Agenda packet — Gardena City Council, September 12, 2023 (part 2 of 4)

City of Gardena Hazard Mitigation Plan 3-94

Table 3.25 Los Estimates/ Vulnerability Assessment – Earthquake through Hazardous Materials Release City of Gardena
Vulnerability Assessment Calculations
Earthquake Urban Fire Flood HazMat Release
Type Name Address TOTAL %
Damage
Loss
Estimate
%
Damage
Loss
Estimate
%
Damage
Loss
Estimate
%
Damage
Loss
Estimate
Police Station Gardena Police Department 1718 West 162nd St Gardena, CA 90247 $4,763,500.00 50% $2,381,750.00 10% $476,350.00 1% $47,635.00 2% $95,270.00 Fire Station Fire Station #158-
Headquarters
1650 W 162nd St.

Gardena, CA 90249 $2,110,600.00 30% $633,180.00 1% $21,106.00 1% $21,106.00 2% $42,212.00 Fire Station Fire Station #159 2030 W 135th St
Gardena, CA 90249 $5,110,600.00 30% $1,533,180.00 1% $51,106.00 1% $51,106.00 2% $102,212.00 Library Gardena Mayme Dear
Library
1731 W. Gardena Blvd
Gardena, CA 90247 $311,820.00 30% $93,546.00 25% $77,955.00 1% $3,118.20 2% $6,236.40 Public Buildings City Hall 1700 West 162nd St
Gardena, CA 90247 $1,444,800.00 30% $433,440.00 1% $14,448.00 1% $14,448.00 2% $28,896.00 Public Buildings Public Works Department 1717 West 162nd St Gardena, CA 90247 $1,444,800.00 10% $144,480.00 20% $288,960.00 1% $14,448.00 2% $28,896.00 Public Buildings Human Services Division 1651 West 162nd St Gardena, CA 90247 $1,083,600.00 50% $541,800.00 1% $10,836.00 1% $10,836.00 2% $21,672.00 Public Buildings Nakaoka Community Center 1670 West 162nd St Gardena, CA 90247 $1,444,800.00 25% $361,200.00 1% $14,448.00 1% $14,448.00 2% $28,896.00 Public Buildings Transportation Department 13999 South Western Ave Gardena, CA 90249 $5,647,000.00 10% $564,700.00 20% $1,129,400.00 1% $56,470.00 2% $112,940.00 Public Buildings Parking Structure 1045 Redondo Beach Blvd Gardena, CA 90249 $730,380.00 40% $292,152.00 1% $7,303.80 1% $7,303.80 2% $14,607.60 Public Buildings Bell Park 14708 South Halldale Ave
Gardena, CA 90247 $180,600.00 10% $18,060.00 1% $1,806.00 1% $1,806.00 2% $3,612.00 Public Buildings Freeman Park 2100 West 154th Pl
Gardena, CA 90249 $180,600.00 10% $18,060.00 1% $1,806.00 1% $1,806.00 2% $3,612.00 Public Buildings Mas Fukai Park 15800 South Brighton Ave Gardena, CA 90247 $180,600.00 10% $18,060.00 1% $1,806.00 1% $1,806.00 2% $3,612.00 Public Buildings Thornburg Park 2320 West 149th St
Gardena, CA 90249 $180,600.00 10% $18,060.00 1% $1,806.00 1% $1,806.00 2% $3,612.00 Public Buildings* TBD - Community Center 2501 W Rosecrans Ave Gardena, CA 90249 $6,822,000.00 30% $2,046,600.00 1% $68,220.00 1% $68,220.00 2% $136,440.00 Public Buildings Rowley Park & Gymnasium 13220 South Van Ness Ave Gardena, CA 90249 $794,640.00 10% $79,464.00 1% $7,946.40 1% $7,946.40 2% $15,892.80 Public Buildings Arthur Lee Johnson
Memorial Park
1200 West 170th St
Gardena, CA 90247 $361,200.00 10% $36,120.00 1% $3,612.00 1% $3,612.00 2% $7,224.00 Public Buildings Army National Guard
Property
Adjacent to Old Transit
Station $903,000.00 30% $270,900.00 20% $180,600.00 1% $9,030.00 2% $18,060.00

City of Gardena Hazard Mitigation Plan 3-95

City of Gardena
Vulnerability Assessment Calculations
Earthquake Urban Fire Flood HazMat Release
Type Name Address TOTAL %
Damage
Loss
Estimate
%
Damage
Loss
Estimate
%
Damage
Loss
Estimate
%
Damage
Loss
Estimate
Wastewater Sewer Lift Station 178th St and Western Ave $300,000.00 10% $30,000.00 1% $3,000.00 1% $3,000.00 2% $6,000.00 Fire Service $781,730.00 10% $78,173.00 100% $781,730.00 0% $0.00 100% $781,730.00 Police Service $332,270.00 10% $33,227.00 100% $332,270.00 0% $0.00 100% $332,270.00 Water Service $8,421,726.00 15% $1,263,258.90 5% $421,086.30 0% $0.00 15% $1,263,258.90 Electricity $11,473,076.00 80% $9,178,460.80 0% $0.00 0% $0.00 0% $0.00 Wastewater $2,044,404.50 20% $408,880.90 0% $0.00 0% $0.00 0% $0.00

Earthquake $20,476,752.60 Urban Fire $3,897,601.50 Flood $339,951.40 HazMat Release $3,057,161.70

City of Gardena Hazard Mitigation Plan 3-96

Table 3.26 Loss Estimates / Vulnerability Assessment – Drought through Disease Outbreak City of Gardena
Vulnerability Assessment Calculations
Drought Pipeline Failure Windstorm Adversarial Events Disease Outbreak Type Name Address TOTAL %
Damage
Loss
Estimate
%
Damage
Loss
Estimate
%
Damage
Loss
Estimate
%
Damage
Loss
Estimate
%
Damage
Loss
Estimate
Police Station Gardena Police
Department
1718 West
162nd St
Gardena, CA
90247
$4,763,500.00 0% $0.00 0% $0.00 1% $47,635.00 3% $71,452.50 0% $0.00 Fire Station
Fire Station
#158-
Headquarters
1650 W
162nd St.

Gardena, CA
90249
$2,110,600.00 0% $0.00 0% $0.00 1% $21,106.00 3% $18,995.40 0% $0.00 Fire Station Fire Station #159
2030 W
135th St
Gardena, CA
90249
$5,110,600.00 0% $0.00 0% $0.00 1% $51,106.00 3% $45,995.40 0% $0.00 Library Gardena Mayme
Dear Library
1731 W.

Gardena
Blvd
Gardena, CA
90247
$311,820.00 0% $0.00 0% $0.00 1% $3,118.20 3% $2,806.38 0% $0.00 Public Buildings City Hall
1700 West
162nd St
Gardena, CA
90247
$1,444,800.00 0% $0.00 0% $0.00 1% $14,448.00 3% $13,003.20 0% $0.00 Public Buildings Public Works
Department
1717 West
162nd St
Gardena, CA
90247
$1,444,800.00 0% $0.00 0% $0.00 1% $14,448.00 3% $4,334.40 0% $0.00 Public Buildings Human Services
Division
1651 West
162nd St
Gardena, CA
90247
$1,083,600.00 0% $0.00 0% $0.00 1% $10,836.00 3% $16,254.00 0% $0.00 Public Buildings
Nakaoka
Community
Center
1670 West
162nd St
Gardena, CA
90247
$1,444,800.00 0% $0.00 0% $0.00 1% $14,448.00 3% $10,836.00 0% $0.00 Public Buildings Transportation
Department
13999 South
Western Ave
Gardena, CA
90249
$5,647,000.00 0% $0.00 0% $0.00 1% $56,470.00 3% $16,941.00 0% $0.00 Public Buildings Parking Structure
1045
Redondo
Beach Blvd
$730,380.00 0% $0.00 0% $0.00 1% $7,303.80 3% $8,764.56 0% $0.00

City of Gardena Hazard Mitigation Plan 3-97

City of Gardena
Vulnerability Assessment Calculations
Drought Pipeline Failure Windstorm Adversarial Events Disease Outbreak Type Name Address TOTAL %
Damage
Loss
Estimate
%
Damage
Loss
Estimate
%
Damage
Loss
Estimate
%
Damage
Loss
Estimate
%
Damage
Loss
Estimate
Public Buildings Bell Park
14708 South
Halldale Ave
Gardena, CA
90247
$180,600.00 0% $0.00 0% $0.00 1% $1,806.00 3% $541.80 0% $0.00 Public Buildings Freeman Park
2100 West
154th Pl
Gardena, CA
90249
$180,600.00 0% $0.00 0% $0.00 1% $1,806.00 3% $541.80 0% $0.00 Public Buildings Mas Fukai Park
15800 South
Brighton Ave
Gardena, CA
90247
$180,600.00 0% $0.00 0% $0.00 1% $1,806.00 3% $541.80 0% $0.00 Public Buildings Thornburg Park
2320 West
149th St
Gardena, CA
90249
$180,600.00 0% $0.00 0% $0.00 1% $1,806.00 3% $541.80 0% $0.00 Public Buildings*
TBD -
Community
Center
2501 W
Rosecrans
Ave
Gardena, CA
90249
$6,822,000.00 0% $0.00 35% $2,387,700.00 1% $68,220.00 3% $61,398.00 0% $0.00 Public Buildings Rowley Park &
Gymnasium
13220 South
Van Ness
Ave
Gardena, CA
90249
$794,640.00 0% $0.00 0% $0.00 1% $7,946.40 3% $2,383.92 0% $0.00 Public Buildings
Arthur Lee
Johnson
Memorial Park
1200 West
170th St
Gardena, CA
90247
$361,200.00 0% $0.00 0% $0.00 1% $3,612.00 3% $1,083.60 0% $0.00 Public Buildings Army National
Guard Property
Adjacent to
Old Transit
Station
$903,000.00 0% $0.00 0% $0.00 1% $9,030.00 3% $8,127.00 0% $0.00 Wastewater Sewer Lift Station 178th St and
Western Ave $300,000.00 0% $0.00 0% $0.00 1% $3,000.00 3% $900.00 0% $0.00 Fire Service $781,730.00 0% $0.00 100% $781,730.00 5% $39,086.50 100% $78,173.00 5% $39,086.50 Police Service $332,270.00 0% $0.00 100% $332,270.00 10% $33,227.00 100% $33,227.00 5% $16,613.50 Water Service $8,421,726.00 100% $8,421,726.00 0% $0.00 0% $0.00 0% $0.00 5% $21,054.32

City of Gardena Hazard Mitigation Plan 3-98

Drought $8,421,726.00 Pipeline
Failure $3,501,700.00 Windstorm $1,559,572.50 Adversarial Events $396,842.56 Disease
Outbreak $76,754.32

City of Gardena Hazard Mitigation Plan 3-99

Table 3.27 summarizes the loss estimates for each hazard.

Table 3.27: Loss Estimates Summary
Hazard Estimated Losses
Earthquake $20,477,000
Drought $8,422,000
Urban Fire $3,898,000
Pipeline Failure $3,502,000
HazMat Release $3,057,000
Windstorm $1,560,000
Adversarial Events $397,000
Flood $340,000
Disease Outbreak $77,000
*Values are rounded to the nearest thousand

City of Gardena Hazard Mitigation Plan 4-i

MITIGATION STRATEGIES

Table of Contents

4.1 Mitigation Goals and Objectives ................................ ................................ .... 4-1

4.2 Identification of Mitigation Recommendations ................................ ............. 4-2

4.3 National Flood Insurance Program Compliance ................................ ........... 4-7

4.4 Prioritization of Mitigation Recommendations ................................ ............. 4-8

4.5 Implementation Strategy ................................ ................................ .............. 4-14

List of Tables
Table 4.2: Mitigation Action Identification ................................ ................................ ..... 4-4 Table 4.4: NFIP Participation ................................ ................................ ........................ 4-7 Table 4.5: Mitigation Action Prioritization: Benefit-Cost Review ................................ .... 4-9 Table 4.6: Ongoing Mitigation Strategies ................................ ................................ .... 4-15

List of Figures
Figure 4.1: Mitigation Process ................................ ................................ ...................... 4-1

City of Gardena Hazard Mitigation Plan 4-1

4.1 Mitigation Goals and Objectives
To structure goals and objectives that produce
appropriate mitigation actions, the hazard
profiles and loss estimates were thoroughly
reviewed to identify patterns in the location of
potential hazard events and the vulnerability of
the infrastructure identified within those
locations. This information was used to develop
clear goals to mitigate the effects of hazard
events.

The mitigation goals provide guidelines for
developing mitigation projects to provide
prioritized hazard reduction. The goals are
based on the goals from the 20 13 Multi -
Jurisdictional Hazard Mitigation Plan, the
findings of the Risk Assessment, and input from
the Steering Committee and characterize long-
term hazard reduction targets as well as the enhancement of current mitigation capabilities.
§201.6(c)(3)(i): [The hazard mitigation strategy shall include a] description of mitigation goals to reduce or avoid long-term vulnerabilities to the identified hazards.

Table 4.1 includes the Plan goals and corresponding mitigation objectives. These strategies were developed and reviewed by the Steering Committee using knowledge of the local area (including high -hazard areas and sensitive populations), review of past efforts, findings of the Risk Assessment, and identification of mitigation projects.

STEP 1: DEVELOP MITIGATION

GOALS & OBJECTIVES
STEP 2: IDENTIFY & PRIORITIZE

MITIGATION ACTIONS

DEVELOP COMPLETE HAZARD

MITIGATION PLAN
STEP 4: DOCUMENT THE

MITIGATION PLANNING PROCESS
STEP 3: PREPARE AN

IMPLEMENTATION STRATEGY

City of Gardena Hazard Mitigation Plan 4-1

Table 4.1: Overall Plan Goals and Objectives

1. Protect Life, Property, and Commerce
• Objective 1.1: Implement mitigation activities that will assist in protecting lives and property by making homes, businesses, infrastructure, and critical facilities more resistant to hazards.
• Objective 1.2: Improve understanding of the locations, potential impacts, and linkages between hazards, vulnerability, and measures needed to protect life safety and health.
• Objective 1.3: Better serve sensitive populations, such as the elderly and disabled and those persons with a limited ability to speak or understand the English language.

2. Minimize damage to structures and property, as well as disruption of essential services and human activities.
• Objective 2.1: Encourage new development to occur in locations avoiding or minimizing exposure to hazards or enhance design requirements to improve resiliency in future disasters.
• Objective 2.2: Research, develop, and promote adoption of cost -effective building and development laws, regulations, and ordinances exceeding the minimum levels needed for life safety.
• Objective 2.3: Protect records to minimize post-disaster disruption to City operations and facilitate short-term and long-term recovery.

3. Protect The Environment
• Objective 3.1: Encourage hazard mitigation measures that result in the least adverse impact on the environment and that use natural processes. • Objective 3.2: Encourage protection of natural and cultural resources through mitigation initiatives

City of Gardena Hazard Mitigation Plan 4-1

4. Increase public awareness and participation.
• Objective 4.1: Expand and implement additional education and outreach programs to increase public awareness of the risks associated with hazards and to educate the public on specific individual preparedness activities. • Objective 4.2: Participate in state-wide hazard awareness campaigns. • Objective 4.3: Increase community awareness and involvement to promote participation and voluntary compliance with mitigation initiatives ( i.e., Dig Alert, Homeowners Associations).
• Objective 4.4: Promote participation in Community Emergency Response Teams (CERT).
• Objective 4.5: Establish and maintain partnerships between all levels of local government, the private sector, the business community, community groups, and institutions of higher learning that improve and implement methods to protect life and property.

5. Improve emergency services and management capability. • Objective 5.1: Improve coordination of jurisdictional responsibilities for various hazards through County and Community Disaster/Emergency Response Plans and Exercises.
• Objective 5.2: Identify the need for, and acquire, any special emergency services and equipment to enhance response capabilities for specific hazards. • Objective 5.3: Improve warning systems to adequately warn the public in high- risk areas.

It should be noted the overall priorities for mitigation planning did not change much during the Plan update. However, the current Plan goals were revised to be clearer and more direct. Figure 4.1 provided an overview of the mitigation process.

City of Gardena Hazard Mitigation Plan 4-1

Figure 4.1: Mitigation Process

As illustrated in the figure, the hazard mitigation process involves building off of previous steps in order to mitigate each identified hazard.

Identify Hazards
Hazard Specific
Objectives
Hazard Specific
Mitigation
Actions
Plan Goals

City of Gardena Hazard Mitigation Plan 4-2

4.2 Identification of Mitigation Recommendations

§201.6(c)(3)(ii): [The mitigation strategy shall include a] section that identifies and analyzes a comprehensive range of specific mitigation actions and projects being considered to reduce the effects of each hazard, with particular emphasis on new and existing buildings and infrastructure.

Mitigation actions are administrative and /or engineering project recommendations to reduce the City of Gardena’s (City’s) vulnerability to the identified hazards. Vital City employees are required in the development of actions and projects that are designed to mitigate these hazards and solve problems cost-effectively, as well as ensure consistency with the City’s long-term mitigation goals and capital improvements. During the fourth Steering Committee meeting, a team-based approach was used to brainstorm mitigation projects based on the identified hazards and associated loss estimates . In addition, FEMA’s Local Mitigation Planning Handbook and the California Adaptation Planning Guide were used to identify actions to mitigate the effects of climate change.

The evaluation and prioritization of the mitigation actions were used as aids to produce a list of recommended mitigation actions to incorporate into the mitigation plan. Each of the mitigation recommendations listed in Table 4.3 fell into one o r mo re of the following categories:
• Prevention – planning and zoning, building codes, capital improvement projects, open space preservation, and storm water management
• Property Protection – acquisition, elevation, relocation, structural retrofits, storm shutters, and shatter-resistant glass
• Personnel Education and Awareness – outreach projects, real estate disclosure, hazard information centers, and education programs
• Natural Resource Protection – sediment and erosion control, stream corridor restoration, w atershed management, forest and vegetation management, and wetland restoration and preservation
• Emergency Services – warning systems, emergency response services, and protection of critical facilities
• Structural Projects – dams, levees, floodwalls, seawalls, retaining walls, and safe rooms

City of Gardena Hazard Mitigation Plan 4-3

Table 4.2 provides an overview of the mitigation actions and other relevant information, in no specific order. Following the identification of mitigation actions, a Cost-Benefit Review was conducted in order to determine a prioritization of the items. Section 4.4 contains more information on the Cost-Benefit Review and the prioritization of the projects.

City of Gardena Hazard Mitigation Plan 4-4

Table 4.2: Mitigation Action Identification
Mitigation Activity Hazards
Mitigated
Mitigation
Action Category
Corresponding
Goals &
Objectives
Responsible
Department Resources Estimated
Project Cost1 Timeframe
Protects
New
Buildings
Protects
Existing
Buildings
2022.LHMP.01: Consider purchasing mobile generators to generate backup power in the event of an emergency. All Emergency Services Goals 5, 7 Public Works General Fund $80,000 Medium N Y 2022.LHMP.02: Consider posting the hazard mitigation plan on the City website to provide awareness for natural hazards. All Public Education & Awareness Goals 1, 4 Public Works General Fund Staff Time Medium Y Y 2022.LHMP.03: Consider developing and distributing public education materials for natural hazards in English and Spanish to help provide education to underserved populations. .

All Public Education
& Awareness Goals 1, 4 Public Works General Fund
Staff time
$15,000/campa
ign
Medium Y Y
2022.LHMP.04: Consider outfitting the Nakaoka Center for use as an alternate EOC location. Include considerations for sensitive populations to promote equitable emergency services.

Multi-Hazard Emergency
Services Goals 5, 7 Police
Department
Staff Time
General Fund
for equipment
Staff Time Long N Y
2022.LHMP.05: Continue to ensure that new buildings comply with CBC seismic requirements. Implement structural improvement projects as necessary.

Earthquake Prevention Goal 2 Community
Development
Plan Check
Application
Process
(General Fund)
Staff Time Ongoing Y N
2022.LHMP.06: Consider reviewing existing City facilities for potential seismic vulnerabilities and implement mitigation projects accordingly. Earthquake Property Protection Goal 2
Community
Development
/Public Works
General
Funding
Grant Funding
Staff Time/
Project costs
are variable
depending on
the results of
the review
Medium N Y
2022.LHMP.07: Provide updated information to the public on the impacts of a release from the Torrance Refinery including first response actions and community resources for relief.

Hazardous
Material
Release
Personnel
Education and
Awareness
Goals 4, 5
Police, Fire,
and Public
Works
Staff Time
General
Funding
Staff Time/
$15,000 for
materials
Medium N Y
2022.LHMP.08: Continue to coordinate with pipeline owners throughout the City including So Cal Gas, Chevron, Golden State Water, So Cal Edison, ATT, and MCI to minimize potential damage to facilities during construction activities.

Pipeline
Failure
Property
Protection Goals 1, 2, 7 Public Works
Inspector
General Fund
Permit Fees
Staff Time Short Y Y
2022.LHMP.09: Expand the ongoing implementation of tree trimming throughout the City. Windstorm
Prevention,
Personnel
Education and
Awareness
Goals 1, 2 Public Works Staff Time
General Fund
$30k annually
for contract
assistance
Short N Y
2022.LHMP.10: Consider emergency backup power for critical City facilities. (Battery back-up system) Windstorm Emergency Services Goals 5, 7 Public Works General Fund
Grant Fund $200,000/unit Medium N Y

City of Gardena Hazard Mitigation Plan 4-5

Mitigation Activity Hazards
Mitigated
Mitigation
Action Category
Corresponding
Goals &
Objectives
Responsible
Department Resources Estimated
Project Cost1 Timeframe
Protects
New
Buildings
Protects
Existing
Buildings
2022.LHMP.11: Expand community outreach with regard to
protective measures and resources to deal with disease outbreak situations. Provide the information in Spanish and English to ensure all members of the community have access to information.

Disease
Outbreak
Public Education
and Awareness,
Prevention
Goal 4 Human
Services Staff Time Staff Time Medium N N
2022.LHMP.12: Work with Golden State Water to improve water lines/infrastructure throughout the City to increase flow rates and water pressures to support fire suppression capabilities Urban Fire Emergency
Services Goal 2 Public Works
Rate Payer
Funded
through
Golden State
Water
Staff Time Ongoing Y Y
2022.LHMP.13: Expand active-shooter classes to be made available for the community. Training should be provided in English and Spanish to help assist underserved populations.

Adversarial
Events
Public Education
and Awareness,
Prevention
Goals 4, 5 Police
Department Staff Time Staff Time Short N N
2022.LHMP.14: Update site-plan review policy to include language to consider the structure defensibility.

Adversarial
Events
Prevention
Property
Protection
Goals 2, 5
Community
Development/
Fire
Department/
Police
Department
Staff Time Staff Time Short Y Y
2022.LHMP.15: Ensure flood mitigation remains a priority. Flood Prevention Goal 1 Public Works Staff Time Staff Time Short Y Y 2022.LHMP.16: Determine ways to utilize reclaimed water for landscaping throughout the City and implement capital projects. Drought Prevention
Natural Resource
Protection
Goal 3 Public Works
West Basin
General Fund
for new
Irrigation
Staff Time
$100K
$3million (West
Basin)
Medium N N
2022.LHMP.17: Assist Golden State water to implement State- mandated water restrictions throughout the City. Drought Prevention
Natural Resource
Protection
Goal 3
Community
Development
(Code
Enforcement)/
Public Works
Staff Time Staff Time Short N Y
2022.LHMP.18: Supplement Golden State Water outreach by providing additional information to the community on water-wise landscaping
Drought
Public Education
and Awareness
Natural Resource
Protection
Goal 3, 4 Public Works Staff Time Staff Time Medium Y Y 2022.LHMP.19: Continue to coordinate with agencies to implement water use restrictions and projects during periods of drought and water emergencies.

