or columns),
the space below the lowest floor must be free of obstructions or constructed with nonsupporting breakaway walls, open wood lattice-work, or screening intended to collapse
under wind and water loads without causing collapse, displacement, or other structural
damage to the elevated portion of the building or supporting foundation system. Guidance
on free-of-obstruction and breakaway wall requirements is available in FEMA TB-5,
Free-of-Obstruction Requirements, 2008, and FEMA TB-9, Design and Construction
Guidance for Breakaway Walls Below Elevated Coastal Buildings, 2008.
Part IX. Additional Project Guidance: E. Structure Elevation Projects
139
For elevation projects on continuous foundation walls with fully enclosed areas below the
lowest floor, the area must be used solely for parking of vehicles, building access, or
storage as identified in 44 CFR Section 60.3(c)(5).
Elevation projects on continuous foundation walls must be designed to automatically
equalize hydrostatic flood forces on exterior walls by allowing for the entry and exit of
floodwaters. Designs to meet these criteria must be certified by a registered Professional
Engineer or meet or exceed criteria found in 44 CFR Section 60.3(c)(5). Guidance on
meeting this requirement can be found in FEMA TB-1, Openings in Foundation Walls
and Walls of Enclosures, 2008.
E.2 Elevation Methods
Standard structure elevation methods are identified in FEMA Publication P-312 Homeowner’s
Guide to Retrofitting – Second Edition, December 2009, and in FEMA 347, Above the Flood:
Elevating Your Flood Prone House, May 2000. In addition, FEMA has developed guidance for
the design of appropriate foundations based on the requirements of the International Codes and
other applicable standards. This guidance is provided in FEMA 550 and is available for use with
HMA structure elevation projects. In addition, FEMA encourages Applicants and subapplicants
to design all structure elevation projects in accordance with ASCE/SEI 24-05.
Available elevation methods, which are thoroughly described in both FEMA Publication P-312
(Chapter 5) and FEMA 347 include:
Elevating the existing structure onto piles, posts, or piers;
Filling in the basement and replacing it with an elevated floor; and
Elevating by vertically extending the foundation walls of the home.
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. This includes
structure elevations that abandon the lower enclosed area and add a new second story above the
BFE to an existing structure. Such activities are only eligible under SRL. For additional
information about mitigation reconstruction projects, see Part IX D.
The actual method selected for elevating a specific house will depend upon a number of factors
such as:
Foundation type;
Condition of the house;
Applicable State and local building codes;
Soil type and bearing capacity;
Weight of the house and lateral forces on the house from water and other natural hazards
such as winds and earthquakes;
Height of proposed elevation above the grade level; and
Number of additions to the original structure.
The most common foundation types include:
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140
Crawl space on foundation walls;
Slab-on-grade;
Open type foundation:
Piles; and
Posts or piers.
Additional details to consider when constructing an elevation project can be found in the
following publications:
FEMA 55, Coastal Construction Manual, May 2000;
FEMA 259, Engineering Principles and Practices of Retrofitting Floodprone Structures,
June 2001;
FEMA 499, Home Builders Guide to Coastal Construction Technical Fact Sheet Series;
and
ASCE/SEI 24-05.
This is not an all-inclusive list of publications on retrofitting and elevations. More documents are
available at: http://www.fema.gov/rebuild/buildingscience/publications.shtm.