Drought Prevention Goals 2, 7 Public Works
Staff time,
grant funds,
and rebate
programs
Varies Ongoing N Y
Note: Values provided by Steering Committee as estimates only Note: Timeframe definitions are as follows.
a) Short: Task to be completed within 1-2 years
b) Medium Task to be completed within 3-5 years
c) Long: Task to be completed after the 5-year planning period

City of Gardena Hazard Mitigation Plan 4-6

City of Gardena Hazard Mitigation Plan 4-7

4.3 National Flood Insurance Program Compliance

§201.6(c)(3)(ii): [The mitigation strategy] must also address the jurisdiction’s participation in the National Flood Insurance Program (NFIP), and continued compliance with NFIP requirements, as appropriate.

The National Flood Insurance Program (NFIP) is a Federal program enabling property owners in participating communities to purchase insurance as a protection against flood losses in exchange for State and community floodplain management regulations that reduce future flood damages. Participation in the NFIP is based on an agreement between communities and the Fe deral Government. If a community adopts and enforces a floodplain management ordinance to reduce future flood risk to new construction in floodplains, the Federal Government will make flood insurance available within the community as a financial protection against flood losses. This insurance is designed to provide an alternative to disaster assistance and reduce the escalating costs of repairing damage to buildings and their contents caused by floods. Table 4.4 summarizes the City’s participation in the program.

Table 4.4: NFIP Participation
CID Community
Name County Init. FHBM
Identified
Init. FIRM
Identified
Curr. Eff.

Map Date
Reg-
Emer.

Date
Tribal
060119 City of
Gardena
Los
Angeles 12/05/75 07/06/98 09/26/08 04/21/78 No
Note: Source information obtained through FEMA
Flood Recommendations/Repetitive Loss Properties
There were no properties identified as having repetitive losses or assets impacted by regular flooding. In fact, the majority of the City is located in a Flood Zone X according to FEMA. Areas of this designation are expected to have minimal flood incidents, are outside the 500-year flood level, and are protected by levee from the 100-year flood. The only exception are the areas included in the Gardena Willows Wetlands Preserve which lie in a 500-year flood zone. As a result , the City identified a recommendation for mitigating flood hazards in the “Mitigation Action Identification ” table. Specifically, action 2022.LHMP.15 is designed to minimize losses to critical City facilities as a result of flooding. Responsibility for implementation will be noted in Table 4.2.

City of Gardena Hazard Mitigation Plan 4-8

4.4 Prioritization of Mitigation Recommendations

§201.6(c)(3)(iii): [The mitigation strategy section shall include] an action plan describing how the actions identified in section (c)(3)(ii) will be prioritized, implemented, and administered by the local jurisdiction. Prioritization shall include a special emphasis on the extent to which benefits are maximized according to a cost benefit review of the proposed projects and their associated costs.

A simplified Benefit -Cost Review was applied in order to prioritize the mitigation recommendations for implementation. The priority for implementing mitigation recommendations depends upon the overall cost effectiveness of the recommendation, when taking into account monetary and non-monetary costs and benefits associated with each action. Additionally, the following questions were considered when deve loping the Benefit-Cost Review:
• How many people will benefit from the action?
• How large an area is impacted?
• How critical are the facilities that benefit from the action? • Environmentally, does it make sense to do this project for the overall community? Table 4.5 provides a detailed benefit-cost review for each mitigation recommendation, as well as a relative priority rank (High, Medium, and Low) based upon the judgment of the Steering Committee. The general category guidelines are listed below. • High – Benefits are perceived to exceed costs without further study or evaluation • Medium – Benefits are perceived to exceed costs, but may require further study or evaluation prior to implementation
• Low – Benefits and cost evaluations requires additional evaluation prior to implementation
It should be noted that the values for costs (cons), are estimates only.

City of Gardena Hazard Mitigation Plan 4-9

Table 4.5: Mitigation Action Prioritization: Benefit-Cost Review Mitigation Activity Benefits (Pros) Costs (Cons) Priority 2022.LHMP.01: Consider purchasing mobile
generators to generate backup power in the
event of an emergency.
• Avoided loss of function
• Avoided Emergency
Management Costs
• Avoided Environmental
Impacts through the use of a
dual battery/solar generating
system
• $80,000 in unit costs High
2022.LHMP.02: Consider posting the hazard
mitigation plan on the City website to provide
awareness for natural hazards.
• Improved public awareness
of local hazards
• Avoided casualties as
awareness leads to
mitigation action taken by
the public
• Staff Time High
2022.LHMP.03: Consider developing and
distributing public education materials for
natural hazards.
• Improved public awareness
of local hazards
• Avoided casualties as
awareness leads to
mitigation action taken by
the public
• Staff Time
• $25,000 in campaign
costs
Medium
2022.LHMP.04: Consider outfitting the
Nakaoka Center for use as a dedicated
alternate EOC location.
• Improved Emergency
Management Capabilities
• Avoided loss of function
• Reduced costs for facility
rental
• Staff Time
• IT set-up costs (laptops,
Wi-Fi, etc.)
Medium
2022.LHMP.05: Continue to ensure that new
buildings comply with CBC seismic
requirements.
• Avoided Physical Damages
• Avoided Casualties
• Avoided Costs for
Emergency Response
• Staff Time High

City of Gardena Hazard Mitigation Plan 4-10

Mitigation Activity Benefits (Pros) Costs (Cons) Priority 2022.LHMP.06: Consider reviewing existing
City facilities for potential seismic
vulnerabilities and implement mitigation
projects accordingly.
• Avoided Physical Damages
• Avoided Casualties
• Avoided Costs for
Emergency Response
• Staff Time
• Contract Seismic
Evaluation Costs
• Project Costs are
variable depending on
the results of the review.

Medium
2022.LHMP.07: Provide updated information
to the public on the impacts of a release
from the Torrance Refinery including first
response actions (Shelter-in-Place, PPE,
etc.) and community resources for relief.
• Improved public awareness
of local hazards
• Avoided casualties as
awareness leads to
mitigation action taken by
the public
• Avoided Emergency
Management Costs
• Staff Time
• $25,000 in campaign
costs
• Resource/Equipment
Costs and Subsidies
Medium
2022.LHMP.08: Continue to coordinate with
pipeline owners throughout the City
including So Cal Gas, Chevron, Golden
State Water, So Cal Edison, ATT, and MCI
to minimize potential damage to facilities
during construction activities.
• Avoided Physical Damages
• Avoided Injuries
• Avoided Emergency
Management Costs
• Staff Time Medium
2022.LHMP.09: Expand the ongoing
implementation of tree trimming throughout
the City.
• Avoided Physical Damages
• Avoided Injuries
• Avoided Emergency
Management Costs
• $30k annually for
contract assistance High

City of Gardena Hazard Mitigation Plan 4-11

Mitigation Activity Benefits (Pros) Costs (Cons) Priority 2022.LHMP.10: Consider emergency
backup power for critical City facilities.
(Battery back-up system)
• Avoided loss of function
• Avoided Emergency
Management Costs
• Avoided Environmental
Impacts through the use of a
dual battery/solar generating
system
• $200,000/unit High
2022.LHMP.11: Expand community
outreach with regard to protective measures
and resources to deal with disease outbreak
situations. Provide the information in
Spanish and English to ensure all members
of the community have access to
information.
• Avoided Casualties
• Avoided Emergency
Management Costs
• Staff Time Medium
2022.LHMP.12: Work with Golden State
Water to improve water lines throughout the
City to increase flow rates and water
pressures to support fire suppression
capabilities
• Avoided Emergency
Management Costs
• Avoided Physical Damage
as fire suppression becomes
more efficient.
• Avoided Casualties
• Staff Time Medium
2022.LHMP.13: Expand active-shooter
classes to be made available for the
community.
• Improved public awareness
of local hazards
• Avoided casualties as
awareness leads to
mitigation action taken by
the public
• Avoided Emergency
Management Costs
• Staff Time High

City of Gardena Hazard Mitigation Plan 4-12

Mitigation Activity Benefits (Pros) Costs (Cons) Priority 2022.LHMP.14: Update plan check review
policies to include language to consider the
structure defensibility for permitting.
• Avoided Physical Damages
• Avoided Casualties
• Avoided Emergency
Management Costs
• Potential for increased
awareness at the City level
and development of a
defensibility culture within
the City.
• Staff Time Medium
2022.LHMP.15: Ensure flood mitigation
remains a priority.
• Avoided Physical Damages
• Avoided Injuries
• Avoided Emergency
Management Costs
• Staff Time Low
2022.LHMP.16: Determine ways to utilize
reclaimed water for landscaping throughout
the City and implement capital projects
accordingly.
• Improved Natural Resource
Protection
• Improved reliably for potable
water sources
• Staff Time
• $100,000 in project costs
• $3million (West Basin, no
cost to the City)
Medium
2022.LHMP.17: Assist Golden State Water
to implement State-mandated water
restrictions throughout the City.
• Improved Natural Resource
Protection
• Improved reliably for potable
water sources
• Staff Time High
2022.LHMP.18: Supplement Golden State
Water outreach by providing additional
information to the community on water-wise
landscaping
• Improved public awareness
of local hazards
• Potential for improved
Natural Resource Protection
• Potential for improved
reliably for potable water
sources
• Staff Time
• $25k in Campaign Costs Low

City of Gardena Hazard Mitigation Plan 4-13

Mitigation Activity Benefits (Pros) Costs (Cons) Priority 2022.LHMP.19: Continue to coordinate with
agencies to implement water use restrictions
and projects during periods of drought and
water emergencies.
• Improved public awareness
of local hazards
• Potential for improved
Natural Resource Protection
• Potential for improved
reliably for potable water
sources
• Varies Low

City of Gardena Hazard Mitigation Plan 4-14

4.5 Implementation Strategy
Mitigation Actions classified as high-priority mitigation actions provide the most significant vulnerability reduction, as related to cost and probability, and are typically implemented before lower ranked improvements. The City , however, may find that under some circumstances a recommendation classified as a low-priority mitigation action may need to be implemented before a higher priority recommendation. The priority levels associated with each improvement are indicated on the “Mitigation Action Prioritization: Benefit-Cost Review” table in the previous section.
2013 Multi-Jurisdictional Hazard Mitigation Plan Strategies The Project Team reviewed the mitigation strategies and actions from the 2013 Multi- Jurisdictional Hazard Mitigation Plan. The 20 13 Plan outlined mitigation strategies scheduled for completion in the near future and additional projects for consideration.

However, as many of these projects are contingent on the City receiving grant funding to implement, only some of them have been implemented. Furthermore, the last Plan was a joint plan with the City of Hawthorn e and several proposed actions were intended specifically for the City of Hawthorne. As this Plan seeks to focus solely on the resilience efforts of the City, actions that were not intended for the City were removed in the update.

However, several of the Future Mitigation Strategies from the 2013 Plan have been carried through into the current update. Table 4.6 on the following page provides the mitigation strategies from the 20 13 Plan and their correlation to the current Plan. As mentioned, previously, only some of the mitigation actions garnered the funding necessary for implementation and some which did not pertain to the City were omitted. The table on the following page denoted whether or not an action was completed since the last Plan update.

City of Gardena Hazard Mitigation Plan 4-15

Table 4.6: Ongoing Mitigation Strategies
2013 Plan Mitigation Strategies Correlated Current Mitigation Strategies Completed Continue to reline 88 miles of sewer system pipelines
with inner liner.

Progress has been ongoing. Completion should be
within the 1-3 timeframe Almost
Continue to ensure that new buildings comply with
CBC seismic requirements.
2022.LHMP.05: Continue to ensure that new buildings
comply with CBC seismic requirements. Implement
structural improvement projects as necessary. Ongoing
Consider reviewing existing City facilities for potential seismic vulnerabilities and implement mitigation
projects accordingly.
2022.LHMP.06: Consider reviewing existing City
facilities for potential seismic vulnerabilities and
implement mitigation projects accordingly.

Ongoing
Continue to coordinate with pipeline owners
throughout the City including So Cal Gas, Chevron,
Golden State Water, So Cal Edison, ATT, and MCI to
minimize potential damage to facilities during
construction activities.
2022.LHMP.08: Continue to coordinate with pipeline
owners throughout the City including So Cal Gas,
Chevron, Golden State Water, So Cal Edison, ATT, and
MCI to minimize potential damage to facilities during
construction activities.

Ongoing
Consider conducting a survey to determine the
location of underground pipelines throughout the
Cities and developing maps accordingly.

After 9-11, this information became sensitive and is not available to the City Removed
Provide updated information to the public on the
impacts of a release from the Torrance Refinery
including first response actions and community
resources for relief.
2022.LHMP.07: Provide updated information to the
public on the impacts of a release from the Torrance
Refinery including first response actions and community resources for relief.

Ongoing
Continue to coordinate with agencies to implement
water use restrictions and projects during periods of
drought and water emergencies.
2022.LHMP.19: Continue to coordinate with agencies to
implement water use restrictions and projects during
periods of drought and water emergencies.

Ongoing
Expand the ongoing implementation of tree trimming
throughout the City.
2022.LHMP.09: Expand the ongoing implementation of
tree trimming throughout the City. Ongoing

City of Gardena Hazard Mitigation Plan 4-16

Consider emergency backup power for critical City
facilities. (Battery back-up system)
2022.LHMP.10: Consider emergency backup power for
critical City facilities. (Battery back-up system) Ongoing Consider configuring the Community Center facility
with emergency backup power.
2022.LHMP.10: Consider emergency backup power
for critical City facilities. (Battery back-up system) Ongoing Consider configuring the City Hall with emergency
backup power.
2022.LHMP.10: Consider emergency backup power
for critical City facilities. (Battery back-up system) Ongoing Consider outfitting the Nakaoka Center for use as an
alternate EOC location
2022.LHMP.04: Consider outfitting the Nakaoka Center
for use as an alternate EOC location. Ongoing
Consider improving emergency communications by
implementing a redundant communications system,
including an evaluation of communication protocols.

Completed
Yes
Consider purchasing a utility helicopter to serve the
South Bay in the event of an emergency.

This was determined by the Steering Committee to be
no longer applicable Removed
Consider purchasing mobile generators to generate
backup power in the event of an emergency.
2022.LHMP.01: Consider purchasing mobile generators
to generate backup power in the event of an emergency. Ongoing Consider purchasing emergency shelter and medical
supplies and/or coordinating agreements with local
businesses to maintain supplies in the event of an
emergency.

Completed
Yes
Consider posting the hazard mitigation plan on the
City website to provide awareness for natural hazards.

Completed
Yes

City of Gardena Hazard Mitigation Plan 4-17

Consider developing and distributing public education
materials for natural hazards.

Provide updated information to the public on the impacts of a release from the Torrance Refinery including first response actions and community resources for relief.

Ongoing

City of Gardena Hazard Mitigation Plan 5-i

PLAN MAINTENANCE

Table of Contents

5.1 Mitigation Progress Monitoring ................................ ................................ .. 5-1

5.2 Planning Mechanisms................................ ................................ .................. 5-2

5.2.1 Process to Incorporate the Mitigation Strategy into Other Planning Mechanisms ................................ ................................ ................................ .............. 5-2

5.2.2 Available Planning Mechanisms to Incorporate Mitigation Requirements ..... 5-9

5.3 Periodic Assessment Requirements ................................ ........................ 5-10

5.4 Update Requirements ................................ ................................ ................ 5-11

5.4.1 Plan Update ................................ ................................ ............................... 5-12

5.4.2 Continued Public Involvement ................................ ................................ .... 5-12

List of Tables
Table 5.1: Regulatory Tools Table ................................ ................................ ................ 5-2 Table 5.2: Administrative/Technical Tools Table ................................ .......................... 5-2 Table 5.3: Fiscal Tools Table ................................ ................................ ....................... 5-3 Table 5.4: Grant Funding Tools Table ................................ ................................ .......... 5-4 Table 5.5: Outreach and Partnership Tools ................................ ................................ .. 5-6 Table 5.6: Hazard Mitigation Plan Goals ................................ ................................ .... 5-12 Table 5.7: Action Item Implementation ................................ ................................ ....... 5-14

City of Gardena Hazard Mitigation Plan 5-1

5.1 Mitigation Progress Monitoring
The Mitigation Strategy section in the Hazard
Mitigation Plan identifies mitigation actions that
have been prioritized based on the loss estimates
and the probability of each hazard, which will
typically be im plemented according to the priority
rank. To thoroughly track hazard mitigation status,
the City of Gardena (City) must continuously
monitor and document the progress of the
implementation of mitigation actions. Though
mitigation actions may be delegated to different
departments within the City, Hong Lee, Program
Coordinator of Public Works for the City, will have
the responsibility of monitoring overall progress.
§201.6(c)(4)(i): [The plan maintenance process shall include a] section describing the method and schedule of monitoring, evaluating, and updating the mitigation plan within a five-year cycle.

To facilitate this monitoring process, Table 5.7: “ Action Item Implementation” w as developed to provide a mechanism for monitoring the overall implementation progress.

The table is designed to monitor mitigation actions according to project managers, project status, and project milestones. The table can be found at the end of this chapter.

STEP 1: ADOPT THE MITIGATION PLAN
STEP 2: IMPLEMENT THE PLAN

RECOMMENDATIONS

MONITOR MITIGATION PLAN

EFFECTIVENESS

STEP 4: REVISE THE PLAN
STEP 3: EVALUATE YOUR PLANNING

RESULTS

City of Gardena Hazard Mitigation Plan 5-2

5.2 Planning Mechanisms

§201.6(c)(4)(ii): [The plan shall include a] process by which local governments incorporate the requirements of the mitigation plan into other planning mechanisms such as comprehensive or capital improvement plans, when appropriate.

5.2.1 Process to Incorporate the Mitigation Strategy into Other Planning Mechanisms
The City maintains the following processes to incorporate mitigation strategies of the Hazard Mitigation Plan into planning mechanisms.

Website
The City’s Hazard Mitigation Plan will be posted on the City’s website to enable citizens to review and provide feedback regarding mitigation objectives and strategies. Feedback from residents can be incorporated during the annual review or five -year update of the HMP and expand the Steering Committee’s understanding of the public’s opinion on hazard vulnerability. In addition, the website can be used as a vehicle to maintain an ongoing conversation with the public regarding upcoming mitigation projects and provide an avenue for hazard education.

City Council
The City Council is responsible for approving projects, plans, and programs on a City-wide level. By providing mitigation planning concepts to the City Council, mitigation actions and projects will be incorporated into relevant planning efforts. Department heads can expand mitigation efforts by working with Council Members to encourage the inclusion of mitigation goals and objectives for any project or planning efforts which are reviewed by the City Council.

Public Works Department
The Public Works Department provides infrastructure and maintenance services to City assets and to the public. Hazard mitigation will be integrated into Public Works programs through its involvement in the Steering Committee. The Public Works Department has the ability to expand mitigation activities by implementing safety mechanisms throughout the City to maximize resiliency.

City of Gardena Hazard Mitigation Plan 5-3

Commissions
To assist the City Council in reviewing prominent issues, the City has established the seven (7) commissions listed below.
• Planning and Environmental
Quality
• Human Services
• Recreation and Parks
• Senior Citizens
• Gardena Youth
• The City of Gardena Economic
Advisory Commission (GEBAC)
• Gardena Beautification
As necessary, each specialized commission can review and implement hazard mitigation activities that affect its goals and objectives.

Committees
In addition to the seven (7) commissions, the City has also established the Finance, Gardena WeTip, and Traffic Committees to educate and assist the community with relevant safety issues and coordinate local gatherings.

These committees can help raise awareness about hazardous events that can affect the City, educate the public about the actions the City is taking to reduce loss, and supply avenues for the community to provide feedback.

Community Development Department
The Planning Di vision of the City’s Community Development Department works closely with the Planning Commission to ensure that development within the City is consistent with the General Plan goals and policies , as well as in the best interest of the City . This includes development of land use, general planning, zoning requirements, and residential projects. Mitigation measures can be incorporated into potential projects.

The Building and Safety Division of the City’s Community Development Department is responsible for reviewing construction plans and various building inspection activities. The objective of this Division is to protect the public regarding building design and construction.

Resource Tables
This section serves as a high-level capability assessment of the City’s resources through which hazard mitigation objectives may be achieved. The following subsections attempt to document the Regulatory, Administrative/Technical, Fiscal, Grant funding, and Outreach/Partnership resources available to the City.

City of Gardena Hazard Mitigation Plan 5-2

Regulatory Resources
Table 5.1: Regulatory Tools Table
Regulatory Tool Updated Comments
General Plan 2006 2006
2012
2013
2020
2021
2022
The General Plan outlines how the City is organized with regard to areas such as land use, safety, different conservation efforts, and economic resilience and development. The City comprehensively updated its plan in April 2006. The City updated its Land Use Plan in June 2012, March 2012, and March-April 2021. The City also updated its Circulation Plan in 2020. In 2022, the City adopted the 2021- 2029 Housing Element , adopted a new Environmental Justice Element, and adopted a Public Safety Plan.

Administrative/Technical Resources
Table 5.2: Administrative/Technical Tools Table
Administrative/Technical Tool Personnel/Resources
Police Department The Police Department is able to support public outreach and may assist in identifying areas of improvement for resistance to civil unrest and adversarial events.

City Council City Council can review and approve mitigation propositions for implementation.

Community Safety Division The Community Safety Division is responsible for monitoring and promoting Hazard Mitigation objectives and disaster preparedness efforts.

City of Gardena Hazard Mitigation Plan 5-3

Community Development Department The Community Development Department is response for all developments within the City. This department will be able to include considerations for local hazards into new projects.

Public Works Department The Public Works Department is responsible for street improvements and overall City maintenance. This department can implement hazard mitigation activities as part of planned maintenance and City upgrades.

Administrative Services Department The Department of Administrative Services is organized and responsible for coordinating the day -to-day activities of various internal operations and supplying specialized staff to all operating departments.

Fiscal Resources
Table 5.3: Fiscal Tools Table
Fiscal Tool Available for Use
General Fund Yes, with approval
Capital Improvement Plan Yes, with approval
Authority to impose taxes for specific purposes Yes, with voter approval

City of Gardena Hazard Mitigation Plan 5-4

Grant Funding
Table 5.4: Grant Funding Tools Table
Grant Funding Tool Agency Purpose Contact
Pre-Disaster Mitigation
Program
(PDM)
U.S. Department of
Homeland Security,
Federal Emergency
Management Agency
To provide funding for States, and
communities for cost-effective hazard
mitigation activities which complement a
comprehensive hazard mitigation program
and reduce injuries, loss of life, and damage
and deconstruction of property.

FEMA
500 C. Street, SW
Washington, DC 20472
Phone: (202) 646-4621
www.fema.gov

Hazard Mitigation Grant
Program
U.S. Department of
Homeland Security,
Federal Emergency
Management Agency
To prevent future losses of lives property
due to disasters; to implement State of local
hazard mitigation plans; to enable mitigation
measures to be implemented during
immediate recovery from a disaster; and to
provide funding for previously identified
mitigation measures to benefit the disaster
area.

FEMA
500 C Street S.W.

Washington, DC 20472
Phone (202) 646-4621
www.fema.gov

Flood Mitigation
Assistance (FMA)
U.S. Department of
Homeland Security,
Federal Emergency
Management Agency
To help States and communities plan and
carry out activities designed to reduce the
risk of flood damage to structures insurable
under the NFIP.

FEMA
500 C Street S.W.

Washington, DC 20472
Phone (202) 646-4621
www.fema.gov

Emergency
Management
Performance Grants
(EMPG)

U. S. Department of
Homeland Security;
Federal Emergency
Management Agency
To encourage the development of
comprehensive emergency management at
the State and local level and to improve
emergency management planning,
preparedness, mitigation, response, and
recovery capabilities.

FEMA
500 C Street S.W.

Washington, DC 20472
Phone (202) 646-4621
www.fema.gov

City of Gardena Hazard Mitigation Plan 5-5

Community
Development Grant
Program (CDBG)

U.S. Department of
Housing and Urban
Development

To develop viable urban communities by
providing decent housing and a suitable
living environment. Principally for low-to-
moderate income individuals.

HUD
451 7th Street, S. W.

Washington, DC 20410-7000
Phone: (202) 708-3587
www.hud.gov
Public Assistance
Program (PA)
U.S. Department of
Homeland Security,
Federal Emergency
Management Agency
To provide supplemental assistance to
States, local governments, and certain
private nonprofit organizations to alleviate
suffering and hardship resulting from major
disasters or emergencies declared by the
President. Under Section 406, Public
Assistance funds may be used to mitigate
the impact of future disasters.

FEMA
500 C Street S.W.

Washington, DC 20472
Phone (202) 646-4621
www.fema.gov
Emergency Watershed
Protection
U.S. Department of
Agriculture, Natural
Resource Conservation
Service
To provide emergency technical and
financial assistance to install or repair
structures that reduce runoff and prevent soil
erosion to safeguard life and property.

NRCS
PO BOX 2890
Washington, DC 20013
Phone: (202) 720-3527
www.nrcs.usda.gov

Disaster Mitigation and
Technical Assistance
Grants
U.S. Department of
Commerce, Economic
Development
Administration
To help States and localities to develop and
/or implement a variety of disaster mitigation
strategies.

EDA
Herbert C. Hoover Building
Washington, DC 20230
Phone: (800) 345-1222
www.eda.gov

Watershed Surveys and
Planning
U.S. Department of
Agriculture, Natural
Resource Conservation
Service
To provide planning assistance to Federal,
State, and local agencies for the
development of coordination water and
related land resources programs in
watersheds and river basins
NRCS
PO Box 2890
Washington, DC 20013
Phone: (202) 720-3527
www.nrcs.usda.gov

City of Gardena Hazard Mitigation Plan 5-6

National Earthquake
Hazards Reduction
Program (NEHRP)
U.S. Department of
Homeland Security,
Federal Emergency
Management Agency
To mitigate earthquake losses that can
occur in many parts of the nation providing
earth science data and assessments
essential for warning of imminent damaging
earthquakes, land-use planning, engineering
design, and emergency preparedness
decisions.

FEMA
500 C Street S.W.

Washington, DC 20472
Phone (202) 646-4621
www.fema.gov
Engineering for Natural
Hazards
National Science
Foundation
Supports fundamental research that
advances knowledge for understanding and
mitigating the impact of natural hazards on
constructed civil infrastructure
National Science Foundation
Phone: (703) 292-7024
https://www.nsf.gov

Outreach and Partnership Resources
Table 5.5: Outreach and Partnership Tools
Outreach/Partnership Tools Comments
City Website The City website is an open forum for providing hazard information and for accepting ongoing comments from the public. The City website will likely be the main avenue for maintaining an open dialogue with the public for hazard mitigation throughout the planning period.

Public Outreach The City holds several training opportunities throughout the year. Public safety training will be able to be expanded to include hazard-specific information to improve hazard awareness.

City of Gardena Hazard Mitigation Plan 5-7

Mutual Aid Agreements As part of expanding its resilience to the impacts of hazard events, the City intends to review its current mutual aid agreements, identify gaps, and secure new agreements to expand its available mutual resources.

City of Gardena Hazard Mitigation Plan 5-8

Building on Existing Capabilities
As part of the Plan update, potential improvements to the City’s existing capabilities were discussed. The City is cognizant of the need to continually evaluate its efforts and take an active role in promoting resiliency within the City. The City currently utilizes its Community Safety Division to train its staff and reach out to the community regarding preventative and preparedness strategies for hazard events. The Capital Improvement Program (CIP) directs funding to improve infrastructure and the City continually searches for grant opportunities to allow the City to accomplish additional improvements that address hazard mitigation efforts for public facilities. In addition to the City’s current efforts, the following is a list of potential new initiatives that would improve the City’s ability to promote resiliency.
• Regulatory/Fiscal: Enhance the CIP proposal procedure to include a Mitigation/Resiliency element to be considered for each project proposal. The intent is to consider how each CIP project might contribute to mitigation efforts, citing the HMP when proposed projects align wit h hazard mitigation planning efforts.
• Administrative: Expand the Community Safety Division’s programs sufficient to provide specialized natural disaster training and safety for City personnel and the public, as appropriate.
• Grant Funding: Expand search for grant funding specifically to assist with aging infrastructure improvements, rehabilitation of open spaces, energy efficiency, and facility upgrades.
• Outreach/Education: Engage City commissions and committees and increase volunteer opportunities to work with the public to gain community participation in resiliency efforts and voluntary resilience projects for privately-owned properties.

Progress for Mitigation Incorporation
The sections above demonstrate the many resources available to th e City for successful mitigation action implementation. Some of these resources have already proven their usefulness through successful action implementation over the last planning p eriod. For example, since the last update, the City and 12 other South Bay cities have created a regional alert and warning notification system, Alert SouthBay. This system provides residents, employees, and business alerts and warning via text, email, phone, and social media (Facebook and Twitter) . Additionally, since the last update, the City has implemented reviews of its existing ordinances, building codes and safety inspection procedures to help ensure they meet current generally accepted standards. Therefore,

City of Gardena Hazard Mitigation Plan 5-9

new developments within the City will be required to comply with new standards for safety, security, and resiliency.

5.2.2 Available Planning Mechanisms to Incorporate Mitigation Requirements The City uses the following local planning mechanisms for incorporating the mitigation requirements of the Hazard Mitigation Plan.

General Planning
The City is responsible for updating and incorporating mitigation actions and concepts into the 2006 General Plan. The City updated its Land Use Plan in June 2012, March 2012, and March-April 2021. The City also updated its Circulation Plan in 2020. In 2022, the City adopted the 2021-2029 Housing Element, adopted a new Environmental Justice Element, and adopted a Publi c Safety Plan. The General Plan is evaluated on a periodic basis, which includes a review of the policies and programs associated with land use and development, among other things. Mitigation actions from the Hazard Mitigation Plan will be reviewed during the next scheduled update of the General Plan and incorporated as applicable. As part of this review, ordinances and codes will be reviewed to ensure they are consistent with the mitigation strategies and referred to the a ppropriate regulatory authority as needed.

Emergency Operations Plan
The City maintains an Emergency Operations Plan ( EOP) that includes profiles and specific response s for earthquake, hazardous materials incident, flooding and several other hazards mentioned in the Hazard Mitigation Plan. The City will incorporate the Risk Assessment into the EOP in addition to using emergency scenarios outlined in the report to flush out potential mitigation actions.

Capital Improvements Program
The City maintains a Capital Improvements Program (CIP) with projects that are budgeted for at least a five-year period. Engineering mitigation projects are included within the CIP.

Additionally, the projects already included w ithin the CIP are reviewed for mitigation improvements (e.g., areas prone to flooding are configured with mitigation elements, current seismic design criteria is applied to construction, facility locations are reviewed for special hazards, etc.).

City of Gardena Hazard Mitigation Plan 5-10

5.3 Periodic Assessment Requirements

§201.6(c)(4)(i): [The plan maintenance process shall include a] section describing the method and schedule of monitoring, evaluating, and updating the mitigation plan within a five-year cycle.

Mitigation planning is an ongoing process, and as such, the Hazard Mitigation Plan should be treated as a living document that must grow and adapt in order to keep pace with changes within the City . Continuing from the 2013 Multi-Jurisdictional Hazard Mitigation Plan, an annual assessment will be completed to document any changes in site hazards (e.g., updated FIRM maps, contemporary seismic studies, etc.) or the installation and purchase of new equipment (e.g., back -up generators, emergency response equipment, etc.) to ensure they do not have any major effects on City’s hazard vulnerabilities that would impact the conclusions or actions associated with the Hazard Mitigation Plan . In addition, these reviews will track the progress of proposed mitigation actions and the incorporation of mitigation planning in other City planning documents. As needed, these reviews can be used to promote mitigation action with the City or alter mitigation strategies within the plan, as appropriate.

Prior to the fifth year of the revision cycle, these annual observations will be reviewed to determine what changes should be implemented in the required Hazard Mitigation Plan Update. The results of the annual evaluations will be folded back into each phase of the planning process and should yield decisions on how to update each section of the Plan.

Hong Lee, Program Coordinator of Public Works for the City , has the responsibility of implementing these annual and five -year requirements. During the annual review, if any updates are deemed minor, then the Management Analyst or designee will perform the updates. However, if more major updates are required, then the Steering Committee will be reconvened to discuss the effects on the Plan. For the fifth year revision, the entire Steering Committee will reconvene in order to use their expertise to update the Plan in its entirety.

In addition to these periodic requirements, any significant modification to the City’s facilities should be considered with respect to a possible impact on the Hazard Mitigation Plan. All Steering Committee members are responsible for providing updates for the Plan to Hong Lee as necessary . As noted in the following section, the completed H azard

City of Gardena Hazard Mitigation Plan 5-11

Mitigation Plan will be available on the City’s website to allow the public to continue to be involved during these periodic reviews.

5.4 Update Requirements

§201.6(c)(4)(i): [The plan maintenance process shall include a] section describing the method and schedule of monitoring, evaluating, and updating the mitigation plan within a five-year cycle.
§201.6(c)(4)(iii): [The plan maintenance process shall include a] discussion on how the community will continue public participation in the plan maintenance process.

The Emergency Management and Assistance regulations (44 CFR Part 201) state that it is the responsibility of local agencies (i.e., the City) to “at a minimum, review and, if necessary, update the local mitigation plan every five years from date of plan approval to continue program eligibility .” As stated in Section 5.3, this responsibility lies with Hong Lee. The evaluation procedures listed below will provide insight into the major changes that need to be included in the five-year update and resubmission to FEMA:
• Annual Hazard Mitigation Plan review with respect to changes in hazard vulnerability (e.g., additional hazards identified, natural hazard events, etc.) • Annual Hazard Mitigation Plan review with respect to development of new facilities • Five-year comprehensive update to address the findings of the annual reviews • Re-submittal of the updated Hazard Mitigation Plan to CalOES/FEMA Additionally, the risk assessment portion of the plan will be reviewed to determine if the information should be updated or modified. Each division/department responsible for the various implementation actions will report on:
• Status of their projects,
• Implementation processes,
• Any difficulties encountered,
• How coordination efforts are proceeding, and
• Strategies that should be revised.

City of Gardena Hazard Mitigation Plan 5-12

5.4.1 Plan Update
The City’s Hazard Mitigation Plan was last updated in 201 3. During Steering Committee Meeting #2, the Plan g oals were reviewed for consistency and applicability to the City , along with the goals from the 2018 California State Hazard Mitigation Plan and 2019 Los Angeles County Hazard Mitigation Plan. Table 5.6 illustrates the changes in the priorities of the Plan.

Table 5.6: Hazard Mitigation Plan Goals
2013 Plan Goals Current Plan Goals

1. Significantly reduce life loss and
injuries

1. Protect life, property, and commerce

2. Minimize damage to structures and
property, as well as disruption of
essential services and human
activities

3. Protect the environment 3. Protect the environment

4. Increase public awareness 4. Increase public awareness and participation

5. Improve emergency services
capabilities

5. Improve emergency services and
manage capability
As shown in Table 5.6, the overall Plan goals did not change significantly. However, Plan objectives were updated to further clarify how the City wanted to achieve the Plan goals.

Details of the Plan objectives can be found in Chapter 4 of this Plan.

5.4.2 Continued Public Involvement
To facilitate ongoing public input, the completed and adopted Hazard Mitigation Plan will be posted on the City’s website and social media outlets to allow the public to remain engaged and provide feedback. The website will include a link to a contact form allowing the public to submit comments. When updating the Hazard Mitigation Plan, the City will solicit participation from Steering Committee participants to discuss any issues that need

City of Gardena Hazard Mitigation Plan 5-13

to be addressed in the Hazard Mitigation Plan update. Public participation will be solicited through public notices and advertised on the website.

The goal of outreach regarding update meetings is to solicit public involvement in the Steering Committee, which brainstorms the hazards facing the City and discusses ways to mi tigate those hazards. The public was encouraged to participate in the hazard mitigation process through the release of a public survey. Results from the survey highlighted the hazards that were of most concern to the community. The City can use the information from the survey results when deciding which mitigation action to implement. It can generally be assumed that actions reducing risk for the top-rated hazards will be well received by the community. More detailed information regarding the survey results can be found in Chapter 1 and Appendix D.

City of Gardena Hazard Mitigation Plan 5-14

Table 5.7: Action Item Implementation
Action ID Recommendation Description
Responsible
Department
Completion
Timeframe
Status
Details/Status
Summary
2021.LHMP.01
Consider purchasing mobile generators to
generate backup power in the event of an
emergency.

Public Works Medium Open
2021.LHMP.02
Consider posting the hazard mitigation plan on
the City website to provide awareness for
natural hazards.

Public Works Medium Open
2021.LHMP.03
Consider developing and distributing public
education materials for natural hazards.

Public Works Medium Open
2021.LHMP.04
Consider outfitting the Nakaoka Center for use
as an alternate EOC location.

Police
Department
Long Open

2021.LHMP.05
Continue to ensure that new buildings comply
with CBC seismic requirements. Implement
structural improvement projects as necessary.

Community
Development
Ongoing Open

2021.LHMP.06
Consider reviewing existing City facilities for
potential seismic vulnerabilities and implement
mitigation projects accordingly.

Community
Development/Pu
blic Works
Medium Open

2021.LHMP.07
Provide updated information to the public on
the impacts of a release from the Torrance
Refinery including first response actions and
community resources for relief.

Police, Fire, and
Public Works
Medium Open

City of Gardena Hazard Mitigation Plan 5-15

Action ID Recommendation Description
Responsible
Department
Completion
Timeframe
Status
Details/Status
Summary
2021.LHMP.08
Continue to coordinate with pipeline owners
throughout the City including So Cal Gas,
Chevron, Golden State Water, So Cal Edison,
ATT, and MCI to minimize potential damage to
facilities during construction activities.

Public Works
Inspector
Short Open

2021.LHMP.09
Expand the ongoing implementation of tree
trimming throughout the City.

Public Works Short Open

2021.LHMP.10
Consider emergency backup power for critical
City facilities. (Battery back-up system)
Public Works Medium Open

2021.LHMP.11
Expand community outreach with regard to
protective measures and resources to deal with
disease outbreak situations. Provide the
information in Spanish and English to ensure
all members of the community have access to
information.

Human Services Medium N

2021.LHMP.12
Work with Golden State Water to improve
water lines throughout the City to increase flow
rates and water pressures to support fire
suppression capabilities
Public Works Ongoing Open

2021.LHMP.13
Expand active-shooter classes to be made
available for the community.

Police
Department
Short Open

City of Gardena Hazard Mitigation Plan 5-16

Action ID Recommendation Description
Responsible
Department
Completion
Timeframe
Status
Details/Status
Summary
2021.LHMP.14
Update site-plan review policy to include
language to consider the structure defensibility.

Community
Development/
Fire Department/
Police
Department
Short Open

2021.LHMP.15 Ensure flood mitigation remains a priority. Public Works Short Open 2021.LHMP.16
Determine ways to utilize reclaimed water for
landscaping throughout the Cit and implement
capital projects.

Public Works Medium Open

2021.LHMP.17
Assist Golden State water to implement State-
mandated water restrictions throughout the
City.

Community
Development
(Code
Enforcement)/
Public Works
Short Open

2021.LHMP.18
Supplement Gold State Water outreach by
providing additional information to the
community on water-wise landscaping
Community
Development
Medium Open

2021.LHMP.19
Continue to coordinate with agencies to
implement water use restrictions and projects
during periods of drought and water
emergencies.

Public Works Ongoing Open

City of Gardena Hazard Mitigation Plan A-1

GLOSSARY

Active fault - For implementation of Alquist-Priolo Earthquake Fault Zoning Act (APEFZA) requirements, an active fault is one that shows evidence of, or is suspected of having experienced surface displacement within the last 11,000 years. APEFZA classification is designed for land use management of surface rupture hazards. A more general definition (National Academy of Science, 1988), states "a fault that on the basis of historical, seismological, or geological evidence has the finite probability of producing an earthquake" (see potentially active fault).

Aftershocks - Minor earthquakes following a greater one and originating at or near the same place.

Asset - Any man-made or natural feature that has value, including, but not limited to people, buildings, infrastructure like bridges, roads, and sewer and water systems; lifelines like electricity and communication resources; or environmental, cultural, or recreational features like parks, dunes, wetlands, or landmarks.

A zone - Under the National Flood Insurance Program, area subject to inundation by the 100-year flood where wave action does not occur or where waves are less than 3 feet high, designated Zone A, AE, A1 -A30, A0, AH, or AR on a Flood Insurance Rate Map (FIRM).

Base flood - Flood that has a 1 percent probability of being equaled or exceeded in any given year. Also known as the 100-year flood.

Bedrock - The solid rock that underlies loose material, such as soil, sand, clay, or gravel.

Contour - A line of equal ground elevation on a topographic (contour) map.

Critical facility - Facilities that are critical to the health and welfare of the population and that are especially important following hazard events. Critical facilities include, but are not limited to, shelters, police and fire stations, and hospitals.

Debris - (Seismic) The scattered remains of something broken or destroyed; ruins; rubble; fragments. (Flooding, Coastal) Solid objects or masses carried by or floating on the surface of moving water.

City of Gardena Hazard Mitigation Plan A-2

Debris flow - A saturated, rapidly moving saturated earth flow with 50 percent rock fragments coarser than 2 mm in size which can occur on natural and graded slopes.

Duration - How long a hazard event lasts.

Earthquake - Vibratory motion propagating within the Earth or along its surface caused by the abrupt release of strain from elastically deformed rock by displacement along a fault.

Epicenter - The point at the Earth's surface directly above where an earthquake originated.

Erosion - Under the National Flood Insurance Program, the process of the gradual wearing away of landmasses. In general, erosion involves the detachment and movement of soil and rock fragments, during a flood or storm or over a period of years, t hrough the action of wind, water, or other geologic processes.

Essential facility - Elements that are important to ensure a full recovery of a community or state following a hazard event . These would include government functions, major employers, banks, sc hools, and certain commercial establishments, such as grocery stores, hardware stores, and gas stations.

Extent - The size of an area affected by a hazard or hazard event.

Fault - A fracture in the continuity of a rock formation caused by a shifting or dislodging of the earth's crust, in which adjacent surfaces are differentially displaced parallel to the plane of fracture.

Fault slip rate - The average long -term movement of a fault (measured in cm/year or mm/year) as determined from geologic evidence.

Federal Emergency Management Agency (FEMA) - Independent agency created in 1978 to provide a single point of accountability for all Federal activities related to disaster mitigation and emergency preparedness, response, and recovery.

Flash flood - A flood event occurring with little or no warning where water levels rise at an extremely fast rate.

Flood - A general and temporary condition of pa rtial or complete inundation of normally dry land areas from (1) the overflow of inland or tidal waters, (2) the unusual and rapid accumulation or runoff of surface waters from any source, or (3) mudflows or the sudden collapse of shoreline land.

Floodplain - Any land area, including watercourse, susceptible to partial or complete inundation by water from any source.

City of Gardena Hazard Mitigation Plan A-3

Frequency - A measure of how often events of a particular magnitude are expected to occur. Frequency describes how often a hazard of a specific magnitude, duration, and/or extent typically occurs, on average . Statistically, a hazard with a 100 -year recurrence interval is expected to occur once every 100 years on average and would have a 1 percent chance – its probability – of happening in any given year. The reliability of this information varies depending on the kind of hazard being considered.

Geographic Information Systems (GIS) - A computer software application that relates physical features on the Earth to a database to be used for mapping and analysis.

Ground motion - The vibration or shaking of the ground during an earthquake . When a fault ruptures, seismic waves radiate, causing the ground to vibrate . The severity of the vibration increases with the amount of energy released and decreases with distance from the causative fault or epicenter, but soft soils can further amplify ground motions.

Ground rupture - Displacement of the earth's surface as a result of fault movement associated with an earthquake.

Hailstorm – Storm associated with sphe rical balls of ice . Hail is a product of thunderstorms or intense showers. It is generally white and translucent, consisting of liquid or snow particles encased with layers of ice. Hail is formed within the higher reaches of a well-developed thunderstorm . When hailstones become too heavy to be caught in an updraft back into the clouds of the thunderstorm (hailstones can be caught in numerous updrafts adding a coating of ice to the original frozen droplet of rain each time), they fall as hail, and a hailstorm ensues.

Hazard - A source of potential danger or adverse condition. Hazards in this how-to series will include naturally occurring events such as floods, earthquakes, tornadoes, tsunami, coastal storms, landslides, and wildfires that strike populated are as. A natural event is a hazard when it has the potential to harm people or property.

Hazard event - A specific occurrence of a particular type of hazard.

Hazard identification - The process of identifying hazards that threaten an area.

Hazard mitigation - Sustained actions taken to reduce or eliminate long -term risk from hazards and their effects.

Hazard Mitigation Grant Program (HMGP) – Authorized under Section 404 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act, HMGP is administe red by FEMA and provides grants to states, tribes, and local governments to implement hazard mitigation actions after a major disaster declaration . The purpose of the program is to

City of Gardena Hazard Mitigation Plan A-4

reduce the loss of life and property due to disasters and to enable mitigat ion activities to be implemented as a community recovers from a disaster.

Hazard Mitigation Plan – A collaborative document in which hazards affecting the community are identified, vulnerability to hazards assessed, and consensus reached on how to minimize or eliminate the effects of these hazards.

Hazard profile - A description of the physical characteristics of hazards and a determination of various descriptors including magnitude, duration, frequency, probability, and extent. In most cases, a community can most easily use these descriptors when they are recorded and displayed as maps.

Hazardous Material Facilities – Facilities housing industrial and hazardous materials, such as corrosives, explosives, flammable materials, radioactive materials, and toxins.

HAZUS (Hazards U.S.) - A GIS-based nationally standardized earthquake loss estimation tool developed by FEMA.

Hurricane - An intense tropical cyclone, formed in the atmosphere over warm ocean areas, in which wind speeds reach 74 -miles-per-hour or more an d blow in a large spiral around a relatively calm center or "eye." Hurricanes develop over the north Atlantic Ocean, northeast Pacific Ocean, or the south Pacific Ocean east of 160°E longitude.

Hurricane circulation is counterclockwise in the Northern Hemisphere and clockwise in the Southern Hemisphere.

Hydrology - The science of dealing with the waters of the earth . A flood discharge is developed by a hydrologic study.

Infrastructure - Refers to the public services of a community that have a direct impact on the quality of life. Infrastructure includes communication technology such as phone lines or Internet access, vital services such as public water supplies and sewer treatment facilities, and includes an area's transportation system such as airports, he liports; highways, bridges, tunnels, roadbeds, overpasses, railways, bridges, rail yards, depots; and waterways, canals, locks, seaports, ferries, harbors, drydocks, piers and regional dams.

Landslide - A general term covering a wide variety of mass -movement landforms and processes involving the downslope transport, under gravitational influence, of soil and rock material en masse.

Liquefaction - Changing of soils (unconsolidated alluvium) from a solid state to weaker state unable to support structures; whe re the material behaves similar to a liquid as a

City of Gardena Hazard Mitigation Plan A-5

consequence of earthquake shaking. The transformation of cohesionless soils from a solid or liquid state as a result of increased pore pressure and reduced effective stress.

Magnitude - A measure of the strength of a hazard event. The magnitude (also referred to as severity) of a given hazard event is usually determined using technical measures specific to the hazard.