E.3 Eligible Structure Elevation Costs
E.3.1 Eligible Costs
Allowable costs are those costs that are necessary and reasonable for the proper and efficient
performance and administration of the Federal award. In addition to the costs identified in Part
IV H.3, Cost Estimate, the following costs associated with structure elevation projects are
generally allowable:
Engineering services for design, structural feasibility analysis, and cost estimate
preparation;
Surveying, soil sampling, completion of elevation certificate, title search, deed recordation
fees, legal and/or permitting fees, project administration, and construction management;
Disconnection of all utilities;
Building of a foundation so that the lowest floor is at the BFE, or higher if required by
local ordinance or FEMA;
Physical elevation of the structure and subsequent lowering and attachment of the
structure onto a new foundation;
A floor system that meets minimum building code requirements when the existing floor
system cannot be elevated or is not appropriate for the new foundation;
Reconnecting of utilities and extending lines and pipes as necessary and elevating all
utilities and service equipment;
Debris disposal and erosion control;
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141
Costs for repair of lawns, landscaping, sidewalks, and driveways if damaged by elevation
activities;
Construction of a utility room above the BFE may be eligible only if there is no existing
space within the house for this purpose, or if there is no alternative cost-effective way to
elevate the utilities;
Elevation of existing decks, porches, or stairs;
Construction of new stairs and railings to access the elevated living space per minimum
code or local ordinance;
In a case where an owner or members of the owner’s family have a permanent physical
handicap, a physician’s written certification is required before handicapped access
facilities can be allowed as an eligible cost. Only one ADA-compliant access is allowable
for funding unless specified otherwise in applicable State or local codes (for more
information on ADA see: http://www.ada.gov/. If ramps are not technically feasible to
build, a mechanical chair lift may be installed;
Documented reasonable living expenses (except food and personal transportation) that are
incurred during the period when the owner is displaced by the elevation construction;
Abatement of asbestos and lead-based paint; and
Filling basements with compacted clean fill.
E.3.2 Ineligible Costs
Certain structure elevation activities and their associated costs are not eligible. In addition to
those activities listed as ineligible in Part III D.2, Ineligible Activities, ineligible costs for
structure elevation also include, but are not limited to, the following:
Elevating structures that were not in compliance with current NFIP standards at the time
of construction;
Costs related to building additions or auxiliary structures;
Construction of new decks or porches;
Any improvements for purely aesthetic reasons unless required by the EHP compliance
review;
Costs to replace or repair utility service components, which are undersized, inadequately
designed, or unsafe;
Exterior finish on the exposed foundation of the elevated building, unless required by EHP
compliance review; and
Additional landscaping for ornamentation beyond what existed on the site prior to
construction of the project (e.g., trees, shrubs).
E.4 Additional Application Requirements
In addition to the items identified in Part IV H.1, Scope of Work, the following data is required
for each structure:
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142
Physical address and property owner’s name;
The estimated cost to elevate each structure;
Name and location of flooding source (i.e., creek, river, watershed, or location of
stormwater ponding) and location on the applicable FIRM;
The proposed elevation of the lowest floor for each structure to be mitigated, the BFE, and
the current elevation of the lowest finished floor;
Type of existing foundation (slab-on-grade, crawl space, basement, or open foundation)
and the proposed elevation method and standard to be used; and
A statement that the project will be designed in compliance with NFIP standards as
outlined in 44 CFR Part 60.
E.5 Survey and Inspection Considerations
Surveying and inspections are encouraged throughout the construction process. Certifications of
the surveys ensure the work has been performed in compliance with the structure-specific plans
and specifications, applicable codes and standards, and minimum NFIP requirements. Figure 1
identifies important inspection and survey considerations.
Part IX. Additional Project Guidance: E. Structure Elevation Projects
143
Figure 1: Inspections and Surveys
E.6 Closeout
In addition to the typical HMA closeout processes, closeout of structure elevation projects
generally includes:
Update of the property site information in the eGrants database for each structure;
A Certificate of Occupancy for each structure in the project to certify that the structure is
code-compliant;
A Final Elevation Certificate (FEMA Form 81-31) for each structure to ensure the
structure has been elevated to the proper elevation;
A copy of the recorded deed amendment for each property as required by Part III D.7.1 of
this guidance;
Part IX. Additional Project Guidance: E. Structure Elevation Projects
144
Certification by an engineer, floodplain manager, or senior local official that the
completed structure elevation is in compliance with local ordinances and NFIP
regulations, including all applicable NFIP Technical Bulletins;
A front, rear, and side photograph of the final elevated structure; and
Verification of flood insurance for each structure.
Part IX. Additional Project Guidance: E. Structure Elevation Projects
145
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
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
EO
Executive Order
EOC
Emergency Operations Center
EPA
U.S. Environmental Protection Agency
ESA
Endangered Species Act
FEMA
Federal Emergency Management Agency
FHWA
Federal Highway Administration
FIRM
Flood Insurance Rate Map
FIS
Flood Insurance Study
FMA
Flood Mitigation Assistance
PART X. Appendix A: Acronyms
146
FY
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
ICC-500
International Code Council Standard for the Design and Construction of Storm
Shelters
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
O&M
Operations and Maintenance
OMB
Office of Management and Budget
OPA
Otherwise Protected Area
PARS
Payment and Reporting System
PDM
Pre-Disaster Mitigation
PNP
Private non-profit
POC
Point of contact
POP
Period of Performance
RFC
Repetitive Flood Claims
PART X. Appendix A: Acronyms
147
SBA
Small Business Administration
SEI
Structural Engineering Institute
SF
Standard Form
SFHA
Special Flood Hazard Area
SHMO
State Hazard Mitigation Officer
SOW
Scope of Work
SRL
Severe Repetitive Loss
TB
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
USFWS
U.S. Fish and Wildlife Service
USGS
U.S. Geological Survey
PART X. Appendix A: Acronyms
148
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 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.
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 certification from the appropriate government agency indicating that
a site that was subject to a remedial, removal, response, or corrective action under Federal or
State law is clean of hazardous materials.
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 developmentrelated 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.
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 share: The portion of the costs of a federally assisted project or program not borne by the
Federal Government.
Cost Effectiveness: Determined by a systematic quantitative method for comparing the costs of
alternative means of achieving the same stream of benefits or 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.
PART X. Appendix B: Glossary
149
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 Planning and Historic Preservation (EHP): 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 laws and Executive orders; and provides environmental
and historic preservation technical assistance to FEMA staff, local, State, and Federal partners,
and Grantees and subgrantees.
Equipment: Tangible, nonexpendable, personal property having a useful life of more than one
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.
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: An additional amount of height above the BFE used as a factor of safety (e.g., 2 feet
above the base flood) in determining the level at which a structure’s lowest floor must be
elevated or floodproofed to be in accordance with State or community floodplain management
regulations.
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.
PART X. Appendix B: Glossary
150
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.
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.
Increased Cost of Compliance (ICC): 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.
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.
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.
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).
PART X. Appendix B: Glossary
151
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-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.
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.
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.
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.
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.
Private non-profit organization (PNP): Any non-governmental agency or entity that currently
has: (i) an effective ruling letter from the IRS 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 private, non-profit 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.
Repetitive Loss Structure: An NFIP-insured structure that has had at least two paid flood losses
of more than $1,000 each in any 10-year period since 1978.
PART X. Appendix B: Glossary
152
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 POC with FEMA, other Federal agencies, and local units of government in the
planning and implementation of pre- and post-disaster mitigation activities.
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.
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.
PART X. Appendix B: Glossary
153
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/plan/prevent/floodplain/index.shtm
Map Service
Center
http://msc.fema.gov
Telephone: (877) FEMA-MAP (336-2627)
FIRMs
http://www.fema.gov/hazard/map/firm.shtm
ABFEs
Mississippi:
http://www.fema.gov/hazard/flood/recoverydata/katrina/katrina_ms_index.shtm
Louisiana: http://www.fema.gov/hazard/flood/recoverydata/katrina/katrina_la_index.shtm
Flood
Insurance
Studies
http://www.fema.gov/hazard/map/fis.shtm
FEMA Form
AW-501
http://www.fema.gov/government/grant/resources/aw501ins.shtm