Mitigation plan - A systematic evaluation of the nature and extent of vulnerability to the effects of natural hazards typically present in the state and includes a description of actions to minimize future vulnerability to hazards.

Nor'easter - An extra-tropical cyclone producing gale-force winds and precipitation in the form of heavy snow or rain.

Peak Ground Acceleration (PGA) - The greatest amplitude of acceleration measured for a single frequency on an earthquake accelerogram . The maximum horizontal ground motion generated by an earthquake . The measure of this motion is the acceleration of gravity (equal to 32 feet per second squared, or 980 centimeter per second squared), and generally expressed as a percentage of gravity.

Potentially active fault - A fault showing evidence of movement within the last 1.6 million years (750,000 years according to the U.S. Geological Survey) but before about 11,000 years ago, and that is capable of generating damaging earthquakes.

Probability - A statistical measure of the likelihood that a hazard event will occur.

Replacement value - The cost of rebuilding a structure. This is usually expressed in terms of cost per square foot and reflects the present-day cost of labor and materials to construct a building of a particular size, type, and quality.

Retrofit - Any change made to an existing structure to reduce or eliminate damage to that structure from flooding, erosion, high winds, earthquakes, or other hazards Richter scale - A numerical scale of earthquake magnitude devised by seismologist C.F.

Richter in 1935. Seismologists no longer use this magnitude scale because of limitations in how it measures large earthquakes and prefer instead to use moment magnitude as a measure of the energy released during an earthquake.

Risk - The estimated impact that a hazard would have on people, services, facilities, and structures in a community; the likelihood of a hazard event resulting in an adverse condition that causes injury or damage. Risk is often expressed in relative terms such as a high, moderate, or low likelihood of sustaining damage above a particular threshold due

City of Gardena Hazard Mitigation Plan A-6

to a specific type of hazard event. It also can be expressed in terms of potential monetary losses associated with the intensity of the hazard.

Seismicity - Describes the likelihood of an area being subject to earthquakes.

Tectonic plate - Torsionally rigid, thin segments of the earth's lithosphere that may be assumed to move horizontally and adjoin other plates . It is the friction between plate boundaries that cause seismic activity.

Topographic - Characterizes maps that show natural features and indicate the physical shape of the land using contour lines. These maps may also include manmade features.

Tornado - A violently rotating column of air extending from a thunderstorm to the ground.

Tsunami - Great sea wave produced by a submarine earthquake, landslide, or volcanic eruption.

Vulnerability - Describes how exposed or susceptible to damage an asset is. Vulnerability depends on an asset's construction, contents, and the economic value of its functions .

Like indirect damages, the vulnerability of one element of the community is often related to the vulnerability of another . For example, many businesses depend on uninterrupted electrical power – if an electric substation is flooded, it will affect not only the substation itself, but a number of businesses as well . Often, indirect effects can be much more widespread and damaging than direct ones.

Vulnerability assessment - The extent of injury and damage that may result from a hazard event of a given intensity in a given area . The vulnerability assessment should address impacts of hazard events on the existing and future built environment.

Wildfire - An uncontrolled fire spreading through vegetative fuels, exposing and possibly consuming structures.

Zone - A geographical area shown on a Flood Insurance Rate Map. 100-year flood – A flood that has a 1 -percent chance of being equaled or exceeded in any given year. This flood event is also referred to as the base flood. The term "100-year flood" can be misleading; it is not the flood that will occur once every 100 years. Rather, it is the flood elevation that has a 1 - percent chance of being equaled or e xceeded each year. Therefore, the 100-year flood could occur more than once in a relatively short period of time . The 100 -year flood, which is the standard used by most federal and state agencies, is used by the National Flood Insurance Program (NFIP) as t he standard for floodplain management to determine the need for flood insurance.

City of Gardena Hazard Mitigation Plan A-7

500-year flood – A flood that has a 0.2-percent chance of being equaled or exceeded in any one year.

City of Gardena Hazard Mitigation Plan B-1

REGULATIONS

The Disaster Mitigation Act of 2000 (P.L. 106 -390) facilitates a new and revitalized approach to mitigation planning. DMA 2000 amended the Robert T. Stafford Disaster Relief and Emergency Assistance Act by repealing the previous mitigation planning provisions (Section 409) and replacing them with a new set of mitigation plan requirements (Section 322). This new section emphasizes the need for state, Tribal, and local entities to closely coordinate mitigation planning and implementation efforts. The following pages provide a description of the Disaster Mitigation Act o f 2000, as well as the Interim Final Rule for mitigation planning.

PUBLIC LAW 106±390ÐOCT. 30, 2000
DISASTER MITIGATION ACT OF 2000
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Public Law 106±390
106th Congress
An Act
To amend the Robert T. Stafford Disaster Relief and Emergency Assistance Act to authorize a program for predisaster mitigation, to streamline the administration of disaster relief, to control the Federal costs of disaster assistance, and for other purposes.

Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled,
SECTION 1. SHORT TITLE; TABLE OF CONTENTS.
(a) S HORT TITLE.ÐThis Act may be cited as the ``Disaster Mitigation Act of 2000''.
(b) T ABLE OF CONTENTS.ÐThe table of contents of this Act is as follows:

Sec. 1. Short title; table of contents.

TITLE IÐPREDISASTER HAZARD MITIGATION
Sec. 101. Findings and purpose.

Sec. 102. Predisaster hazard mitigation.

Sec. 103. Interagency task force.

Sec. 104. Mitigation planning; minimum standards for public and private struc- tures.

TITLE IIÐSTREAMLINING AND COST REDUCTION
Sec. 201. Technical amendments.

Sec. 202. Management costs.

Sec. 203. Public notice, comment, and consultation requirements.

Sec. 204. State administration of hazard mitigation grant program.

Sec. 205. Assistance to repair, restore, reconstruct, or replace damaged facilities.

Sec. 206. Federal assistance to individuals and households.

Sec. 207. Community disaster loans.

Sec. 208. Report on State management of small disasters initiative.

Sec. 209. Study regarding cost reduction.

TITLE IIIÐMISCELLANEOUS
Sec. 301. Technical correction of short title.

Sec. 302. Definitions.

Sec. 303. Fire management assistance.

Sec. 304. Disaster grant closeout procedures.

Sec. 305. Public safety officer benefits for certain Federal and State employees.

Sec. 306. Buy American.

Sec. 307. Treatment of certain real property.

Sec. 308. Study of participation by Indian tribes in emergency management.

TITLE IÐPREDISASTER HAZARD

MITIGATION
SEC. 101. FINDINGS AND PURPOSE.
(a) FINDINGS.ÐCongress finds thatÐ
42 USC 5133
note.
42 USC 5121
note.

Disaster
Mitigation Act of
2000.

Oct. 30, 2000
[H.R. 707]
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(1) natural disasters, including earthquakes, tsunamis, tornadoes, hurricanes, flooding, and wildfires, pose great danger to human life and to property throughout the United States; (2) greater emphasis needs to be placed onÐ
(A) identifying and assessing the risks to States and
local governments (including Indian tribes) from natural disasters;
(B) implementing adequate measures to reduce losses
from natural disasters; and
(C) ensuring that the critical services and facilities
of communities will continue to function after a natural disaster;
(3) expenditures for postdisaster assistance are increasing without commensurate reductions in the likelihood of future losses from natural disasters;
(4) in the expenditure of Federal funds under the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5121 et seq.), high priority should be given to mitigation of hazards at the local level; and
(5) with a unified effort of economic incentives, awareness and education, technical assistance, and demonstrated Federal support, States and local governments (including Indian tribes) will be able toÐ
(A) form effective community-based partnerships for
hazard mitigation purposes;
(B) implement effective hazard mitigation measures
that reduce the potential damage from natural disasters; (C) ensure continued functionality of critical services; (D) leverage additional non-Federal resources in
meeting natural disaster resistance goals; and
(E) make commitments to long-term hazard mitigation
efforts to be applied to new and existing structures.
(b) P
URPOSE.ÐThe purpose of this title is to establish a national disaster hazard mitigation programÐ
(1) to reduce the loss of life and property, human suffering, economic disruption, and disaster assistance costs resulting from natural disasters; and
(2) to provide a source of predisaster hazard mitigation funding that will assist States and local governments (including Indian tribes) in implementing effective hazard mitigation measures that are designed to ensure the continued
functionality of critical services and facilities after a natural disaster.

SEC. 102. PREDISASTER HAZARD MITIGATION.
(a) I N GENERAL.ÐTitle II of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5131 et seq.) is amended by adding at the end the following:
``SEC. 203. PREDISASTER HAZARD MITIGATION.
``(a) DEFINITION OF SMALL IMPOVERISHED COMMUNITY.ÐIn this section, the term `small impoverished community' means a commu- nity of 3,000 or fewer individuals that is economically disadvan- taged, as determined by the State in which the community is located and based on criteria established by the President. ``(b) E
STABLISHMENT OF PROGRAM.ÐThe President may estab-
lish a program to provide technical and financial assistance to States and local governments to assist in the implementation of President.
42 USC 5133.

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predisaster hazard mitigation measures that are cost-effective and are designed to reduce injuries, loss of life, and damage and destruc- tion of property, including damage to critical services and facilities under the jurisdiction of the States or local governments. ``(c) A
PPROVAL BY PRESIDENT.ÐIf the President determines that
a State or local government has identified natural disaster hazards in areas under its jurisdiction and has demonstrated the ability to form effective public-private natural disaster hazard mitigation partnerships, the President, using amounts in the National Predisaster Mitigation Fund established under subsection (i) (referred to in this section as the `Fund'), may provide technical and financial assistance to the State or local government to be used in accordance with subsection (e).
``(d) S
TATE RECOMMENDATIONS.Ð
``(1) IN GENERAL.Ð
``(A) R ECOMMENDATIONS.ÐThe Governor of each State
may recommend to the President not fewer than five local governments to receive assistance under this section.
``(B) D
EADLINE FOR SUBMISSION .ÐThe recommenda-
tions under subparagraph (A) shall be submitted to the
President not later than October 1, 2001, and each October 1st thereafter or such later date in the year as the Presi- dent may establish.
``(C) C
RITERIA.ÐIn making recommendations under
subparagraph (A), a Governor shall consider the criteria specified in subsection (g).
``(2) U
SE.Ð
``(A) IN GENERAL.ÐExcept as provided in subparagraph
(B), in providing assistance to local governments under this section, the President shall select from local govern- ments recommended by the Governors under this sub-
section.
``(B) E
XTRAORDINARY CIRCUMSTANCES .ÐIn providing
assistance to local governments under this section, the President may select a local government that has not been recommended by a Governor under this subsection if the
President determines that extraordinary circumstances jus- tify the selection and that making the selection will further the purpose of this section.
``(3) E
FFECT OF FAILURE TO NOMINATE .ÐIf a Governor of
a State fails to submit recommendations under this subsection in a timely manner, the President may select, subject to the criteria specified in subsection (g), any local governments of the State to receive assistance under this section.
``(e) U
SES OF TECHNICAL AND FINANCIAL ASSISTANCE.Ð
``(1) I N GENERAL .ÐTechnical and financial assistance pro- vided under this sectionÐ
``(A) shall be used by States and local governments
principally to implement predisaster hazard mitigation
measures that are cost-effective and are described in pro- posals approved by the President under this section; and ``(B) may be usedÐ
``(i) to support effective public-private natural dis-
aster hazard mitigation partnerships;
``(ii) to improve the assessment of a community's
vulnerability to natural hazards; or
President.

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``(iii) to establish hazard mitigation priorities, and
an appropriate hazard mitigation plan, for a commu-
nity.
``(2) D
ISSEMINATION.ÐA State or local government may use
not more than 10 percent of the financial assistance received by the State or local government under this section for a fiscal year to fund activities to disseminate information regarding cost-effective mitigation technologies.
``(f ) A
LLOCATION OF FUNDS.ÐThe amount of financial assistance
made available to a State (including amounts made available to local governments of the State) under this section for a fiscal yearÐ
``(1) shall be not less than the lesser ofÐ
``(A) $500,000; or
``(B) the amount that is equal to 1.0 percent of the
total funds appropriated to carry out this section for the fiscal year;
``(2) shall not exceed 15 percent of the total funds described in paragraph (1)(B); and
``(3) shall be subject to the criteria specified in subsection (g).
``(g) C
RITERIA FOR ASSISTANCE AWARDS.ÐIn determining
whether to provide technical and financial assistance to a State or local government under this section, the President shall take into accountÐ
``(1) the extent and nature of the hazards to be mitigated; ``(2) the degree of commitment of the State or local govern- ment to reduce damages from future natural disasters;
``(3) the degree of commitment by the State or local govern- ment to support ongoing non-Federal support for the hazard mitigation measures to be carried out using the technical and financial assistance;
``(4) the extent to which the hazard mitigation measures to be carried out using the technical and financial assistance contribute to the mitigation goals and priorities established by the State;
``(5) the extent to which the technical and financial assist- ance is consistent with other assistance provided under this Act;
``(6) the extent to which prioritized, cost-effective mitigation activities that produce meaningful and definable outcomes are clearly identified;
``(7) if the State or local government has submitted a mitiga- tion plan under section 322, the extent to which the activities identified under paragraph (6) are consistent with the mitiga- tion plan;
``(8) the opportunity to fund activities that maximize net benefits to society;
``(9) the extent to which assistance will fund mitigation activities in small impoverished communities; and
``(10) such other criteria as the President establishes in consultation with State and local governments.
``(h) F
EDERAL SHARE.Ð
``(1) IN GENERAL .ÐFinancial assistance provided under this section may contribute up to 75 percent of the total cost of mitigation activities approved by the President.

President.

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``(2) SMALL IMPOVERISHED COMMUNITIES .ÐNotwithstanding
paragraph (1), the President may contribute up to 90 percent of the total cost of a mitigation activity carried out in a small impoverished community.
``(i) N
ATIONAL PREDISASTER MITIGATION FUND.Ð
``(1) E STABLISHMENT.ÐThe President may establish in the Treasury of the United States a fund to be known as the `National Predisaster Mitigation Fund', to be used in carrying out this section.
``(2) T
RANSFERS TO FUND .ÐThere shall be deposited in the
FundÐ
``(A) amounts appropriated to carry out this section,
which shall remain available until expended; and
``(B) sums available from gifts, bequests, or donations of services or property received by the President for the purpose of predisaster hazard mitigation.
``(3) E
XPENDITURES FROM FUND .ÐUpon request by the
President, the Secretary of the Treasury shall transfer from the Fund to the President such amounts as the President determines are necessary to provide technical and financial assistance under this section.
``(4) I
NVESTMENT OF AMOUNTS.Ð
``(A) IN GENERAL .ÐThe Secretary of the Treasury shall
invest such portion of the Fund as is not, in the judgment of the Secretary of the Treasury, required to meet current withdrawals. Investments may be made only in interest-
bearing obligations of the United States.
``(B) A
CQUISITION OF OBLIGATIONS .ÐFor the purpose
of investments under subparagraph (A), obligations may
be acquiredÐ
``(i) on original issue at the issue price; or
``(ii) by purchase of outstanding obligations at the
market price.
``(C) S
ALE OF OBLIGATIONS .ÐAny obligation acquired
by the Fund may be sold by the Secretary of the Treasury at the market price.
``(D) C
REDITS TO FUND .ÐThe interest on, and the pro-
ceeds from the sale or redemption of, any obligations held in the Fund shall be credited to and form a part of the Fund.
``(E) T
RANSFERS OF AMOUNTS.Ð
``(i) I N GENERAL .ÐThe amounts required to be
transferred to the Fund under this subsection shall
be transferred at least monthly from the general fund
of the Treasury to the Fund on the basis of estimates
made by the Secretary of the Treasury.
``(ii) A
DJUSTMENTS.ÐProper adjustment shall be
made in amounts subsequently transferred to the
extent prior estimates were in excess of or less than
the amounts required to be transferred.
``( j) L
IMITATION ON TOTAL AMOUNT OF FINANCIAL ASSISTANCE.Ð
The President shall not provide financial assistance under this section in an amount greater than the amount available in the Fund.
``(k) M
ULTIHAZARD ADVISORY MAPS.Ð
``(1) D EFINITION OF MULTIHAZARD ADVISORY MAP .ÐIn this subsection, the term `multihazard advisory map' means a map VerDate 11-MAY-2000 04:55 Dec 06, 2000 Jkt 089139 PO 00390 Frm 00006 Fmt 6580 Sfmt 6581 E:\PUBLAW\PUBL390.106 APPS27 PsN: PUBL390 114 STAT. 1557PUBLIC LAW 106±390ÐOCT. 30, 2000
on which hazard data concerning each type of natural disaster is identified simultaneously for the purpose of showing areas of hazard overlap.
``(2) D
EVELOPMENT OF MAPS .ÐIn consultation with States,
local governments, and appropriate Federal agencies, the Presi- dent shall develop multihazard advisory maps for areas, in not fewer than five States, that are subject to commonly recur- ring natural hazards (including flooding, hurricanes and severe winds, and seismic events).
``(3) U
SE OF TECHNOLOGY .ÐIn developing multihazard
advisory maps under this subsection, the President shall use, to the maximum extent practicable, the most cost-effective and efficient technology available.
``(4) U
SE OF MAPS.Ð
``(A) A DVISORY NATURE .ÐThe multihazard advisory
maps shall be considered to be advisory and shall not
require the development of any new policy by, or impose any new policy on, any government or private entity.
``(B) A
VAILABILITY OF MAPS .ÐThe multihazard advisory
maps shall be made available to the appropriate State
and local governments for the purposes ofÐ
``(i) informing the general public about the risks
of natural hazards in the areas described in paragraph
(2);
``(ii) supporting the activities described in sub-
section (e); and
``(iii) other public uses.
``(l) R
EPORT ON FEDERAL AND STATE ADMINISTRATION.ÐNot
later than 18 months after the date of the enactment of this section, the President, in consultation with State and local governments, shall submit to Congress a report evaluating efforts to implement this section and recommending a process for transferring greater authority and responsibility for administering the assistance pro- gram established under this section to capable States.
``(m) T
ERMINATION OF AUTHORITY.ÐThe authority provided by
this section terminates December 31, 2003.''.
(b) CONFORMING AMENDMENT.ÐTitle II of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5131 et seq.) is amended by striking the title heading and inserting the following:
``TITLE IIÐDISASTER PREPAREDNESS
AND MITIGATION ASSISTANCE''.

SEC. 103. INTERAGENCY TASK FORCE.

Title II of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5131 et seq.) (as amended by section 102(a)) is amended by adding at the end the following:
``SEC. 204. INTERAGENCY TASK FORCE.
``(a) I N GENERAL.ÐThe President shall establish a Federal interagency task force for the purpose of coordinating the implementation of predisaster hazard mitigation programs adminis- tered by the Federal Government.
42 USC 5134.

Deadline.

President.

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``(b) C HAIRPERSON.ÐThe Director of the Federal Emergency Management Agency shall serve as the chairperson of the task force.
``(c) M
EMBERSHIP.ÐThe membership of the task force shall
include representatives ofÐ
``(1) relevant Federal agencies;
``(2) State and local government organizations (including Indian tribes); and
``(3) the American Red Cross.''.

SEC. 104. MITIGATION PLANNING; MINIMUM STANDARDS FOR PUBLIC AND PRIVATE STRUCTURES.
(a) I N GENERAL.ÐTitle III of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5141 et seq.) is amended by adding at the end the following:
``SEC. 322. MITIGATION PLANNING.
``(a) R EQUIREMENT OF MITIGATION PLAN.ÐAs a condition of receipt of an increased Federal share for hazard mitigation meas- ures under subsection (e), a State, local, or tribal government shall develop and submit for approval to the President a mitigation plan that outlines processes for identifying the natural hazards, risks, and vulnerabilities of the area under the jurisdiction of the government.
``(b) L
OCAL AND TRIBAL PLANS.ÐEach mitigation plan developed
by a local or tribal government shallÐ
``(1) describe actions to mitigate hazards, risks, and
vulnerabilities identified under the plan; and
``(2) establish a strategy to implement those actions.
``(c) STATE PLANS.ÐThe State process of development of a miti- gation plan under this section shallÐ
``(1) identify the natural hazards, risks, and vulnerabilities of areas in the State;
``(2) support development of local mitigation plans;
``(3) provide for technical assistance to local and tribal governments for mitigation planning; and
``(4) identify and prioritize mitigation actions that the State will support, as resources become available.
``(d) F
UNDING.Ð
``(1) IN GENERAL .ÐFederal contributions under section 404 may be used to fund the development and updating of mitiga- tion plans under this section.
``(2) M
AXIMUM FEDERAL CONTRIBUTION .ÐWith respect to
any mitigation plan, a State, local, or tribal government may use an amount of Federal contributions under section 404 not to exceed 7 percent of the amount of such contributions avail- able to the government as of a date determined by the govern- ment.
``(e) I

NCREASED FEDERAL SHARE FOR HAZARD MITIGATION MEAS-
URES.Ð
``(1) I N GENERAL .ÐIf, at the time of the declaration of a major disaster, a State has in effect an approved mitigation plan under this section, the President may increase to 20 per- cent, with respect to the major disaster, the maximum percent- age specified in the last sentence of section 404(a).
``(2) F
ACTORS FOR CONSIDERATION.ÐIn determining whether
to increase the maximum percentage under paragraph (1), the President shall consider whether the State has establishedÐ President.
42 USC 5165.

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``(A) eligibility criteria for property acquisition and other types of mitigation measures;
``(B) requirements for cost effectiveness that are related to the eligibility criteria;
``(C) a system of priorities that is related to the eligi- bility criteria; and
``(D) a process by which an assessment of the effective- ness of a mitigation action may be carried out after the mitigation action is complete.
``SEC. 323. MINIMUM STANDARDS FOR PUBLIC AND PRIVATE STRUC- TURES.
``(a) I N GENERAL.ÐAs a condition of receipt of a disaster loan or grant under this ActÐ
``(1) the recipient shall carry out any repair or construction to be financed with the loan or grant in accordance with applicable standards of safety, decency, and sanitation and in conformity with applicable codes, specifications, and stand- ards; and
``(2) the President may require safe land use and construc- tion practices, after adequate consultation with appropriate State and local government officials.
``(b) E
VIDENCE OF COMPLIANCE.ÐA recipient of a disaster loan
or grant under this Act shall provide such evidence of compliance with this section as the President may require by regulation.''. (b) L
OSSES FROM STRAIGHT LINE WINDS.ÐThe President shall
increase the maximum percentage specified in the last sentence of section 404(a) of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5170c(a)) from 15 percent to 20 percent with respect to any major disaster that is in the State of Minnesota and for which assistance is being provided as of the date of the enactment of this Act, except that additional assistance provided under this subsection shall not exceed $6,000,000. The mitigation measures assisted under this subsection shall be related to losses in the State of Minnesota from straight line winds.
(c) C
ONFORMING AMENDMENTS.Ð
(1) Section 404(a) of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5170c(a)) is
amendedÐ
(A) in the second sentence, by striking ``section 409'' and inserting ``section 322''; and
(B) in the third sentence, by striking ``The total'' and inserting ``Subject to section 322, the total''.
(2) Section 409 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5176) is repealed.

TITLE IIÐSTREAMLINING AND COST

REDUCTION
SEC. 201. TECHNICAL AMENDMENTS.

Section 311 of the Robert T. Stafford Disaster Relief and Emer- gency Assistance Act (42 U.S.C. 5154) is amended in subsections (a)(1), (b), and (c) by striking ``section 803 of the Public Works and Economic Development Act of 1965'' each place it appears President.
42 USC 5165a.

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and inserting ``section 209(c)(2) of the Public Works and Economic Development Act of 1965 (42 U.S.C. 3149(c)(2))''.

SEC. 202. MANAGEMENT COSTS.
(a) I N GENERAL.ÐTitle III of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5141 et seq.) (as amended by section 104(a)) is amended by adding at the end the following:
``SEC. 324. MANAGEMENT COSTS.
``(a) D EFINITION OF MANAGEMENT COST.ÐIn this section, the term `management cost' includes any indirect cost, any administra- tive expense, and any other expense not directly chargeable to a specific project under a major disaster, emergency, or disaster preparedness or mitigation activity or measure.
``(b) E
STABLISHMENT OF MANAGEMENT COST RATES.ÐNotwith-
standing any other provision of law (including any administrative rule or guidance), the President shall by regulation establish management cost rates, for grantees and subgrantees, that shall be used to determine contributions under this Act for management costs.
``(c) R
EVIEW.ÐThe President shall review the management cost
rates established under subsection (b) not later than 3 years after the date of establishment of the rates and periodically thereafter.''. (b) A
PPLICABILITY.Ð
(1) IN GENERAL .ÐSubject to paragraph (2), subsections (a) and (b) of section 324 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (as added by subsection (a)) shall apply to major disasters declared under that Act on or after the date of the enactment of this Act.
(2) I
NTERIM AUTHORITY.ÐUntil the date on which the Presi-
dent establishes the management cost rates under section 324 of the Robert T. Stafford Disaster Relief and Emergency Assist- ance Act (as added by subsection (a)), section 406(f ) of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5172(f )) (as in effect on the day before the date of the enactment of this Act) shall be used to establish management cost rates.

SEC. 203. PUBLIC NOTICE, COMMENT, AND CONSULTATION REQUIRE- MENTS.

Title III of the Robert T. Stafford Disaster Relief and Emer- gency Assistance Act (42 U.S.C. 5141 et seq.) (as amended by section 202(a)) is amended by adding at the end the following:
``SEC. 325. PUBLIC NOTICE, COMMENT, AND CONSULTATION REQUIRE- MENTS.
``(a) PUBLIC NOTICE AND COMMENT CONCERNING NEW OR MODI- FIED POLICIES.Ð
``(1) I N GENERAL .ÐThe President shall provide for public notice and opportunity for comment before adopting any new or modified policy thatÐ
``(A) governs implementation of the public assistance
program administered by the Federal Emergency Manage-
ment Agency under this Act; and
``(B) could result in a significant reduction of assistance under the program.

President.
42 USC 5165c.
42 USC 5165b
note.

Deadline.

Regulations.
42 USC 5165b.

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``(2) A PPLICATION.ÐAny policy adopted under paragraph
(1) shall apply only to a major disaster or emergency declared on or after the date on which the policy is adopted.
``(b) C
ONSULTATION CONCERNING INTERIM POLICIES.Ð
``(1) IN GENERAL.ÐBefore adopting any interim policy under the public assistance program to address specific conditions that relate to a major disaster or emergency that has been declared under this Act, the President, to the maximum extent practicable, shall solicit the views and recommendations of grantees and subgrantees with respect to the major disaster or emergency concerning the potential interim policy, if the interim policy is likelyÐ
``(A) to result in a significant reduction of assistance to applicants for the assistance with respect to the major disaster or emergency; or
``(B) to change the terms of a written agreement to
which the Federal Government is a party concerning the
declaration of the major disaster or emergency.
``(2) N
O LEGAL RIGHT OF ACTION .ÐNothing in this sub-
section confers a legal right of action on any party.
``(c) P
UBLIC ACCESS.ÐThe President shall promote public access to policies governing the implementation of the public assistance program.''.

SEC. 204. STATE ADMINISTRATION OF HAZARD MITIGATION GRANT PROGRAM.

Section 404 of the Robert T. Stafford Disaster Relief and Emer- gency Assistance Act (42 U.S.C. 5170c) is amended by adding at the end the following:
``(c) P
ROGRAM ADMINISTRATION BY STATES.Ð
``(1) I N GENERAL .ÐA State desiring to administer the
hazard mitigation grant program established by this section with respect to hazard mitigation assistance in the State may submit to the President an application for the delegation of the authority to administer the program.
``(2) C
RITERIA.ÐThe President, in consultation and
coordination with States and local governments, shall establish criteria for the approval of applications submitted under para- graph (1). The criteria shall include, at a minimumÐ
``(A) the demonstrated ability of the State to manage
the grant program under this section;
``(B) there being in effect an approved mitigation plan under section 322; and
``(C) a demonstrated commitment to mitigation activi-
ties.
``(3) A
PPROVAL.ÐThe President shall approve an application
submitted under paragraph (1) that meets the criteria estab- lished under paragraph (2).
``(4) W
ITHDRAWAL OF APPROVAL .ÐIf, after approving an
application of a State submitted under paragraph (1), the Presi- dent determines that the State is not administering the hazard mitigation grant program established by this section in a manner satisfactory to the President, the President shall with- draw the approval.
``(5) A
UDITS.ÐThe President shall provide for periodic
audits of the hazard mitigation grant programs administered by States under this subsection.''.

President.

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SEC. 205. ASSISTANCE TO REPAIR, RESTORE, RECONSTRUCT, OR REPLACE DAMAGED FACILITIES.
(a) CONTRIBUTIONS.ÐSection 406 of the Robert T. Stafford Dis- aster Relief and Emergency Assistance Act (42 U.S.C. 5172) is amended by striking subsection (a) and inserting the following:
``(a) C
ONTRIBUTIONS.Ð
``(1) IN GENERAL.ÐThe President may make contributionsÐ ``(A) to a State or local government for the repair,
restoration, reconstruction, or replacement of a public facility damaged or destroyed by a major disaster and
for associated expenses incurred by the government; and ``(B) subject to paragraph (3), to a person that owns
or operates a private nonprofit facility damaged or
destroyed by a major disaster for the repair, restoration, reconstruction, or replacement of the facility and for associ- ated expenses incurred by the person.
``(2) A
SSOCIATED EXPENSES .ÐFor the purposes of this sec-
tion, associated expenses shall includeÐ
``(A) the costs of mobilizing and employing the National Guard for performance of eligible work;
``(B) the costs of using prison labor to perform eligible work, including wages actually paid, transportation to a worksite, and extraordinary costs of guards, food, and
lodging; and
``(C) base and overtime wages for the employees and
extra hires of a State, local government, or person described in paragraph (1) that perform eligible work, plus fringe benefits on such wages to the extent that such benefits were being paid before the major disaster.
``(3) C

ONDITIONS FOR ASSISTANCE TO PRIVATE NONPROFIT
FACILITIES.Ð
``(A) I N GENERAL .ÐThe President may make contribu-
tions to a private nonprofit facility under paragraph (1)(B) only ifÐ
``(i) the facility provides critical services (as defined by the President) in the event of a major disaster;
or
``(ii) the owner or operator of the facilityÐ
``(I) has applied for a disaster loan under sec-
tion 7(b) of the Small Business Act (15 U.S.C.
636(b)); and
``(II)(aa) has been determined to be ineligible
for such a loan; or
``(bb) has obtained such a loan in the maximum
amount for which the Small Business Administra-
tion determines the facility is eligible.
``(B) D
EFINITION OF CRITICAL SERVICES .ÐIn this para-
graph, the term `critical services' includes power, water (including water provided by an irrigation organization or facility), sewer, wastewater treatment, communications, and emergency medical care.
``(4) N
OTIFICATION TO CONGRESS .ÐBefore making any con-
tribution under this section in an amount greater than
$20,000,000, the President shall notifyÐ
``(A) the Committee on Environment and Public Works
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``(B) the Committee on Transportation and Infrastruc-
ture of the House of Representatives;
``(C) the Committee on Appropriations of the Senate;
and
``(D) the Committee on Appropriations of the House
of Representatives.''.
(b) F EDERAL SHARE.ÐSection 406 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5172) is amended by striking subsection (b) and inserting the following:
``(b) F
EDERAL SHARE.Ð
``(1) MINIMUM FEDERAL SHARE .ÐExcept as provided in para- graph (2), the Federal share of assistance under this section shall be not less than 75 percent of the eligible cost of repair, restoration, reconstruction, or replacement carried out under this section.
``(2) R
EDUCED FEDERAL SHARE .ÐThe President shall
promulgate regulations to reduce the Federal share of assist- ance under this section to not less than 25 percent in the case of the repair, restoration, reconstruction, or replacement of any eligible public facility or private nonprofit facility fol- lowing an event associated with a major disasterÐ
``(A) that has been damaged, on more than one occasion
within the preceding 10-year period, by the same type
of event; and
``(B) the owner of which has failed to implement appro- priate mitigation measures to address the hazard that
caused the damage to the facility.''.
(c) L
ARGE IN-LIEU CONTRIBUTIONS.ÐSection 406 of the Robert
T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5172) is amended by striking subsection (c) and inserting the fol- lowing:
``(c) L
ARGE IN-LIEU CONTRIBUTIONS.Ð
``(1) FOR PUBLIC FACILITIES.Ð
``(A) I N GENERAL .ÐIn any case in which a State or
local government determines that the public welfare would not best be served by repairing, restoring, reconstructing, or replacing any public facility owned or controlled by the State or local government, the State or local govern- ment may elect to receive, in lieu of a contribution under subsection (a)(1)(A), a contribution in an amount equal to 75 percent of the Federal share of the Federal estimate of the cost of repairing, restoring, reconstructing, or replacing the facility and of management expenses.
``(B) A
REAS WITH UNSTABLE SOIL .ÐIn any case in which
a State or local government determines that the public
welfare would not best be served by repairing, restoring, reconstructing, or replacing any public facility owned or controlled by the State or local government because soil instability in the disaster area makes repair, restoration, reconstruction, or replacement infeasible, the State or local government may elect to receive, in lieu of a contribution under subsection (a)(1)(A), a contribution in an amount equal to 90 percent of the Federal share of the Federal estimate of the cost of repairing, restoring, reconstructing, or replacing the facility and of management expenses.
``(C) U
SE OF FUNDS .ÐFunds contributed to a State
or local government under this paragraph may be usedÐ
President.

Regulations.

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``(i) to repair, restore, or expand other selected
public facilities;
``(ii) to construct new facilities; or
``(iii) to fund hazard mitigation measures that the
State or local government determines to be necessary
to meet a need for governmental services and functions
in the area affected by the major disaster.
``(D) L
IMITATIONS.ÐFunds made available to a State
or local government under this paragraph may not be used forÐ
``(i) any public facility located in a regulatory
floodway (as defined in section 59.1 of title 44, Code
of Federal Regulations (or a successor regulation)); or ``(ii) any uninsured public facility located in a spe-
cial flood hazard area identified by the Director of
the Federal Emergency Management Agency under the
National Flood Insurance Act of 1968 (42 U.S.C. 4001
et seq.).
``(2) F
OR PRIVATE NONPROFIT FACILITIES .Ð
``(A) IN GENERAL .ÐIn any case in which a person that
owns or operates a private nonprofit facility determines that the public welfare would not best be served by
repairing, restoring, reconstructing, or replacing the
facility, the person may elect to receive, in lieu of a con- tribution under subsection (a)(1)(B), a contribution in an amount equal to 75 percent of the Federal share of the
Federal estimate of the cost of repairing, restoring, recon- structing, or replacing the facility and of management
expenses.
``(B) U
SE OF FUNDS .ÐFunds contributed to a person
under this paragraph may be usedÐ
``(i) to repair, restore, or expand other selected
private nonprofit facilities owned or operated by the
person;
``(ii) to construct new private nonprofit facilities
to be owned or operated by the person; or
``(iii) to fund hazard mitigation measures that the
person determines to be necessary to meet a need
for the person's services and functions in the area
affected by the major disaster.
``(C) L
IMITATIONS.ÐFunds made available to a person
under this paragraph may not be used forÐ
``(i) any private nonprofit facility located in a regu- latory floodway (as defined in section 59.1 of title 44, Code of Federal Regulations (or a successor regula-
tion)); or
``(ii) any uninsured private nonprofit facility
located in a special flood hazard area identified by
the Director of the Federal Emergency Management
Agency under the National Flood Insurance Act of
1968 (42 U.S.C. 4001 et seq.).''.
(d) E
LIGIBLE COST.Ð
(1) I N GENERAL .ÐSection 406 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5172) is amended by striking subsection (e) and inserting the fol- lowing:
``(e) E
LIGIBLE COST.Ð
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``(1) DETERMINATION.Ð
``(A) I N GENERAL .ÐFor the purposes of this section,
the President shall estimate the eligible cost of repairing, restoring, reconstructing, or replacing a public facility or private nonprofit facilityÐ
``(i) on the basis of the design of the facility as
the facility existed immediately before the major dis-
aster; and
``(ii) in conformity with codes, specifications, and
standards (including floodplain management and
hazard mitigation criteria required by the President
or under the Coastal Barrier Resources Act (16 U.S.C.
3501 et seq.)) applicable at the time at which the
disaster occurred.
``(B) C
OST ESTIMATION PROCEDURES.Ð
``(i) I N GENERAL .ÐSubject to paragraph (2), the
President shall use the cost estimation procedures
established under paragraph (3) to determine the
eligible cost under this subsection.
``(ii) A
PPLICABILITY.ÐThe procedures specified in
this paragraph and paragraph (2) shall apply only
to projects the eligible cost of which is equal to or
greater than the amount specified in section 422.
``(2) M
ODIFICATION OF ELIGIBLE COST .Ð
``(A) ACTUAL COST GREATER THAN CEILING PERCENTAGE
OF ESTIMATED COST .ÐIn any case in which the actual cost of repairing, restoring, reconstructing, or replacing a facility under this section is greater than the ceiling percentage established under paragraph (3) of the cost estimated under paragraph (1), the President may determine that the
eligible cost includes a portion of the actual cost of the repair, restoration, reconstruction, or replacement that exceeds the cost estimated under paragraph (1).
``(B) A
CTUAL COST LESS THAN ESTIMATED COST .Ð
``(i) G REATER THAN OR EQUAL TO FLOOR PERCENT -
AGE OF ESTIMATED COST .ÐIn any case in which the
actual cost of repairing, restoring, reconstructing, or replacing a facility under this section is less than 100 percent of the cost estimated under paragraph (1),
but is greater than or equal to the floor percentage
established under paragraph (3) of the cost estimated
under paragraph (1), the State or local government
or person receiving funds under this section shall use
the excess funds to carry out cost-effective activities that reduce the risk of future damage, hardship, or
suffering from a major disaster.
``(ii) L

ESS THAN FLOOR PERCENTAGE OF ESTIMATED
COST.ÐIn any case in which the actual cost of
repairing, restoring, reconstructing, or replacing a
facility under this section is less than the floor percent- age established under paragraph (3) of the cost esti-
mated under paragraph (1), the State or local govern-
ment or person receiving assistance under this section
shall reimburse the President in the amount of the
difference.
``(C) N
O EFFECT ON APPEALS PROCESS .ÐNothing in this
paragraph affects any right of appeal under section 423.

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``(3) EXPERT PANEL.Ð
``(A) ESTABLISHMENT.ÐNot later than 18 months after
the date of the enactment of this paragraph, the President, acting through the Director of the Federal Emergency
Management Agency, shall establish an expert panel, which shall include representatives from the construction industry and State and local government.
``(B) D
UTIES.ÐThe expert panel shall develop rec-
ommendations concerningÐ
``(i) procedures for estimating the cost of repairing,
restoring, reconstructing, or replacing a facility con- sistent with industry practices; and
``(ii) the ceiling and floor percentages referred to
in paragraph (2).
``(C) R
EGULATIONS.ÐTaking into account the rec-
ommendations of the expert panel under subparagraph
(B), the President shall promulgate regulations that
establishÐ
``(i) cost estimation procedures described in
subparagraph (B)(i); and
``(ii) the ceiling and floor percentages referred to
in paragraph (2).
``(D) R
EVIEW BY PRESIDENT .ÐNot later than 2 years
after the date of promulgation of regulations under
subparagraph (C) and periodically thereafter, the President shall review the cost estimation procedures and the ceiling and floor percentages established under this paragraph. ``(E) R
EPORT TO CONGRESS .ÐNot later than 1 year after
the date of promulgation of regulations under subpara-
graph (C), 3 years after that date, and at the end of
each 2-year period thereafter, the expert panel shall submit to Congress a report on the appropriateness of the cost estimation procedures.
``(4) S
PECIAL RULE .ÐIn any case in which the facility being
repaired, restored, reconstructed, or replaced under this section was under construction on the date of the major disaster, the cost of repairing, restoring, reconstructing, or replacing the facility shall include, for the purposes of this section, only those costs that, under the contract for the construction, are the owner's responsibility and not the contractor's responsi- bility.''.
(2) E
FFECTIVE DATE .ÐThe amendment made by paragraph
(1) takes effect on the date of the enactment of this Act and applies to funds appropriated after the date of the enactment of this Act, except that paragraph (1) of section 406(e) of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (as amended by paragraph (1)) takes effect on the date on which the cost estimation procedures established under para- graph (3) of that section take effect.
(e) C
ONFORMING AMENDMENT.ÐSection 406 of the Robert T.

Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5172) is amended by striking subsection (f ).

SEC. 206. FEDERAL ASSISTANCE TO INDIVIDUALS AND HOUSEHOLDS. (a) IN GENERAL.ÐSection 408 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5174) is amended to read as follows:
42 USC 5172
note.

Deadline.

President.

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``SEC. 408. FEDERAL ASSISTANCE TO INDIVIDUALS AND HOUSEHOLDS. ``(a) IN GENERAL.Ð
``(1) P ROVISION OF ASSISTANCE .ÐIn accordance with this section, the President, in consultation with the Governor of a State, may provide financial assistance, and, if necessary, direct services, to individuals and households in the State who, as a direct result of a major disaster, have necessary expenses and serious needs in cases in which the individuals and house- holds are unable to meet such expenses or needs through other means.
``(2) R
ELATIONSHIP TO OTHER ASSISTANCE .ÐUnder para-
graph (1), an individual or household shall not be denied assist- ance under paragraph (1), (3), or (4) of subsection (c) solely on the basis that the individual or household has not applied for or received any loan or other financial assistance from the Small Business Administration or any other Federal agency. ``(b) H
OUSING ASSISTANCE.Ð
``(1) E LIGIBILITY.ÐThe President may provide financial or other assistance under this section to individuals and house- holds to respond to the disaster-related housing needs of individuals and households who are displaced from their predisaster primary residences or whose predisaster primary residences are rendered uninhabitable as a result of damage caused by a major disaster.
``(2) D

ETERMINATION OF APPROPRIATE TYPES OF ASSIST -
ANCE.Ð
``(A) I N GENERAL .ÐThe President shall determine
appropriate types of housing assistance to be provided
under this section to individuals and households described in subsection (a)(1) based on considerations of cost effective- ness, convenience to the individuals and households, and such other factors as the President may consider appro- priate.
``(B) M
ULTIPLE TYPES OF ASSISTANCE .ÐOne or more
types of housing assistance may be made available under this section, based on the suitability and availability of the types of assistance, to meet the needs of individuals and households in the particular disaster situation.
``(c) T
YPES OF HOUSING ASSISTANCE.Ð
``(1) TEMPORARY HOUSING.Ð
``(A) FINANCIAL ASSISTANCE.Ð
``(i) I N GENERAL .ÐThe President may provide
financial assistance to individuals or households to
rent alternate housing accommodations, existing rental
units, manufactured housing, recreational vehicles, or
other readily fabricated dwellings.
``(ii) A
MOUNT.ÐThe amount of assistance under
clause (i) shall be based on the fair market rent for
the accommodation provided plus the cost of any
transportation, utility hookups, or unit installation not provided directly by the President.
``(B) D
IRECT ASSISTANCE.Ð
``(i) IN GENERAL .ÐThe President may provide tem-
porary housing units, acquired by purchase or lease,
directly to individuals or households who, because of
a lack of available housing resources, would be unable
President.

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to make use of the assistance provided under subpara-
graph (A).
``(ii) P ERIOD OF ASSISTANCE .ÐThe President may
not provide direct assistance under clause (i) with
respect to a major disaster after the end of the 18-
month period beginning on the date of the declaration
of the major disaster by the President, except that
the President may extend that period if the President
determines that due to extraordinary circumstances
an extension would be in the public interest.
``(iii) C
OLLECTION OF RENTAL CHARGES .ÐAfter the
end of the 18-month period referred to in clause (ii),
the President may charge fair market rent for each
temporary housing unit provided.
``(2) R
EPAIRS.Ð
``(A) IN GENERAL.ÐThe President may provide financial
assistance forÐ
``(i) the repair of owner-occupied private residences,
utilities, and residential infrastructure (such as a pri- vate access route) damaged by a major disaster to
a safe and sanitary living or functioning condition;
and
``(ii) eligible hazard mitigation measures that
reduce the likelihood of future damage to such resi-
dences, utilities, or infrastructure.
``(B) R
ELATIONSHIP TO OTHER ASSISTANCE .ÐA recipient
of assistance provided under this paragraph shall not be required to show that the assistance can be met through other means, except insurance proceeds.
``(C) M
AXIMUM AMOUNT OF ASSISTANCE .ÐThe amount
of assistance provided to a household under this paragraph shall not exceed $5,000, as adjusted annually to reflect changes in the Consumer Price Index for All Urban Con-
sumers published by the Department of Labor.
``(3) R
EPLACEMENT.Ð
``(A) IN GENERAL.ÐThe President may provide financial
assistance for the replacement of owner-occupied private residences damaged by a major disaster.
``(B) M
AXIMUM AMOUNT OF ASSISTANCE .ÐThe amount
of assistance provided to a household under this paragraph shall not exceed $10,000, as adjusted annually to reflect changes in the Consumer Price Index for All Urban Con-
sumers published by the Department of Labor.
``(C) A

PPLICABILITY OF FLOOD INSURANCE REQUIRE -
MENT.ÐWith respect to assistance provided under this
paragraph, the President may not waive any provision
of Federal law requiring the purchase of flood insurance as a condition of the receipt of Federal disaster assistance. ``(4) P
ERMANENT HOUSING CONSTRUCTION .ÐThe President
may provide financial assistance or direct assistance to individ- uals or households to construct permanent housing in insular areas outside the continental United States and in other remote locations in cases in whichÐ
``(A) no alternative housing resources are available;
and
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``(B) the types of temporary housing assistance
described in paragraph (1) are unavailable, infeasible, or not cost-effective.
``(d) T

ERMS AND CONDITIONS RELATING TO HOUSING ASSIST-
ANCE.Ð
``(1) SITES.Ð
``(A) IN GENERAL.ÐAny readily fabricated dwelling pro-
vided under this section shall, whenever practicable, be located on a site thatÐ
``(i) is complete with utilities; and
``(ii) is provided by the State or local government,
by the owner of the site, or by the occupant who
was displaced by the major disaster.
``(B) S
ITES PROVIDED BY THE PRESIDENT .ÐA readily
fabricated dwelling may be located on a site provided by the President if the President determines that such a site would be more economical or accessible.
``(2) D
ISPOSAL OF UNITS.Ð
``(A) SALE TO OCCUPANTS.Ð
``(i) I N GENERAL .ÐNotwithstanding any other
provision of law, a temporary housing unit purchased
under this section by the President for the purpose
of housing disaster victims may be sold directly to
the individual or household who is occupying the unit
if the individual or household lacks permanent housing. ``(ii) S
ALE PRICE .ÐA sale of a temporary housing
unit under clause (i) shall be at a price that is fair
and equitable.
``(iii) D
EPOSIT OF PROCEEDS .ÐNotwithstanding any
other provision of law, the proceeds of a sale under
clause (i) shall be deposited in the appropriate Disaster Relief Fund account.
``(iv) H
AZARD AND FLOOD INSURANCE .ÐA sale of
a temporary housing unit under clause (i) shall be
made on the condition that the individual or household
purchasing the housing unit agrees to obtain and main-
tain hazard and flood insurance on the housing unit.
``(v) U
SE OF GSA SERVICES .ÐThe President may
use the services of the General Services Administration to accomplish a sale under clause (i).
``(B) O
THER METHODS OF DISPOSAL .ÐIf not disposed
of under subparagraph (A), a temporary housing unit pur- chased under this section by the President for the purpose of housing disaster victimsÐ
``(i) may be sold to any person; or
``(ii) may be sold, transferred, donated, or otherwise
made available directly to a State or other govern-
mental entity or to a voluntary organization for the
sole purpose of providing temporary housing to disaster victims in major disasters and emergencies if, as a
condition of the sale, transfer, or donation, the State, other governmental agency, or voluntary organization
agreesÐ
``(I) to comply with the nondiscrimination
provisions of section 308; and
``(II) to obtain and maintain hazard and flood
insurance on the housing unit.