2. Mitigation Planning and Risk Assessment Resources
Hazard
Mitigation
Planning
Overview
http://www.fema.gov/plan/mitplanning/index.shtm
Mitigation
Planning
Policies
http://www.fema.gov/government/grant/hma/policy.shtm#mitigation
HAZUS
http://www.fema.gov/plan/prevent/hazus/index.shtm
USGS National
Map
http://nationalmap.usgs.gov
USGS Natural
Hazards
Gateway
http://www.usgs.gov/hazards/
3. Geocoding Resource
Geocoding
http://www.fema.gov/library/viewRecord.do?id=1849
4. Benefit-Cost Analysis Resources
BCA Software
and Helpline
Telephone: (866) 222-3580
E-mail: bchelpline@dhs.gov
BCA Overview
http://www.fema.gov/government/grant/bca.shtm
BCA Policies
http://www.fema.gov/government/grant/hma/policy.shtm#cost-effectiveness
5. Feasibility and Effectiveness Resources
Engineering
Helpline
Telephone: (866) 222-3580
E-mail: enghelpline@dhs.gov
PART X. Appendix C: Additional Resources
154
Description
Web Link or Contact Information
Engineering
Case Studies
www.fema.gov/government/grant/hma/grant_resources.shtm
Acquisition
Projects
http://www.fema.gov/library/viewRecord.do?id=1861
Structure
Elevation
Projects
http://www.fema.gov/government/grant/mitmeasures/elevate.shtm
and http://www.fema.gov/library/viewRecord.do?id=1862
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
6. EHP Resources
EHP Program
http://www.fema.gov/plan/ehp/index.shtm
EHP Helpline
Telephone: (866) 222-3580
E-mail: ehhelpline@dhs.gov
EHP Guidance
http://www.fema.gov/plan/ehp/ehp-applicant-help.shtm
EHP eLearning
Tool
http://www.fema.gov/plan/ehp/elearning/index.shtm
EHP Policies
http://www.fema.gov/government/grant/hma/policy.shtm#environmental
EHP Training
http://training.fema.gov/EMIWeb/IS/is253.asp
National
Register of
Historic Places
http://www.nps.gov/history/nr/
7. eGRANTS and NEMIS Resources
Telephone: (888) HLP-FEMA (1-888-457-3362)
FEMA
Enterprise
E-mail: fema-enterprise-service-desk@fema.gov
Service Desk for NEMIS
issues
eGrants
Helpdesk
Telephone: (866) 476-0544
E-mail: mtegrants@dhs.gov
eGrants Web
site
http://www.fema.gov/government/grant/hma/egrants.shtm
eGrants
Applicant Quick
Reference
Guide
http://www.fema.gov/library/viewRecord.do?id=3266
eGrants
Subapplicant
Quick
http://www.fema.gov/library/viewRecord.do?id=3267
PART X. Appendix C: Additional Resources
155
Description
Web Link or Contact Information
Reference
Guide
eGrants
System for
Grant
Applicants
online course
(IS-31)
http://training.fema.gov/EMIWeb/IS/is31.asp
eGrants
System for
Subgrant
Applicants
online course
(IS-30)
http://training.fema.gov/EMIWeb/IS/is30.asp
8. HMA Application and Award Resources
HMA Overview
http://www.fema.gov/government/grant/hma/index.shtm
HMA Helpline
Telephone: (866) 222-3580
E-mail: hmagrantshelpline@dhs.gov
HMA Policies
http://www.fema.gov/government/grant/hma/policy.shtm
9. SRL Resources
SRL Resources
http://www.fema.gov/government/grant/srl/index.shtm
10. Acquisition Project Resources
Model Deed
Restriction
http://www.fema.gov/government/grant/resources/hma_deed_restriction.shtm
Model
Statement of
Assurances
http://www.fema.gov/government/grant/resources/acq_assurances.shtm
Notice of
Voluntary
Interest
http://www.fema.gov/government/grant/resources/vol_notice1.shtm
and http://www.fema.gov/government/grant/resources/vol_notice2.shtm
Statement of
Voluntary
Participation
http://www.fema.gov/government/grant/vol_participation.shtm
11. 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, 2002
International Building Code (IBC), 2006 edition
International Code Council, Reducing Flood Losses Through the International Codes, 3rd Edition, 2008
FEMA 55, Coastal Construction Manual, 3rd Edition, May 2000
FEMA 424, Design Guide for Improving School Safety in Earthquakes, Floods and High Winds, January
2001
FEMA 489, Mitigation Assessment Team Report: Hurricane Ivan in Alabama and Florida, August 2005
FEMA 499, Home Builder’s Guide to Coastal Construction Technical Fact Sheet Series, 2005
FEMA 543, Design Guide for Improving Critical Facility Safety from Flooding and High Winds, January
2007
PART X. Appendix C: Additional Resources
156
Description
Web Link or Contact Information
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, 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
12. Structure Elevation References
ASCE/SEI 24-05, Flood Resistant Design and Construction, January 2006
FEMA 55, Coastal Construction Manual, 3rd Edition, May 2000
FEMA 259, Engineering Principles and Practices of Retrofitting Floodprone Structures, June 2001
FEMA P-312, Homeowners Guide to Retrofitting, December 2009
FEMA 347, Above the Flood: Elevating Your Flood Prone House, May 2000
FEMA 499, Home Builder’s Guide to Coastal Construction Technical Fact Sheet Series, 2005
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, March 2009
PART X. Appendix C: Additional Resources
157
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 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.access.gpo.gov/nara/
cfr/waisidx_05/2cfr215_05.html
2 CFR Part 220, Cost
Principles For
Educational Institutions
(OMB Circular A-21)
Establishes principles for determining costs
applicable to grants, contracts, and other
agreements with educational institutions.
http://ecfr.gpoaccess.gov/cgi/t/te
xt/textidx?c=ecfr&sid=f56e4f30605875
4a2d4208292acfd574&rgn=div5
&view=text&node=2:1.1.2.3.4&id
no=2
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/Title0
2/2cfr225_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 non-profit organizations.
http://ecfr.gpoaccess.gov/cgi/t/te
xt/textidx?c=ecfr&sid=f56e4f30605875
4a2d4208292acfd574&rgn=div5
&view=text&node=2:1.1.2.3.8&id
no=2
26 CFR Section 1.170A14, Qualified
Conservation
Contributions
Discusses deductions allowable for charitable
contributions of interests in properties.
http://edocket.access.gpo.gov/cfr
_2008/aprqtr/26cfr1.170A-14.htm
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://ecfr.gpoaccess.gov/cgi/t/te
xt/textidx?c=ecfr&tpl=/ecfrbrowse/Title4
0/40cfr312_main_02.tpl
44 CFR Part 9,
Floodplain Management
and Protection of
Wetlands
Sets forth policy, procedure, and
responsibilities to implement and enforce EO
11988, Floodplain Management, and EO
11990, Protection of Wetlands.
http://www.access.gpo.gov/nara/
cfr/waisidx_08/44cfr9_08.html
44 CFR Part 10,
Environmental
Considerations
FEMA procedures for implementing 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.access.gpo.gov/nara/
cfr/waisidx_08/44cfr10_08.html
REGULATIONS
Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance
158
Reference
Description
Web Link
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.access.gpo.gov/nara/
cfr/waisidx_08/44cfr13_08.html
44 CFR Section 59.1,
General Provisions,
Definitions
Defines terms used in the Emergency
Management and Assistance Federal
Regulations
http://www.access.gpo.gov/nara/
cfr/waisidx_08/44cfr59_08.html
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; sets forth the minimum
standards for the adoption of floodplain
management regulations in floodprone areas.
http://www.access.gpo.gov/nara/
cfr/waisidx_08/44cfr60_08.html
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.access.gpo.gov/nara/
cfr/waisidx_08/44cfr60_08.html
44 CFR Part 79, Flood
Mitigation Grants
Prescribes actions, procedures, and
requirements for the administration the FMA
and SRL grant programs.
http://www.access.gpo.gov/nara/
cfr/waisidx_08/44cfr79_08.html
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
HMA programs.
http://www.access.gpo.gov/nara/
cfr/waisidx_08/44cfr80_08.html
44 CFR Part 201,
Mitigation Planning
Provides information on requirements and
procedures for mitigation planning as
required by the Stafford Act.
http://ecfr.gpoaccess.gov/cgi/t/te
xt/textidx?c=ecfr&tpl=/ecfrbrowse/Title4
4/44cfr201_main_02.tpl
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 93288 (the Stafford Act) that are delegated to
the director of FEMA, including the
administration of HMGP.
http://www.access.gpo.gov/nara/
cfr/waisidx_08/44cfr206_08.html
Implements section 324, Management Costs,
of the Stafford Act, providing actions,
procedures, and policies for HMGP
management costs.