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``(e) FINANCIAL ASSISTANCE TO ADDRESS OTHER NEEDS.Ð
``(1) MEDICAL, DENTAL, AND FUNERAL EXPENSES .ÐThe Presi- dent, in consultation with the Governor of a State, may provide financial assistance under this section to an individual or house- hold in the State who is adversely affected by a major disaster to meet disaster-related medical, dental, and funeral expenses. ``(2) P

ERSONAL PROPERTY , TRANSPORTATION, AND OTHER
EXPENSES.ÐThe President, in consultation with the Governor of a State, may provide financial assistance under this section to an individual or household described in paragraph (1) to address personal property, transportation, and other necessary expenses or serious needs resulting from the major disaster. ``(f ) S
TATE ROLE.Ð
``(1) F INANCIAL ASSISTANCE TO ADDRESS OTHER NEEDS .Ð
``(A) G RANT TO STATE .ÐSubject to subsection (g), a
Governor may request a grant from the President to provide financial assistance to individuals and households in the State under subsection (e).
``(B) A
DMINISTRATIVE COSTS .ÐA State that receives a
grant under subparagraph (A) may expend not more than
5 percent of the amount of the grant for the administrative costs of providing financial assistance to individuals and households in the State under subsection (e).
``(2) A
CCESS TO RECORDS .ÐIn providing assistance to
individuals and households under this section, the President shall provide for the substantial and ongoing involvement of the States in which the individuals and households are located, including by providing to the States access to the electronic records of individuals and households receiving assistance under this section in order for the States to make available any additional State and local assistance to the individuals and households.
``(g) C
OST SHARING.Ð
``(1) F EDERAL SHARE .ÐExcept as provided in paragraph
(2), the Federal share of the costs eligible to be paid using assistance provided under this section shall be 100 percent. ``(2) F
INANCIAL ASSISTANCE TO ADDRESS OTHER NEEDS .Ð
In the case of financial assistance provided under subsection (e)Ð
``(A) the Federal share shall be 75 percent; and
``(B) the non-Federal share shall be paid from funds
made available by the State.
``(h) M
AXIMUM AMOUNT OF ASSISTANCE.Ð
``(1) IN GENERAL .ÐNo individual or household shall receive financial assistance greater than $25,000 under this section with respect to a single major disaster.
``(2) A
DJUSTMENT OF LIMIT .ÐThe limit established under
paragraph (1) shall be adjusted annually to reflect changes in the Consumer Price Index for All Urban Consumers pub- lished by the Department of Labor.
``(i) R
ULES AND REGULATIONS.ÐThe President shall prescribe
rules and regulations to carry out this section, including criteria, standards, and procedures for determining eligibility for assist- ance.''.
(b) C
ONFORMING AMENDMENT.ÐSection 502(a)(6) of the Robert
T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5192(a)(6)) is amended by striking ``temporary housing''.

President.

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(c) E LIMINATION OF INDIVIDUAL AND FAMILY GRANT PRO-
GRAMS.ÐSection 411 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5178) is repealed.
(d) E FFECTIVE DATE.ÐThe amendments made by this section take effect 18 months after the date of the enactment of this Act.

SEC. 207. COMMUNITY DISASTER LOANS.

Section 417 of the Robert T. Stafford Disaster Relief and Emer- gency Assistance Act (42 U.S.C. 5184) is amendedÐ
(1) by striking ``(a) The President'' and inserting the fol- lowing:
``(a) I
N GENERAL.ÐThe President'';
(2) by striking ``The amount'' and inserting the following:
``(b) AMOUNT.ÐThe amount'';
(3) by striking ``Repayment'' and inserting the following:
``(c) REPAYMENT.Ð
``(1) CANCELLATION.ÐRepayment'';
(4) by striking ``(b) Any loans'' and inserting the following:
``(d) EFFECT ON OTHER ASSISTANCE.ÐAny loans'';
(5) in subsection (b) (as designated by paragraph (2))Ð (A) by striking ``and shall'' and inserting ``shall''; and (B) by inserting before the period at the end the fol-
lowing: ``, and shall not exceed $5,000,000''; and
(6) in subsection (c) (as designated by paragraph (3)), by adding at the end the following:
``(2) C
ONDITION ON CONTINUING ELIGIBILITY .ÐA local
government shall not be eligible for further assistance under this section during any period in which the local government is in arrears with respect to a required repayment of a loan under this section.''.

SEC. 208. REPORT ON STATE MANAGEMENT OF SMALL DISASTERS INI- TIATIVE.

Not later than 3 years after the date of the enactment of this Act, the President shall submit to Congress a report describing the results of the State Management of Small Disasters Initiative, includingÐ
(1) identification of any administrative or financial benefits of the initiative; and
(2) recommendations concerning the conditions, if any,
under which States should be allowed the option to administer parts of the assistance program under section 406 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5172).

SEC. 209. STUDY REGARDING COST REDUCTION.

Not later than 3 years after the date of the enactment of this Act, the Director of the Congressional Budget Office shall complete a study estimating the reduction in Federal disaster assist- ance that has resulted and is likely to result from the enactment of this Act.

Deadline.
42 USC 5121
note.

Deadline.
42 USC 5121
note.
42 USC 5174
note.

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TITLE IIIÐMISCELLANEOUS
SEC. 301. TECHNICAL CORRECTION OF SHORT TITLE.

The first section of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5121 note) is amended to read as follows:
``SECTION 1. SHORT TITLE.
``This Act may be cited as the `Robert T. Stafford Disaster Relief and Emergency Assistance Act'.''.

SEC. 302. DEFINITIONS.

Section 102 of the Robert T. Stafford Disaster Relief and Emer- gency Assistance Act (42 U.S.C. 5122) is amendedÐ
(1) in each of paragraphs (3) and (4), by striking ``the Northern'' and all that follows through ``Pacific Islands'' and inserting ``and the Commonwealth of the Northern Mariana Islands'';
(2) by striking paragraph (6) and inserting the following:
``(6) L
OCAL GOVERNMENT .ÐThe term `local government'
meansÐ
``(A) a county, municipality, city, town, township, local public authority, school district, special district, intrastate district, council of governments (regardless of whether the council of governments is incorporated as a nonprofit cor- poration under State law), regional or interstate govern- ment entity, or agency or instrumentality of a local govern- ment;
``(B) an Indian tribe or authorized tribal organization, or Alaska Native village or organization; and
``(C) a rural community, unincorporated town or village, or other public entity, for which an application for assist- ance is made by a State or political subdivision of a State.''; and
(3) in paragraph (9), by inserting ``irrigation,'' after ``utility,''.

SEC. 303. FIRE MANAGEMENT ASSISTANCE.
(a) IN GENERAL.ÐSection 420 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5187) is amended to read as follows:
``SEC. 420. FIRE MANAGEMENT ASSISTANCE.
``(a) IN GENERAL.ÐThe President is authorized to provide assist- ance, including grants, equipment, supplies, and personnel, to any State or local government for the mitigation, management, and control of any fire on public or private forest land or grassland that threatens such destruction as would constitute a major dis- aster.
``(b) C

OORDINATION WITH STATE AND TRIBAL DEPARTMENTS OF
FORESTRY.ÐIn providing assistance under this section, the Presi- dent shall coordinate with State and tribal departments of forestry. ``(c) ESSENTIAL ASSISTANCE.ÐIn providing assistance under this section, the President may use the authority provided under section 403.

President.

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``(d) R ULES AND REGULATIONS.ÐThe President shall prescribe such rules and regulations as are necessary to carry out this sec- tion.''.
(b) E
FFECTIVE DATE.ÐThe amendment made by subsection (a)
takes effect 1 year after the date of the enactment of this Act.

SEC. 304. DISASTER GRANT CLOSEOUT PROCEDURES.

Title VII of the Robert T. Stafford Disaster Relief and Emer- gency Assistance Act (42 U.S.C. 5101 et seq.) is amended by adding at the end the following:
``SEC. 705. DISASTER GRANT CLOSEOUT PROCEDURES.
``(a) STATUTE OF LIMITATIONS.Ð
``(1) I N GENERAL .ÐExcept as provided in paragraph (2), no administrative action to recover any payment made to a State or local government for disaster or emergency assistance under this Act shall be initiated in any forum after the date that is 3 years after the date of transmission of the final expenditure report for the disaster or emergency.
``(2) F
RAUD EXCEPTION .ÐThe limitation under paragraph
(1) shall apply unless there is evidence of civil or criminal fraud.
``(b) R
EBUTTAL OF PRESUMPTION OF RECORD MAINTENANCE.Ð
``(1) IN GENERAL.ÐIn any dispute arising under this section after the date that is 3 years after the date of transmission of the final expenditure report for the disaster or emergency, there shall be a presumption that accounting records were maintained that adequately identify the source and application of funds provided for financially assisted activities.
``(2) A
FFIRMATIVE EVIDENCE .ÐThe presumption described
in paragraph (1) may be rebutted only on production of affirma- tive evidence that the State or local government did not main- tain documentation described in that paragraph.
``(3) I
NABILITY TO PRODUCE DOCUMENTATION .ÐThe inability
of the Federal, State, or local government to produce source documentation supporting expenditure reports later than 3 years after the date of transmission of the final expenditure report shall not constitute evidence to rebut the presumption described in paragraph (1).
``(4) R
IGHT OF ACCESS .ÐThe period during which the Fed-
eral, State, or local government has the right to access source documentation shall not be limited to the required 3-year reten- tion period referred to in paragraph (3), but shall last as long as the records are maintained.
``(c) B
INDING NATURE OF GRANT REQUIREMENTS.ÐA State or
local government shall not be liable for reimbursement or any other penalty for any payment made under this Act ifÐ
``(1) the payment was authorized by an approved agreement specifying the costs;
``(2) the costs were reasonable; and
``(3) the purpose of the grant was accomplished.''.

SEC. 305. PUBLIC SAFETY OFFICER BENEFITS FOR CERTAIN FEDERAL AND STATE EMPLOYEES.
(a) I N GENERAL.ÐSection 1204 of the Omnibus Crime Control and Safe Streets Act of 1968 (42 U.S.C. 3796b) is amended by striking paragraph (7) and inserting the following:
``(7) `public safety officer' meansÐ
42 USC 5205.
42 USC 5187
note.

President.

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``(A) an individual serving a public agency in an official capacity, with or without compensation, as a law enforce- ment officer, as a firefighter, or as a member of a rescue squad or ambulance crew;
``(B) an employee of the Federal Emergency Manage-
ment Agency who is performing official duties of the Agency in an area, if those official dutiesÐ
``(i) are related to a major disaster or emergency
that has been, or is later, declared to exist with respect to the area under the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5121 et seq.);
and
``(ii) are determined by the Director of the Federal
Emergency Management Agency to be hazardous
duties; or
``(C) an employee of a State, local, or tribal emergency management or civil defense agency who is performing
official duties in cooperation with the Federal Emergency Management Agency in an area, if those official dutiesÐ ``(i) are related to a major disaster or emergency
that has been, or is later, declared to exist with respect to the area under the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5121 et seq.);
and
``(ii) are determined by the head of the agency
to be hazardous duties.''.
(b) E
FFECTIVE DATE.ÐThe amendment made by subsection (a)
applies only to employees described in subparagraphs (B) and (C) of section 1204(7) of the Omnibus Crime Control and Safe Streets Act of 1968 (as amended by subsection (a)) who are injured or who die in the line of duty on or after the date of the enactment of this Act.

SEC. 306. BUY AMERICAN.
(a) C OMPLIANCE WITH BUY AMERICAN ACT.ÐNo funds author- ized to be appropriated under this Act or any amendment made by this Act may be expended by an entity unless the entity, in expending the funds, complies with the Buy American Act (41 U.S.C. 10a et seq.).
(b) D

EBARMENT OF PERSONS CONVICTED OF FRAUDULENT USE
OF ``MADE IN AMERICA'' LABELS.Ð
(1) IN GENERAL .ÐIf the Director of the Federal Emergency Management Agency determines that a person has been con- victed of intentionally affixing a label bearing a ``Made in America'' inscription to any product sold in or shipped to the United States that is not made in America, the Director shall determine, not later than 90 days after determining that the person has been so convicted, whether the person should be debarred from contracting under the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5121 et seq.). (2) D
EFINITION OF DEBAR .ÐIn this subsection, the term
``debar'' has the meaning given the term in section 2393(c) of title 10, United States Code.

SEC. 307. TREATMENT OF CERTAIN REAL PROPERTY.
(a) I N GENERAL.ÐNotwithstanding the National Flood Insur- ance Act of 1968 (42 U.S.C. 4001 et seq.), the Flood Disaster Deadline.
42 USC 5206.
42 USC 3796b
note.

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Protection Act of 1973 (42 U.S.C. 4002 et seq.), or any other provi- sion of law, or any flood risk zone identified, delineated, or estab- lished under any such law (by flood insurance rate map or other- wise), the real property described in subsection (b) shall not be considered to be, or to have been, located in any area having special flood hazards (including any floodway or floodplain). (b) R
EAL PROPERTY.ÐThe real property described in this sub-
section is all land and improvements on the land located in the Maple Terrace Subdivisions in the City of Sycamore, DeKalb County, Illinois, includingÐ
(1) Maple Terrace Phase I;
(2) Maple Terrace Phase II;
(3) Maple Terrace Phase III Unit 1;
(4) Maple Terrace Phase III Unit 2;
(5) Maple Terrace Phase III Unit 3;
(6) Maple Terrace Phase IV Unit 1;
(7) Maple Terrace Phase IV Unit 2; and
(8) Maple Terrace Phase IV Unit 3.
(c) R
EVISION OF FLOOD INSURANCE RATE LOT MAPS.ÐAs soon
as practicable after the date of the enactment of this Act, the Director of the Federal Emergency Management Agency shall revise the appropriate flood insurance rate lot maps of the agency to reflect the treatment under subsection (a) of the real property described in subsection (b).

SEC. 308. STUDY OF PARTICIPATION BY INDIAN TRIBES IN EMERGENCY MANAGEMENT.
(a) D EFINITION OF INDIAN TRIBE.ÐIn this section, the term ``Indian tribe'' has the meaning given the term in section 4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450b).
(b) S
TUDY.Ð
(1) I N GENERAL .ÐThe Director of the Federal Emergency Management Agency shall conduct a study of participation by Indian tribes in emergency management.
(2) R
EQUIRED ELEMENTS.ÐThe study shallÐ
(A) survey participation by Indian tribes in training,
predisaster and postdisaster mitigation, disaster prepared- ness, and disaster recovery programs at the Federal and State levels; and
(B) review and assess the capacity of Indian tribes
to participate in cost-shared emergency management pro- grams and to participate in the management of the pro-
grams.
(3) C
ONSULTATION.ÐIn conducting the study, the Director
shall consult with Indian tribes.
(c) R
EPORT.ÐNot later than 1 year after the date of the enact- ment of this Act, the Director shall submit a report on the study under subsection (b) toÐ
(1) the Committee on Environment and Public Works of
the Senate;
(2) the Committee on Transportation and Infrastructure
of the House of Representatives;
(3) the Committee on Appropriations of the Senate; and
Deadline.
42 USC 5121
note.

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LEGISLATIVE HISTORYÐH.R. 707 (S. 1691):

HOUSE REPORTS: No. 106±40 (Comm. on Transportation and Infrastructure).

SENATE REPORTS: No. 106±295 accompanying S. 1691 (Comm. on Environment and Public Works).

CONGRESSIONAL RECORD:

Vol. 145 (1999): Mar. 4, considered and passed House.

Vol. 146 (2000): July 19, considered and passed Senate, amended.

Oct. 3, House concurred in Senate amendment with an
amendment.

Oct. 5, Senate concurred in House amendment with an
amendment.

Oct. 10, House concurred in Senate amendment.
ﬁ
(4) the Committee on Appropriations of the House of Rep- resentatives.

Approved October 30, 2000.

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February 26, 2002
Part III
Federal Emergency
Management Agency
44 CFR Parts 201 and 206
Hazard Mitigation Planning and Hazard
Mitigation Grant Program; Interim Final
Rule
VerDate 11<MAY>2000 10:58 Feb 25, 2002 Jkt 197001 PO 00000 Frm 00001 Fmt 4717 Sfmt 4717 E:\FR\FM\26FER2.SGM pfrm04 PsN: 26FER2 8844 Federal Register / Vol. 67, No. 38 / Tuesday, February 26, 2002 / Rules and Regulations

FEDERAL EMERGENCY

MANAGEMENT AGENCY
44 CFR Parts 201 and 206
RIN 3067–AD22
Hazard Mitigation Planning and Hazard
Mitigation Grant Program
AGENCY: Federal Emergency
Management Agency.

ACTION: Interim final rule.

SUMMARY: This rule addresses State
mitigation planning, identifies new
local mitigation planning requirements,
authorizes Hazard Mitigation Grant
Program (HMGP) funds for planning
activities, and increases the amount of
HMGP funds available to States that
develop a comprehensive, enhanced
mitigation plan. This rule also requires
that repairs or construction funded by a
disaster loan or grant must be carried
out in accordance with applicable
standards and says that FEMA may
require safe land use and construction
practices as a condition of grantees
receiving disaster assistance under the
Stafford Act.

DATES: Effective Date: February 26,
2002.

Comment Date: We will accept
written comments through April 29,
2002.

ADDRESSES: Please send written
comments to the Rules Docket Clerk,
Office of the General Counsel, Federal
Emergency Management Agency, 500 C
Street, SW., room 840, Washington, DC
20472, (facsimile) 202–646–4536, or
(email) [email protected].

FOR FURTHER INFORMATION CONTACT :

Margaret E. Lawless, Federal Insurance
and Mitigation Administration, Federal
Emergency Management Agency, 500 C
Street, SW., Washington, DC, 20472,
202–646–3027, (facsimile) 202–646–
3104, or (email)
[email protected].

SUPPLEMENTARY INFORMATION:

Introduction
Throughout the preamble and the rule
the terms ‘‘we’’, ‘‘our’’ and ‘‘us’’ refer to
FEMA.

Section 322 of the Robert T. Stafford
Disaster Relief and Emergency
Assistance Act (Stafford Act or the Act),
42 U.S.C. 5165, enacted under § 104 the
Disaster Mitigation Act of 2000, (DMA
2000) P.L. 106–390, provides new and
revitalized approaches to mitigation
planning. This section: (1) Continues
the requirement for a Standard State
Mitigation plan as a condition of
disaster assistance; (2) provides for
States to receive an increased
percentage of HMGP funds (from 15 to
20 percent of the total estimated eligible
Federal assistance) if, at the time of the
declaration of a major disaster, they
have in effect a FEMA-approved
Enhanced State Mitigation Plan that
meets the factors listed in this rule; (3)
establishes a new requirement for local
mitigation plans; and (4) authorizes up
to 7 percent of the HMGP funds
available to a State to be used for
development of State, tribal, and local
mitigation plans. We will give Indian
tribal governments the opportunity to
fulfill the requirements of § 322 either as
a grantee or a subgrantee. An Indian
tribal government may choose to apply
for HMGP funding directly to us and
would then serve as a grantee, meeting
the State level responsibilities, or it may
apply through the State, meeting the
local government or subgrantee
responsibilities.

Section 322, in concert with other
sections of the Act, provides a
significant opportunity to reduce the
Nation’s disaster losses through
mitigation planning. In addition,
implementation of planned, pre-
identified, cost-effective mitigation
measures will streamline the disaster
recovery process. The Act provides a
framework for linking pre- and post-
disaster mitigation planning and
initiatives with public and private
interests to ensure an integrated,
comprehensive approach to disaster loss
reduction. The language in the Act,
taken as a whole, emphasizes the
importance of strong State and local
planning processes and comprehensive
program management at the State level.

The new planning criteria also support
State administration of the HMGP, and
contemplate a significant State
commitment to mitigation activities,
comprehensive State mitigation
planning, and strong program
management.

The planning process also provides a
link between State and local mitigation
programs. Both State level and local
plans should address strategies for
incorporating post-disaster early
mitigation implementation strategies
and sustainable recovery actions. We
also recognize that governments are
involved in a range of planning
activities and that mitigation plans may
be linked to or reference hazardous
materials and other non-natural hazard
plans. Improved mitigation planning
will result in a better understanding of
risks and vulnerabilities, as well as to
expedite implementation of measures
and activities to reduce those risks, both
pre- and post-disaster.

Section 409 of the Stafford Act, 42
U.S.C. 5176, which required mitigation
plans and the use of minimum codes
and standards, was repealed by the
DMA 2000. These issues are now
addressed in two separate sections of
the law: mitigation planning is in
section 322 of the Act, and minimum
codes and standards are in section 323
of the Act. We previously implemented
section 409 through 44 CFR Part 206,
Subpart M. Since current law now
distinguishes the planning from the
codes and standards in separate
sections, we will address them in
different sections of the CFR. We
address the new planning regulations in
Part 201 to reflect the broader relevance
of planning to all FEMA mitigation
programs, while the minimum
standards remain in Part 206, Federal
Disaster Assistance, Subpart M. The
regulations implementing the Hazard
Mitigation Grant Program are in Part
206, Subpart N. This rule also contains
changes to Subpart N, to reflect the new
planning criteria identified in section
322 of the Act.

The administration is considering
changes to FEMA’s mitigation programs
in the President’s Budget for FY 2003.

However, States and localities still
would be required to have plans in
effect, which meet the minimum
requirements under this rule, as a
condition of receiving mitigation
assistance after November 1, 2003.

Implementation Strategy. States must
have an approved hazard mitigation
plan in order to receive Stafford Act
assistance, excluding assistance
provided pursuant to emergency
provisions. These regulations provide
criteria for the new two-tiered State
mitigation plan process: Standard State
Mitigation Plans, which allow a State to
receive HMGP funding based on 15
percent of the total estimated eligible
Stafford Act disaster assistance, and
Enhanced State Mitigation Plans, which
allow a State to receive HMGP funds
based on 20 percent of the total
estimated eligible Stafford Act disaster
assistance. Enhanced State Mitigation
Plans must demonstrate that the State
has developed a comprehensive
mitigation program, that it effectively
uses available mitigation funding, and
that it is capable of managing the
increased funding. All State Mitigations
Plans must be reviewed, revised, and re-
approved by FEMA every three years.

An important requirement of the
legislation is that we must approve a
completed enhanced plan before a
disaster declaration, in order for the
State to be eligible for the increased
funding.

We will no longer require States to
revise their mitigation plan after every
disaster declaration, as under former
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We recommend, however, that States
consider revising their plan if a disaster
or other circumstances significantly
affect its mitigation priorities. States
with existing mitigation plans, approved
under former section 409, will continue
to be eligible for the 15 percent HMGP
funding until November 1, 2003, when
all State mitigation plans must meet the
requirements of these regulations. If
State plans are not revised and
approved to meet the Standard State
Mitigation Plan requirements by that
time, they will be ineligible for Stafford
Act assistance, excluding emergency
assistance.

Indian tribal governments may choose
to apply directly to us for HMGP
funding, and would therefore be
responsible for having an approved
State level mitigation plan, and would
act as the grantee. If an Indian tribal
government chooses to apply for HMGP
grants through the State, they would be
responsible for having an approved
local level mitigation plan, and would
serve as a subgrantee accountable to the
State as grantee.

This rule also establishes local
planning criteria so that these
jurisdictions can actively begin the
hazard mitigation planning process.

This requirement is to encourage the
development of comprehensive
mitigation plans before disaster events.

Section 322 requires local governments
to have an approved local mitigation
plan to be eligible to receive an HMGP
project grant; however, this requirement
will not fully take effect until November
1, 2003. FEMA Regional Directors may
grant an exception to this requirement
in extenuating circumstances. Until
November 1, 2003, local governments
will be able to receive HMGP project
grant funds and may prepare a
mitigation plan concurrently with
implementation of their project grant.

We anticipate that the Predisaster
Mitigation program authorized by
section 203 of the Act, 42 U.S.C. 5133,
will also support this local mitigation
planning by making funds available for
the development of comprehensive local
mitigation plans. Managing States that
we approve under new criteria
established under section 404 of the
Act, 42 U.S.C. 5170c(c), as amended by
section 204 of DMA 2000 will have
approval authority for local mitigation
plans. This provision does not apply to
States that we approved under the
Managing State program in effect before
enactment of DMA 2000.

Our goal is for State and local
governments to develop comprehensive
and integrated plans that are
coordinated through appropriate State,
local, and regional agencies, as well as
non-governmental interest groups. To
the extent feasible and practicable, we
would also like to consolidate the
planning requirements for different
FEMA mitigation programs. This will
ensure that one local plan will meet the
minimum requirements for all of the
different FEMA mitigation programs,
such as the Flood Mitigation Assistance
Program (authorized by sections 553
and 554 of the National Flood Insurance
Reform Act of 1994, 42 U.S.C. 4104c
and 42 U.S.C. 4104d), the Community
Rating System (authorized by section
541 of the National Flood Insurance
Reform Act of 1994, 42 U.S.C. 4022), the
Pre-Disaster Mitigation Program
(authorized by section 203 of the
Stafford Act), the Hazard Mitigation
Grant Program (authorized by section
404 of the Stafford Act), and the
mitigation activities that are based upon
the provisions of section 323 and
subsections 406(b) and (e) of the
Stafford Act. The mitigation plans may
also serve to integrate documents and
plans produced under other emergency
management programs. State level plans
should identify overall goals and
priorities, incorporating the more
specific local risk assessments, when
available, and including projects
identified through the local planning
process.

Under section 322(d), up to 7 percent
of the available HMGP funds may now
be used for planning, and we encourage
States to use these funds for local plan
development. In a memorandum to
FEMA Regional Directors dated
December 21, 2000, we announced that
this provision of section 322 was
effective for disasters declared on or
after October 30, 2000, the date on
which the Disaster Mitigation Act of
2000 became law. Regional Directors are
encouraging States to make these funds
immediately available to local and
Indian tribal governments, although the
funds can be used for plan development
and review at the State level as well.

As discussed earlier in this
Supplementary Information, subsection
323(a) of the Stafford Act, 42 U.S.C.
5166(a), requires as a precondition to
receiving disaster assistance under the
Act that State and local governments, as
well as eligible private nonprofit
entities, must agree to carry out repair
and reconstruction activities ‘‘in
accordance with applicable standards of
safety, decency, and sanitation and in
conformity with applicable codes,
specifications, and standards.’’ In
addition, that subsection authorizes the
President (FEMA, by virtue of Executive
Order 12148, as amended) to ‘‘require
safe land use and construction practices,
after adequate consultation with
appropriate State and local officials’’ in
the course of the use of Federal disaster
assistance by eligible applicants to
repair and restore disaster-damaged
facilities.

At the same time that we implement
the planning mandates of section 322 of
the Stafford Act, we are also
implementing the Minimum Standards
for Public and Private Structures
provision of section 323 of the Act. This
rule appears at Subpart M of Part 206 of
Title 44 of the Code of Federal
Regulations. As mentioned earlier, the
section 322 planning regulations are in
Part 201, while Part 206, Subpart M
includes only the minimum codes and
standards regulations mandated in
§ 323. The rule to implement § 323 of
the Act reinforces the link between pre-
disaster planning, building and
construction standards, and post-
disaster reconstruction efforts.

We encourage comments on this
interim final rule, and we will make
every effort to involve all interested
parties prior to the development of the
Final Rule.

Justification for Interim Final Rule
In general, FEMA publishes a rule for
public comment before issuing a final
rule, under the Administrative
Procedure Act, 5 U.S.C. 533 and 44 CFR

1.12. The Administrative Procedure Act,
however, provides an exception from
that general rule where the agency for
good cause finds the procedures for
comment and response contrary to
public interest. Section 322 of the
Stafford Act allows States to receive
increased post-disaster grant funding for
projects designed to reduce future
disaster losses. States will only be
eligible for these increased funds if they
have a FEMA-approved Enhanced State
Mitigation Plan.

This interim final rule provides the
criteria for development and approval of
these plans, as well as criteria for local
mitigation plans required by this
legislation. In order for State and local
governments to be positioned to receive
these mitigation funds as soon as
possible, these regulations must be in
effect. The public benefit of this rule
will be to assist States and communities
assess their risks and identify activities
to strengthen the larger community and
the built environment in order to
become less susceptible to disasters.

Planning serves as the vital foundation
to saving lives and protecting
properties, having integrated plans in
place can serve to both streamline
recovery efforts and lessen potential
future damages. Therefore, we believe it
is contrary to the public interest to delay
VerDate 11<MAY>2000 10:58 Feb 25, 2002 Jkt 197001 PO 00000 Frm 00003 Fmt 4701 Sfmt 4700 E:\FR\FM\26FER2.SGM pfrm04 PsN: 26FER2 8846 Federal Register / Vol. 67, No. 38 / Tuesday, February 26, 2002 / Rules and Regulations the benefits of this rule. In accordance
with the Administrative Procedure Act,
5 U.S.C. 553(d)(3), we find that there is
good cause for the interim final rule to
take effect immediately upon
publication in the Federal Register in
order to meet the needs of States and
communities by identifying criteria for
mitigation plans in order to reduce risks
nationwide, establish criteria for
minimum codes and standards in post-
disaster reconstruction, and to allow
States to adjust their mitigation plans to
receive the increase in mitigation
funding.

In addition, we believe that, under the
circumstances, delaying the effective
date of this rule until after the comment
period would not further the public
interest. Prior to this rulemaking, FEMA
hosted a meeting where interested
parties provided comments and
suggestions on how we could
implement these planning requirements.

Participants in this meeting included
representatives from the National
Emergency Management Association,
the Association of State Floodplain
Managers, the National Governors’
Association, the International
Association of Emergency Managers, the
National Association of Development
Organizations, the American Public
Works Association, the National League
of Cities, the National Association of
Counties, the National Conference of
State Legislatures, the International
City/County Management Association,
and the Bureau of Indian Affairs. We
took comments and suggestions
provided at this meeting into account in
developing this interim final rule.

Therefore, we find that prior notice and
comment on this rule would not further
the public interest. We actively
encourage and solicit comments on this
interim final rule from interested
parties, and we will consider them in
preparing the final rule. For these
reasons, we believe we have good cause
to publish an interim final rule.

National Environmental Policy Act
44 CFR 10.8(d)(2)(ii) excludes this
rule from the preparation of an
environmental assessment or
environmental impact statement, where
the rule relates to actions that qualify for
categorical exclusion under 44 CFR

10.8(d)(2)(iii), such as the development
of plans under this section.

Executive Order 12866, Regulatory
Planning and Review
We have prepared and reviewed this
rule under the provisions of E.O. 12866,
Regulatory Planning and Review. Under
Executive Order 12866, 58 FR 51735,
October 4, 1993, a significant regulatory
action is subject to OMB review and the
requirements of the Executive Order.

The Executive Order defines
‘‘significant regulatory action’’ as one
that is likely to result in a rule that may:
(1) Have an annual effect on the
economy of $100 million or more or
adversely affect in a material way the
economy, a sector of the economy,
productivity, competition, jobs, the
environment, public health or safety, or
State, local, or tribal governments or
communities;
(2) Create a serious inconsistency or
otherwise interfere with an action taken
or planned by another agency;
(3) Materially alter the budgetary
impact of entitlements, grants, user fees,
or loan programs or the rights and
obligations of recipients thereof; or
(4) Raise novel legal or policy issues
arising out of legal mandates, the
President’s priorities, or the principles
set forth in the Executive Order.

The purpose of this rule is to
implement section 322 of the Stafford
Act which addresses mitigation
planning at the State, tribal, and local
levels, identifies new local planning
requirements, allows Hazard Mitigation
Grant Program (HMGP) funds for
planning activities, and increases the
amount of HMGP funds available to
States that develop a comprehensive,
enhanced mitigation plan. The rule
identifies local mitigation planning
requirements before approval of project
grants, and requires our approval of an
Enhanced State Mitigation plan as a
condition for increased mitigation
funding. The rule also implements
section 323 of the Stafford Act, which
requires that repairs or construction
funded by disaster loans or grants must
comply with applicable standards and
safe land use and construction practices.

As such the rule itself will not have an
effect on the economy of more than
$100,000,000.

Therefore, this rule is a significant
regulatory action and is not an
economically significant rule under
Executive Order 12866. The Office of
Management and Budget (OMB) has
reviewed this rule under Executive
Order 12866.

Executive Order 12898, Environmental
Justice
Under Executive Order 12898, Federal
Actions to Address Environmental
Justice in Minority Populations and
Low-Income Populations, 59 FR 7629,
February 16, 1994, we incorporate
environmental justice into our policies
and programs. The Executive Order
requires each Federal agency to conduct
its programs, policies, and activities that
substantially affect human health or the
environment, in a manner that ensures
that those programs, policies, and
activities do not have the effect of
excluding persons from participation in
our programs, denying persons the
benefits of our programs, or subjecting
persons to discrimination because of
their race, color, or national origin.

No action that we can anticipate
under the final rule will have a
disproportionately high or adverse
human health and environmental effect
on any segment of the population.

Section 322 focuses specifically on
mitigation planning to: Identify the
natural hazards, risks, and
vulnerabilities of areas in States,
localities, and tribal areas; support
development of local mitigation plans;
provide for technical assistance to local
and tribal governments for mitigation
planning; and identify and prioritize
mitigation actions that the State will
support, as resources become available.

Section 323 requires compliance with
applicable codes and standards in repair
and construction, and use of safe land
use and construction standards.

Accordingly, the requirements of
Executive Order 12898 do not apply to
this interim final rule.

Paperwork Reduction Act of 1995
As required by the Paperwork
Reduction Act of 1995 (44 U.S.C.
3507(d)) and concurrent with the
publication of this interim final rule, we
have submitted a request for review and
approval of a new collection of
information, which is contained in this
interim final rule. Under the Paperwork
Reduction Act of 1995, a person may
not be penalized for failing to comply
with an information collection that does
not display a currently valid Office of
Management and Budget (OMB) control
number. The request was submitted to
OMB for approval under the emergency
processing procedures in OMB
regulation 5 CFR 1320.1. OMB has
approved this collection of information
for use through August 31, 2002, under
OMB Number 3067–0297.

We expect to follow this emergency
request with a request for OMB approval
to continue the use of the collection of
information for a term of three years.

The request will be processed under
OMB’s normal clearance procedures in
accordance with provisions of OMB
regulation 5 CFR 1320.10. To help us
with the timely processing of the
emergency and normal clearance
submissions to OMB, we invite the
general public to comment on the
collection of information. This notice
and request for comments complies
with the provisions of the Paperwork
VerDate 11<MAY>2000 10:58 Feb 25, 2002 Jkt 197001 PO 00000 Frm 00004 Fmt 4701 Sfmt 4700 E:\FR\FM\26FER2.SGM pfrm04 PsN: 26FER2 8847Federal Register / Vol. 67, No. 38 / Tuesday, February 26, 2002 / Rules and Regulations Reduction Act of 1995 (44 U.S.C.
3506(c)(2)(A)).

Collection of Information
Title: State/Local/Tribal Hazard
Mitigation Plans under Section 322 of
the Disaster Mitigation Act of 2000.

Abstract: Section 322 of the Robert T.

Stafford Disaster Relief and Emergency
Assistant Act, as amended by Section
104 of the Disaster Mitigation Act of
2000, provides new and revitalized
approaches to mitigation planning. To
obtain Federal assistance, new planning
provisions require that each state, local,
and tribal government prepare a hazard
mitigation plan to include sections that
describe the planning process, an
assessment of the risks, a mitigation
strategy, and identification of the plan
maintenance and updating process. The
Act provides a framework for linking
pre- and post-disaster mitigation
planning and initiatives with public and
private interests to ensure an integrated,
comprehensive approach to disaster loss
reduction. Under Section 322 there is a
two-tiered State mitigation plan process.

State mitigation plans must be
reviewed, revised, and submitted to us
every 3 years.
(1) A Standard State Mitigation Plan
must be approved by us in order for
States to be eligible to receive Hazard
Mitigation Grant Program (HGMP)
funding based on 15 percent of the total
estimated eligible Federal disaster
assistance. This plan demonstrates the
State’s goals, priorities, and
commitment to reduce risks from
natural hazards and serves as a guide for
State and local decision makers as they
commit resources to reducing the effects
of natural hazards.
(2) An Enhanced State Mitigation
Plan must be approved by us for a State
to be eligible to receive HMGP funds
based on 20 percent of the total
estimated eligible Federal disaster
assistance. This plan must be approved
by us within the 3 years prior to the
current major disaster declaration. It
must demonstrate that a State has
developed a comprehensive mitigation
program, is effectively using available
mitigation funding, and is capable of
managing the increased funding.

To be eligible to receive HMGP
project grants, local governments must
develop Local Mitigation Plans that
include a risk assessment and mitigation
strategy to reduce potential losses and
target resources. Plans must be
reviewed, revised, and submitted to us
for approval every 5 years.

To receive HMGP project grants, tribal
governments may apply as a grantee or
subgrantee, and will be required to meet
the planning requirements of a State or
local government.

Estimated Total Annual Burden:

Type of collection/forms No. of re-
spondents
Hours per re-
sponse
Annual burden
hours
Update state or tribal mitigation plans (standard state mitigation plans) .................................... 18 320 5,760 State review of local plans .................................................................................................... ...... 500 local plans
8 4,000
States develop Enhanced State Mitigation Plans ....................................................................... 7 100 700 Local or tribal governments develop mitigation plans ................................................................. 500 local plans
300 150,000
Total burden ................................................................................................................... ...... ........................ ........................ 160,460 Comments: We are soliciting written
comments to: (a) Evaluate whether the
proposed data collection is necessary for
the proper performance of the agency,
including whether the information shall
have practical utility; (b) evaluate the
accuracy of the agency’s estimate of the
burden of the proposed collection of
information; (c) obtain
recommendations to enhance the
quality, utility, and clarity of the
information to be collected; and (d)
evaluate the extent to which automated,
electronic, mechanical, or other
technological collection techniques may
further reduce the respondents’ burden.

FEMA will accept comments through
April 29, 2002.

Addressee: Interested persons should
submit written comments to Muriel B.

Anderson, Chief, Records Management
Section, Program Services and Systems
Branch, Facilities Management and
Services Division, Administration and
Resource Planning Directorate, Federal
Emergency Management Agency, 500 C
Street, Street, SW., Washington, DC
20472.

FOR FURTHER INFORMATION CONTACT : You
may obtain copies of the OMB
paperwork clearance package by
contacting Ms. Anderson at (202) 646–
2625 (voice), (202) 646–3347 (facsimile),
or by e-mail at
[email protected].

Executive Order 13132, Federalism
Executive Order 13132, Federalism,
dated August 4, 1999, sets forth
principles and criteria that agencies
must adhere to in formulating and
implementing policies that have
federalism implications, that is,
regulations that have substantial direct
effects on the States, or on the
distribution of power and
responsibilities among the various
levels of government. Federal agencies
must closely examine the statutory
authority supporting any action that
would limit the policymaking discretion
of the States, and to the extent
practicable, must consult with State and
local officials before implementing any
such action.

We have reviewed this rule under
E.O.13132 and have concluded that the
rule does not have federalism
implications as defined by the Executive
Order. We have determined that the rule
does not significantly affect the rights,
roles, and responsibilities of States, and
involves no preemption of State law nor
does it limit State policymaking
discretion.

However, we have consulted with
State and local officials. In order to
assist us in the development of this rule,
we hosted a meeting to allow interested
parties an opportunity to provide their
perspectives on the legislation and
options for implementation of § 322.

Stakeholders who attended the meeting
included representatives from the
National Emergency Management
Association, the Association of State
Floodplain Managers, the National
Governors’ Association, the
International Association of Emergency
Managers, the National Association of
Development Organizations, the
American Public Works Association, the
National League of Cities, the National
Association of Counties, the National
Conference of State Legislatures, the
International City/County Management
Association, and the Bureau of Indian
Affairs. We received valuable input
from all parties at the meeting, which
we took into account in the
development of this rule. Additionally,
we actively encourage and solicit
comments on this interim final rule
from interested parties, and we will
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rule.

Executive Order 13175, Consultation
and Coordination With Indian Tribal
Governments
We have reviewed this interim final
rule under Executive Order 13175,
which became effective on February 6,
2001. Under the Hazard Mitigation
Grant Program (HMGP), Indian tribal
governments will have the option to
apply for grants directly to us and to
serve as ‘‘grantee’’, carrying out ‘‘State’’
roles. If they choose this option, tribal
governments may submit either a State-
level Standard Mitigation Plan for the
15 percent HMGP funding or a State-
level Enhanced Mitigation Plan for 20
percent HMGP funding. In either case,
Indian tribal governments would be able
to spend up to 7 percent of those funds
on planning. Before developing this
rule, we met with representatives from
State and local governments and the
Bureau of Indian Affairs, to discuss the
new planning opportunities and
requirements of § 322 of the Stafford
Act. We received valuable input from all
parties, which helped us to develop this
interim final rule.

In reviewing the interim final rule, we
find that it does not have ‘‘tribal
implications’’ as defined in Executive
Order 13175 because it will not have a
substantial direct effect on one or more
Indian tribes, on the relationship
between the Federal Government and
Indian tribes, or on the distribution of
power and responsibilities between the
Federal Government and Indian tribes.

Moreover, the interim final rule does
not impose substantial direct
compliance costs on tribal governments,
nor does it preempt tribal law, impair
treaty rights or limit the self-governing
powers of tribal governments.

Congressional Review of Agency
Rulemaking
We have sent this interim final rule to
the Congress and to the General
Accounting Office under the
Congressional Review of Agency
Rulemaking Act, Public Law 104–121.

The rule is a not ‘‘major rule’’ within the
meaning of that Act. It is an
administrative action in support of
normal day-to-day mitigation planning
activities required by section 322 and
compliance under section 323 of the
Stafford Act, as enacted in DMA 2000.

The rule will not result in a major
increase in costs or prices for
consumers, individual industries,
Federal, State, or local government
agencies, or geographic regions. It will
not have ‘‘significant adverse effects’’ on
competition, employment, investment,
productivity, innovation, or on the
ability of United States-based
enterprises to compete with foreign-
based enterprises. This final rule is
subject to the information collection
requirements of the Paperwork
Reduction Act, and OMB has assigned
Control No. 3067–0297. The rule is not
an unfunded Federal mandate within
the meaning of the Unfunded Mandates
Reform Act of 1995, Public Law 104–4,
and any enforceable duties that we
impose are a condition of Federal
assistance or a duty arising from
participation in a voluntary Federal
program.

List of Subjects in 44 CFR Part 201 and
Part 206
Administrative practice and
procedure, Disaster assistance, Grant
programs, Mitigation planning,
Reporting and recordkeeping
requirements.

Accordingly, Amend 44 CFR,
Subchapter D— Disaster Assistance, as
follows:

1. Add Part 201 to read as follows:

PART 201— MITIGATION PLANNING
Sec.
201.1 Purpose.
201.2 Definitions.
201.3 Responsibilities.
201.4 Standard State Mitigation Plans.
201.5 Enhanced State Mitigation Plans.
201.6 Local Mitigation Plans.

Authority: Robert T. Stafford Disaster
Relief and Emergency Assistance Act, 42
U.S.C. 5121–5206; Reorganization Plan No. 3
of 1978, 43 FR 41943, 3 CFR, 1978 Comp.,
p. 329; E.O. 12127, 44 FR 19367, 3 CFR, 1979
Comp., p. 376; E.O. 12148, 44 FR 43239, 3
CFR, 1979 Comp., p. 412; and E.O. 12673, 54
FR 12571, 3 CFR, 1989 Comp., p. 214.
§ 201.1 Purpose.
(a) The purpose of this part is to
provide information on the polices and
procedures for mitigation planning as
required by the provisions of section
322 of the Stafford Act, 42 U.S.C. 5165.
(b) The purpose of mitigation
planning is for State, local, and Indian
tribal governments to identify the
natural hazards that impact them, to
identify actions and activities to reduce
any losses from those hazards, and to
establish a coordinated process to
implement the plan, taking advantage of
a wide range of resources.
§ 201.2 Definitions.

Grantee means the government to
which a grant is awarded, which 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. Generally,
the State is the grantee. However, after
a declaration, an Indian tribal
government may choose to be a grantee,
or may act as a subgrantee under the
State. An Indian tribal government
acting as grantee will assume the
responsibilities of a ‘‘state’’, as
described in this part, for the purposes
of administering the grant.

Hazard mitigation means any
sustained action taken to reduce or
eliminate the long-term risk to human
life and property from hazards.

Hazard Mitigation Grant Program
means the program authorized under
section 404 of the Stafford Act, 42 U.S.C
5170c and implemented at 44 CFR Part
206, Subpart N, which authorizes
funding for certain mitigation measures
identified through the evaluation of
natural hazards conducted under
section 322 of the Stafford Act 42 U.S.C
5165.

Indian tribal government means any
Federally recognized governing body of
an Indian or Alaska Native tribe, band,
nation, pueblo, village, or community
that the Secretary of 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.

Local government is any county,
municipality, city, town, township,
public authority, school district, special
district, intrastate district, council of
governments (regardless of whether the
council of governments is incorporated
as a nonprofit corporation under State
law), regional or interstate government
entity, or agency or instrumentality of a
local government; any Indian tribe or
authorized tribal organization, or Alaska
Native village or organization; and any
rural community, unincorporated town
or village, or other public entity.

Managing State means a State to
which FEMA has delegated the
authority to administer and manage the
HMGP under the criteria established by
FEMA pursuant to 42 U.S.C. 5170c(c).

FEMA may also delegate authority to
tribal governments to administer and
manage the HMGP as a Managing State.

Regional Director is a director of a
regional office of FEMA, or his/her
designated representative.

Small and impoverished communities
means a community of 3,000 or fewer
individuals that is identified by the
State as a rural community, and is not
a remote area within the corporate
boundaries of a larger city; is
economically disadvantaged, by having
an average per capita annual income of
residents not exceeding 80 percent of
national, per capita income, based on
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unemployment rate exceeds by one
percentage point or more, the most
recently reported, average yearly
national unemployment rate; and any
other factors identified in the State Plan
in which the community is located.

The Stafford Act refers to the Robert
T. Stafford Disaster Relief and
Emergency Assistance Act, Public Law
93–288, as amended (42 U.S.C. 5121–
5206).