http://ecfr.gpoaccess.gov/cgi/t/te
xt/textidx?type=simple;c=ecfr;cc=ecfr;si
d=4f3837c537ba963fe6f67c9fb9
a37517;idno=44;region=DIV1;q1
=207;rgn=div5;view=text;node=4
4%3A1.0.1.4.58
44 CFR Part 207,
Management Costs
Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance
159
Reference
Description
Web Link
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;sid
=4c3367f93b8162bf6daaf0a88fe
20a0e;cc=ecfr
49 CFR Part 29,
Governmentwide
Debarment and
Suspension
(Nonprocurement)
This part adopts a governmentwide system of
debarment and suspension for
nonprocurement activities.
http://www.dot.gov/ost/m60/grant
/49cfr29.htm
Federal Acquisition
Regulations (FAR)
Subpart 31.2
Internal Revenue Code
of 1954, as amended,
Sections 170(h) (3) and
(4)
The FAR codifies and publishes uniform
policies and procedures for acquisition by all
executive agencies. Subpart 31.2 refers to
Contracts with Commercial Organizations.
Provides definitions for qualified conservation
organizations and conservation purpose,
including specific information regarding
historic structure certification.
http://www.acquisition.gov/far/
http://www.irs.gov/taxpros/article/
0,,id=98137,00.html
Internal Revenue Code
of 1954, as amended,
Sections 501(c), (d), and
(e)
Provides criteria for tax-exempt
organizations.
http://www.irs.gov/taxpros/article/
0,,id=98137,00.html
NFIP Technical Bulletin
3-93, Non-Residential
Floodproofing –
Requirements and
Certification
Provides guidance on the NFIP regulations
concerning watertight construction and the
required certification for floodproofed nonresidential buildings in Zones A, AE, A1–A30,
AR, AO, and AH whose lowest floors are
below the BFE.
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/?vgnextoid
=f3829c7755cb9010VgnVCM100
00045f3d6a1RCRD&vgnextchan
nel=f3829c7755cb9010VgnVCM
10000045f3d6a1RCRD
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.
STATUTES
http://www.arc.gov/about/USCod
eTitle40SubtitleIV.asp#14321
Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance
160
Reference
Description
Web Link
Bunning-BereuterBlumenauer Flood
Insurance Reform Act of
2004 (Public Law 108264), 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://frwebgate.access.gpo.gov/
cgibin/getdoc.cgi?dbname=108_con
g_public_laws&docid=f:publ264.
108.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.usdoj.gov/crt/cor/coor
d/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/downloa
d/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://agriculture.senate.gov/Legi
slation/Compilations/cropins/fcia.
pdf
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 SFHA.
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/plan/preven
t/fhm/dl_nfira.shtm
Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance
161
Reference
Description
Web Link
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/nhpa.html
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 (NAP), 7
U.S.C. 7333
Provides financial assistance to producers of
non-insurable crops when low yields, loss of
inventory, or prevented planting occur due to
natural disasters.
http://uscode.house.gov/uscodecgi/fastweb.exe?getdoc+uscview
+t05t08+4604+1++%28%29%20
%20AND%20%28USC%20w%2
F10%20%287333%29%29%3AC
ITE%20%20%20%20%20%20%
20%20%20
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,
Pre-Disaster Hazard
Mitigation
Authorizes the PDM program.
http://www.law.cornell.edu/uscod
e/uscode42/usc_sec_42_000051
33----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_000051
54----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/co
mp2/F096-422.html
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/bi
lls.text/106/h/h2389.pdf
Uniform Relocation
Assistance and Real
Property Acquisition Act
of 1970 (Public Law 91646)
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/downloa
d/pls/42C61.txt
Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance
162
Reference
Description
Web Link
Executive Order 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
Executive Order 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/plan/preven
t/floodplain/eo_11990.shtm
Executive Order 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/plan/ehp/eh
plaws/ejeo.shtm
Executive Order 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
Executive Order 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
Executive Order 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
FEMA 85, Protecting
Manufactured Homes
from Floods and Other
Hazards (2nd Edition,
November 2009)
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
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/government
/grant/resources/acqhandbook.s
htm
DIRECTIVES
GUIDANCE
Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance
163
Reference
Description
Web Link
FEMA 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 and
provides various shelter designs that can be
given to a contractor/builder.
http://www.fema.gov/plan/preven
t/saferoom/fema320.shtm
FEMA 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
community shelters that protect people
during tornado and hurricane events.
http://www.fema.gov/plan/preven
t/saferoom/fema361.shtm
FEMA 424, Design
Guide for Improving
School Safety in
Earthquakes, Floods and
High Winds (January
2004)
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 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/plan/preven
t/rms/rmsp424.shtm
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/rebuild/mat/
mat_fema489.shtm
FEMA 499, Home
Builder’s Guide to
Coastal Construction
Technical Fact Sheet
Series (2005)
Presents information aimed at improving the
performance of buildings subject to flood and
wind forces in coastal environments.
http://www.fema.gov/rebuild/mat/
mat_fema499.shtm
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
decisionmakers 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 highwind 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
Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance
164
Reference
Description
Web Link
FEMA 55, Coastal
Construction Manual,
(3rd Edition, May 2000)
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
FEMA 550,
Recommended
Residential Construction
for Coastal Areas:
Building on Strong and
Safe Foundations
(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&fromSearch
=fromsearch
Mitigation Planning HowTo Guides (FEMA)
The guides focus on initiating and
maintaining a planning process that will result
in safer communities, and they are applicable
to jurisdictions of all sizes and all resource
and capability levels.
http://www.fema.gov/plan/mitplan
ning/resources.shtm
Uniform Standards of
Professional Appraisal
Practice (2010)
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/2010USPA
P/toc.htm
Guides FEMA interactions with American
Indian and Alaska Native Tribal governments.
http://frwebgate.access.gpo.gov/
cgibin/getdoc.cgi?dbname=1999_re
gister&docid=99-642-filed
OTHER RESOURCES
Government-toGovernment Relations
with American Indian
and Alaska Native Tribal
Governments. January
12, 1999 (FR vol. 64 no.
7)
Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance
165
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)
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/omb/
circulars/a133/a133.html
ASCE/SEI 24-05, Flood
Resistant Design and
Construction (2006)
Provides minimum requirements for floodresistant design and construction of
structures located in flood hazard areas.
http://www.asce.org/bookstore/b
ook.cfm?book=5661
ASCE/SEI 7-05,
Minimum Design Loads
for Buildings and Other
Structures (2006)
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.
http://www.asce.org/bookstore/b
ook.cfm?book=5583
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/E
1527.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/E
2247.htm
International Building
Code (IBC, 2006, and
2009)
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 lifesafety 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://www.iccsafe.org/Pages/def
ault.aspx
Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance
166
Reference
Description
Web Link
International Code
Council, International
Wildland-Urban Interface
Code
Contains provisions addressing fire spread,
accessibility, defensible space, water supply,
and more for buildings constructed near
wildland areas.
http://www.iccsafe.org/Pages/def
ault.aspx
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 oneand two-family residences.
http://www.iccsafe.org/Pages/def
ault.aspx
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 multi-section units.
http://www.nfpa.org/catalog/
National Fire Protection
Association (NFPA) 703,
Standard for FireRetardant 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 fire-retardant coatings for building
materials.
http://www.nfpa.org/catalog/
National Fire Protection
Association (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/
National Fire Protection
Association (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/
National Fire Protection
Association (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/catalog/
Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance
167
Reference
Description
Web Link
National Fire Protection
Association (NFPA)
5000 Code, Building
Construction and Safety
Code (2006 Edition)
Combines regulations controlling design,
construction, quality of materials, use and
occupancy, location, and maintenance of
buildings and structures, with fire and lifesafety requirements found in NFPA codes
and standards.
http://www.nfpa.org/catalog/
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
decisionmakers, researchers, and the
American public to follow and understand the
performance of the Nation’s economy.
http://www.bea.gov
U.S. Bureau of Labor
and Statistics
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.
http://stats.bls.gov
Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance
168
| File Type | application/pdf |
| File Title | Microsoft Word - draft FY11 HMA Unified Guidance v5 27_final Clean.docx |
| Author | nvincen1 |
| File Modified | 2010-07-23 |
| File Created | 2010-05-28 |