State is any State of the United States,
the District of Columbia, Puerto Rico,
the Virgin Islands, Guam, American
Samoa, and the Commonwealth of the
Northern Mariana Islands.

State Hazard Mitigation Officer is the
official representative of State
government who is the primary point of
contact with FEMA, other Federal
agencies, and local governments in
mitigation planning and
implementation of mitigation programs
and activities required under the
Stafford Act.

Subgrantee means the government or
other legal entity to which a subgrant is
awarded and which is accountable to
the grantee for the use of the funds
provided. Subgrantees can be a State
agency, local government, private non-
profit organizations, or Indian tribal
government. Indian tribal governments
acting as a subgrantee are accountable to
the State grantee.
§ 201.3 Responsibilities.
(a) General. This section identifies the
key responsibilities of FEMA, States,
and local/tribal governments in carrying
out section 322 of the Stafford Act, 42
U.S.C. 5165.
(b) FEMA. The key responsibilities of
the Regional Director are to:
(1) Oversee all FEMA related pre- and
post-disaster hazard mitigation
programs and activities;
(2) Provide technical assistance and
training to State, local, and Indian tribal
governments regarding the mitigation
planning process;
(3) Review and approve all Standard
and Enhanced State Mitigation Plans;
(4) Review and approve all local
mitigation plans, unless that authority
has been delegated to the State in
accordance with § 201.6(d);
(5) Conduct reviews, at least once
every three years, of State mitigation
activities, plans, and programs to ensure
that mitigation commitments are
fulfilled, and when necessary, take
action, including recovery of funds or
denial of future funds, if mitigation
commitments are not fulfilled.
(c) State. The key responsibilities of
the State are to coordinate all State and
local activities relating to hazard
evaluation and mitigation and to:
(1) Prepare and submit to FEMA a
Standard State Mitigation Plan
following the criteria established in
§ 201.4 as a condition of receiving
Stafford Act assistance (except
emergency assistance).
(2) In order to be considered for the
20 percent HMGP funding, prepare and
submit an Enhanced State Mitigation
Plan in accordance with § 201.5, which
must be reviewed and updated, if
necessary, every three years from the
date of the approval of the previous
plan.
(3) At a minimum, review and, if
necessary, update the Standard State
Mitigation Plan by November 1, 2003
and every three years from the date of
the approval of the previous plan in
order to continue program eligibility.
(4) Make available the use of up to the
7 percent of HMGP funding for planning
in accordance with § 206.434.
(5) Provide technical assistance and
training to local governments to assist
them in applying for HMGP planning
grants, and in developing local
mitigation plans.
(6) For Managing States that have
been approved under the criteria
established by FEMA pursuant to 42
U.S.C. 5170c(c), review and approve
local mitigation plans in accordance
with § 201.6(d).
(d) Local governments. The key
responsibilities of local governments are
to:
(1) Prepare and adopt a jurisdiction-
wide natural hazard mitigation plan as
a condition of receiving project grant
funds under the HMGP, in accordance
with § 201.6.
(2) At a minimum, review and, if
necessary, update the local mitigation
plan every five years from date of plan
approval to continue program eligibility.
(e) Indian tribal governments. Indian
tribal governments will be given the
option of applying directly to us for
Hazard Mitigation Grant Program
funding, or they may choose to apply
through the State. If they apply directly
to us, they will assume the
responsibilities of the State, or grantee,
and if they apply through the State, they
will assume the responsibilities of the
local government, or subgrantee.
§ 201.4 Standard State Mitigation Plans.
(a) Plan requirement. By November 1,
2003, States must have an approved
Standard State Mitigation plan meeting
the requirements of this section, in
order to receive assistance under the
Stafford Act, although assistance
authorized under disasters declared
prior to November 1, 2003 will continue
to be made available. In any case,
emergency assistance provided under 42
U.S.C. 5170a, 5170b, 5173, 5174, 5177,
5179, 5180, 5182, 5183, 5184, 5192 will
not be affected. The mitigation plan is
the demonstration of the State’s
commitment to reduce risks from
natural hazards and serves as a guide for
State decision makers as they commit
resources to reducing the effects of
natural hazards. States may choose to
include the requirements of the HMGP
Administrative Plan in their mitigation
plan.
(b) Planning process. An effective
planning process is essential in
developing and maintaining a good
plan. The mitigation planning process
should include coordination with other
State agencies, appropriate Federal
agencies, interested groups, and be
integrated to the extent possible with
other ongoing State planning efforts as
well as other FEMA mitigation programs
and initiatives.
(c) Plan content. To be effective the
plan must include the following
elements:
(1) Description of the planning
process used to develop the plan,
including how it was prepared, who
was involved in the process, and how
other agencies participated.
(2) Risk assessments that provide the
factual basis for activities proposed in
the strategy portion of the mitigation
plan. Statewide risk assessments must
characterize and analyze natural
hazards and risks to provide a statewide
overview. This overview will allow the
State to compare potential losses
throughout the State and to determine
their priorities for implementing
mitigation measures under the strategy,
and to prioritize jurisdictions for
receiving technical and financial
support in developing more detailed
local risk and vulnerability assessments.

The risk assessment shall include the
following:
(i) An overview of the type and
location of all natural hazards that can
affect the State, including information
on previous occurrences of hazard
events, as well as the probability of
future hazard events, using maps where
appropriate;
(ii) An overview and analysis of the
State’s vulnerability to the hazards
described in this paragraph (c)(2), based
on estimates provided in local risk
assessments as well as the State risk
assessment. The State shall describe
vulnerability in terms of the
jurisdictions most threatened by the
identified hazards, and most vulnerable
to damage and loss associated with
hazard events. State owned critical or
operated facilities located in the
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addressed;
(iii) An overview and analysis of
potential losses to the identified
vulnerable structures, based on
estimates provided in local risk
assessments as well as the State risk
assessment. The State shall estimate the
potential dollar losses to State owned or
operated buildings, infrastructure, and
critical facilities located in the
identified hazard areas.
(3) A Mitigation Strategy that provides
the State’s blueprint for reducing the
losses identified in the risk assessment.

This section shall include:
(i) A description of State goals to
guide the selection of activities to
mitigate and reduce potential losses.
(ii) A discussion of the State’s pre-
and post-disaster hazard management
policies, programs, and capabilities to
mitigate the hazards in the area,
including: an evaluation of State laws,
regulations, policies, and programs
related to hazard mitigation as well as
to development in hazard-prone areas; a
discussion of State funding capabilities
for hazard mitigation projects; and a
general description and analysis of the
effectiveness of local mitigation
policies, programs, and capabilities.
(iii) An identification, evaluation, and
prioritization of cost-effective,
environmentally sound, and technically
feasible mitigation actions and activities
the State is considering and an
explanation of how each activity
contributes to the overall mitigation
strategy. This section should be linked
to local plans, where specific local
actions and projects are identified.
(iv) Identification of current and
potential sources of Federal, State, local,
or private funding to implement
mitigation activities.
(4) A section on the Coordination of
Local Mitigation Planning that includes
the following:
(i) A description of the State process
to support, through funding and
technical assistance, the development of
local mitigation plans.
(ii) A description of the State process
and timeframe by which the local plans
will be reviewed, coordinated, and
linked to the State Mitigation Plan.
(iii) Criteria for prioritizing
communities and local jurisdictions that
would receive planning and project
grants under available funding
programs, which should include
consideration for communities with the
highest risks, repetitive loss properties,
and most intense development
pressures. Further, that for non-
planning grants, a principal criterion for
prioritizing grants shall be the extent to
which benefits are maximized according
to a cost benefit review of proposed
projects and their associated costs.
(5) A Plan Maintenance Process that
includes:
(i) An established method and
schedule for monitoring, evaluating, and
updating the plan.
(ii) A system for monitoring
implementation of mitigation measures
and project closeouts.
(iii) A system for reviewing progress
on achieving goals as well as activities
and projects identified in the Mitigation
Strategy.
(6) A Plan Adoption Process. The plan
must be formally adopted by the State
prior to submittal to us for final review
and approval.
(7) Assurances. The plan must
include assurances that the State will
comply with all applicable Federal
statutes and regulations in effect with
respect to the periods for which it
receives grant funding, in compliance
with 44 CFR 13.11(c). The State will
amend its plan whenever necessary to
reflect changes in State or Federal laws
and statutes as required in 44 CFR

13.11(d).
(d) Review and updates. Plan must be
reviewed and revised to reflect changes
in development, progress in statewide
mitigation efforts, and changes in
priorities and resubmitted for approval
to the appropriate Regional Director
every three years. The Regional review
will be completed within 45 days after
receipt from the State, whenever
possible. We also encourage a State to
review its plan in the post-disaster
timeframe to reflect changing priorities,
but it is not required.
§ 201.5 Enhanced State Mitigation Plans.
(a) A State with a FEMA approved
Enhanced State Mitigation Plan at the
time of a disaster declaration is eligible
to receive increased funds under the
HMGP, based on twenty percent of the
total estimated eligible Stafford Act
disaster assistance. The Enhanced State
Mitigation Plan must demonstrate that a
State has developed a comprehensive
mitigation program, that the State
effectively uses available mitigation
funding, and that it is capable of
managing the increased funding. In
order for the State to be eligible for the
20 percent HMGP funding, FEMA must
have approved the plan within three
years prior to the disaster declaration.
(b) Enhanced State Mitigation Plans
must include all elements of the
Standard State Mitigation Plan
identified in § 201.4, as well as
document the following:
(1) Demonstration that the plan is
integrated to the extent practicable with
other State and/or regional planning
initiatives (comprehensive, growth
management, economic development,
capital improvement, land
development, and/or emergency
management plans) and FEMA
mitigation programs and initiatives that
provide guidance to State and regional
agencies.
(2) Documentation of the State’s
project implementation capability,
identifying and demonstrating the
ability to implement the plan,
including:
(i) Established eligibility criteria for
multi-hazard mitigation measures.
(ii) A system to determine the cost
effectiveness of mitigation measures,
consistent with OMB Circular A–94,
Guidelines and Discount Rates for
Benefit-Cost Analysis of Federal
Programs, and to rank the measures
according to the State’s eligibility
criteria.
(iii) Demonstration that the State has
the capability to effectively manage the
HMGP as well as other mitigation grant
programs, including a record of the
following:
(A) Meeting HMGP and other
mitigation grant application timeframes
and submitting complete, technically
feasible, and eligible project
applications with appropriate
supporting documentation;
(B) Preparing and submitting accurate
environmental reviews and benefit-cost
analyses;
(C) Submitting complete and accurate
quarterly progress and financial reports
on time; and
(D) Completing HMGP and other
mitigation grant projects within
established performance periods,
including financial reconciliation.
(iv) A system and strategy by which
the State will conduct an assessment of
the completed mitigation actions and
include a record of the effectiveness
(actual cost avoidance) of each
mitigation action.
(3) Demonstration that the State
effectively uses existing mitigation
programs to achieve its mitigation goals.
(4) Demonstration that the State is
committed to a comprehensive state
mitigation program, which might
include any of the following:
(i) A commitment to support local
mitigation planning by providing
workshops and training, State planning
grants, or coordinated capability
development of local officials, including
Emergency Management and Floodplain
Management certifications.
(ii) A statewide program of hazard
mitigation through the development of
legislative initiatives, mitigation
councils, formation of public/private
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actions that promote hazard mitigation.
(iii) The State provides a portion of
the non-Federal match for HMGP and/
or other mitigation projects.
(iv) To the extent allowed by State
law, the State requires or encourages
local governments to use a current
version of a nationally applicable model
building code or standard that addresses
natural hazards as a basis for design and
construction of State sponsored
mitigation projects.
(v) A comprehensive, multi-year plan
to mitigate the risks posed to existing
buildings that have been identified as
necessary for post-disaster response and
recovery operations.
(vi) A comprehensive description of
how the State integrates mitigation into
its post-disaster recovery operations.
(c) Review and updates. (1) A State
must review and revise its plan to
reflect changes in development,
progress in statewide mitigation efforts,
and changes in priorities, and resubmit
it for approval to the appropriate
Regional Director every three years. The
Regional review will be completed
within 45 days after receipt from the
State, whenever possible.
(2) In order for a State to be eligible
for the 20 percent HMGP funding, the
Enhanced State Mitigation plan must be
approved by FEMA within the three
years prior to the current major disaster
declaration.
§ 201.6 Local Mitigation Plans.

The local mitigation plan is the
representation of the jurisdiction’s
commitment to reduce risks from
natural hazards, serving as a guide for
decision makers as they commit
resources to reducing the effects of
natural hazards. Local plans will also
serve as the basis for the State to
provide technical assistance and to
prioritize project funding.
(a) Plan requirement. (1) For disasters
declared after November 1, 2003, a local
government must have a mitigation plan
approved pursuant to this section in
order to receive HMGP project grants.

Until November 1, 2003, local
mitigation plans may be developed
concurrent with the implementation of
the project grant.
(2) Regional Directors may grant an
exception to the plan requirement in
extraordinary circumstances, such as in
a small and impoverished community,
when justification is provided. In these
cases, a plan will be completed within
12 months of the award of the project
grant. If a plan is not provided within
this timeframe, the project grant will be
terminated, and any costs incurred after
notice of grant’s termination will not be
reimbursed by FEMA.
(3) Multi-jurisdictional plans (e.g.
watershed plans) may be accepted, as
appropriate, as long as each jurisdiction
has participated in the process and has
officially adopted the plan. State-wide
plans will not be accepted as multi-
jurisdictional plans.
(b) Planning process. An open public
involvement process is essential to the
development of an effective plan. In
order to develop a more comprehensive
approach to reducing the effects of
natural disasters, the planning process
shall include:
(1) An opportunity for the public to
comment on the plan during the
drafting stage and prior to plan
approval;
(2) An opportunity for neighboring
communities, local and regional
agencies involved in hazard mitigation
activities, and agencies that have the
authority to regulate development, as
well as businesses, academia and other
private and non-profit interests to be
involved in the planning process; and
(3) Review and incorporation, if
appropriate, of existing plans, studies,
reports, and technical information.
(c) Plan content. The plan shall
include the following:
(1) Documentation of the planning
process used to develop the plan,
including how it was prepared, who
was involved in the process, and how
the public was involved.
(2) A risk assessment that provides
the factual basis for activities proposed
in the strategy to reduce losses from
identified hazards. Local risk
assessments must provide sufficient
information to enable the jurisdiction to
identify and prioritize appropriate
mitigation actions to reduce losses from
identified hazards. The risk assessment
shall include:
(i) A description of the type, location,
and extent of all natural hazards that
can affect the jurisdiction. The plan
shall include information on previous
occurrences of hazard events and on the
probability of future hazard events.
(ii) A description of the jurisdiction’s
vulnerability to the hazards described in
paragraph (c)(2)(i) of this section. This
description shall include an overall
summary of each hazard and its impact
on the community. The plan should
describe vulnerability in terms of:
(A) The types and numbers of existing
and future buildings, infrastructure, and
critical facilities located in the
identified hazard areas;
(B) An estimate of the potential dollar
losses to vulnerable structures identified
in paragraph (c)(2)(i)(A) of this section
and a description of the methodology
used to prepare the estimate;
(C) Providing a general description of
land uses and development trends
within the community so that mitigation
options can be considered in future land
use decisions.
(iii) For multi-jurisdictional plans, the
risk assessment section must assess each
jurisdiction’s risks where they vary from
the risks facing the entire planning area.
(3) A mitigation strategy that provides
the jurisdiction’s blueprint for reducing
the potential losses identified in the risk
assessment, based on existing
authorities, policies, programs and
resources, and its ability to expand on
and improve these existing tools. This
section shall include:
(i) A description of mitigation goals to
reduce or avoid long-term
vulnerabilities to the identified hazards.
(ii) A section that identifies and
analyzes a comprehensive range of
specific mitigation actions and projects
being considered to reduce the effects of
each hazard, with particular emphasis
on new and existing buildings and
infrastructure.
(iii) An action plan describing how
the actions identified in paragraph
(c)(2)(ii) of this section will be
prioritized, implemented, and
administered by the local jurisdiction.

Prioritization shall include a special
emphasis on the extent to which
benefits are maximized according to a
cost benefit review of the proposed
projects and their associated costs.
(iv) For multi-jurisdictional plans,
there must be identifiable action items
specific to the jurisdiction requesting
FEMA approval or credit of the plan.
(4) A plan maintenance process that
includes:
(i) A section describing the method
and schedule of monitoring, evaluating,
and updating the mitigation plan within
a five-year cycle.
(ii) A process by which local
governments incorporate the
requirements of the mitigation plan into
other planning mechanisms such as
comprehensive or capital improvement
plans, when appropriate.
(iii) Discussion on how the
community will continue public
participation in the plan maintenance
process.
(5) Documentation that the plan has
been formally adopted by the governing
body of the jurisdiction requesting
approval of the plan (e.g., City Council,
County Commissioner, Tribal Council).

For multi-jurisdictional plans, each
jurisdiction requesting approval of the
plan must document that it has been
formally adopted.

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submitted to the State Hazard Mitigation
Officer for initial review and
coordination. The State will then send
the plan to the appropriate FEMA
Regional Office for formal review and
approval.
(2) The Regional review will be
completed within 45 days after receipt
from the State, whenever possible.
(3) Plans must be reviewed, revised if
appropriate, and resubmitted for
approval within five years in order to
continue to be eligible for HMGP project
grant funding.
(4) Managing States that have been
approved under the criteria established
by FEMA pursuant to 42 U.S.C. 5170c(c)
will be delegated approval authority for
local mitigation plans, and the review
will be based on the criteria in this part.

Managing States will review the plans
within 45 days of receipt of the plans,
whenever possible, and provide a copy
of the approved plans to the Regional
Office.

PART 206— FEDERAL DISASTER

ASSISTANCE FOR DISASTERS

DECLARED ON OR AFTER
NOVEMBER 23, 1988

2. The authority citation for part 206
is revised to read as follows:

Subpart M— Minimum Standards
Sec.
206.400 General.
206.401 Local standards.
206.402 Compliance.
§ 206.400 General.
(a) As a condition of the receipt of any
disaster assistance under the Stafford
Act, the applicant shall carry out any
repair or construction to be financed
with the disaster assistance in
accordance with applicable standards of
safety, decency, and sanitation and in
conformity with applicable codes,
specifications and standards.
(b) Applicable codes, specifications,
and standards shall include any disaster
resistant building code that meets the
minimum requirements of the National
Flood Insurance Program (NFIP) as well
as being substantially equivalent to the
recommended provisions of the
National Earthquake Hazards Reduction
Program (NEHRP). In addition, the
applicant shall comply with any
requirements necessary in regards to
Executive Order 11988, Floodplain
Management, Executive Order 12699,
Seismic Safety of Federal and Federally
Assisted or Regulated New Building
Construction, and any other applicable
Executive orders.
(c) In situations where there are no
locally applicable standards of safety,
decency and sanitation, or where there
are no applicable local codes,
specifications and standards governing
repair or construction activities, or
where the Regional Director determines
that otherwise applicable codes,
specifications, and standards are
inadequate, then the Regional Director
may, after consultation with appropriate
State and local officials, require the use
of nationally applicable codes,
specifications, and standards, as well as
safe land use and construction practices
in the course of repair or construction
activities.
(d) The mitigation planning process
that is mandated by section 322 of the
Stafford Act and 44 CFR part 201 can
assist State and local governments in
determining where codes,
specifications, and standards are
inadequate, and may need to be
upgraded.
§ 206.401 Local standards.

The cost of repairing or constructing
a facility in conformity with minimum
codes, specifications and standards may
be eligible for reimbursement under
section 406 of the Stafford Act, as long
as such codes, specifications and
standards meet the criteria that are
listed at 44 CFR 206.226(b).
§ 206.402 Compliance.

A recipient of disaster assistance
under the Stafford Act must document
for the Regional Director its compliance
with this subpart following the
completion of any repair or construction
activities.

Subpart N— Hazard Mitigation Grant
Program

3. Revise § 206.431 to read as follows:
§ 206.431 Definitions.

Activity means any mitigation
measure, project, or action proposed to
reduce risk of future damage, hardship,
loss or suffering from disasters.

Applicant means a State agency, local
government, Indian tribal government,
or eligible private nonprofit
organization, submitting an application
to the grantee for assistance under the
HMGP.

Enhanced State Mitigation Plan is the
hazard mitigation plan approved under
44 CFR part 201 as a condition of
receiving increased funding under the
HMGP.

Grant application means the request
to FEMA for HMGP funding, as outlined
in § 206.436, by a State or tribal
government that will act as grantee.

Grant award means total of Federal
and non-Federal contributions to
complete the approved scope of work.

Grantee means the government to
which a grant is awarded and which 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. Generally,
the State is the grantee. However, an
Indian tribal government may choose to
be a grantee, or it may act as a
subgrantee under the State. An Indian
tribal government acting as a grantee
will assume the responsibilities of a
‘‘state’’, under this subpart, for the
purposes of administering the grant.

Local Mitigation Plan is the hazard
mitigation plan required of a local or
Indian tribal government acting as a
subgrantee as a condition of receiving a
project subgrant under the HMGP as
outlined in 44 CFR 201.6.

Standard State Mitigation Plan is the
hazard mitigation plan approved under
44 CFR part 201, as a condition of
receiving Stafford Act assistance as
outlined in § 201.4.

State Administrative Plan for the
Hazard Mitigation Grant Program means
the plan developed by the State to
describe the procedures for
administration of the HMGP.

Subgrant means an award of financial
assistance under a grant by a grantee to
an eligible subgrantee.

Subgrant application means the
request to the grantee for HMGP funding
by the eligible subgrantee, as outlined in
§ 206.436.

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subgrantee are accountable to the State
grantee.

4. Revise § 206.432(b) to read as
follows:
§ 206.432 Federal grant assistance.
* * * * *
(b) Amounts of assistance. The total of
Federal assistance under this subpart
shall not exceed either 15 or 20 percent
of the total estimated Federal assistance
(excluding administrative costs)
provided for a major disaster under 42
U.S.C. 5170b, 5172, 5173, 5174, 5177,
5178, 5183, and 5201 as follows:
(1) Fifteen (15) percent. Effective
November 1, 2003, a State with an
approved Standard State Mitigation
Plan, which meets the requirements
outlined in 44 CFR 201.4, shall be
eligible for assistance under the HMGP
not to exceed 15 percent of the total
estimated Federal assistance described
in this paragraph. Until that date,
existing, approved State Mitigation
Plans will be accepted.
(2) Twenty (20) percent. A State with
an approved Enhanced State Mitigation
Plan, in effect prior to the disaster
declaration, which meets the
requirements outlined in 44 CFR 201.5
shall be eligible for assistance under the
HMGP not to exceed 20 percent of the
total estimated Federal assistance
described in this paragraph.
(3) The estimates of Federal assistance
under this paragraph (b) shall be based
on the Regional Director’s estimate of all
eligible costs, actual grants, and
appropriate mission assignments.
* * * * *

5. Section 206.434 is amended by
redesignating paragraphs (b) through (g)
as paragraphs (c) through (h),
respectively; adding a new paragraph
(b); revising redesignated paragraphs (c)
introductory text and (c)(1); and revising
redesignated paragraph (d) to read as
follows:
§ 206.434 Eligibility.
* * * * *
(b) Plan requirement. (1) For all
disasters declared on or after November
1, 2003, local and tribal government
applicants for subgrants, must have an
approved local mitigation plan in
accordance with 44 CFR 201.6 prior to
receipt of HMGP subgrant funding.

Until November 1, 2003, local
mitigation plans may be developed
concurrent with the implementation of
subgrants.
(2) Regional Directors may grant an
exception to this requirement in
extraordinary circumstances, such as in
a small and impoverished community
when justification is provided. In these
cases, a plan will be completed within
12 months of the award of the project
grant. If a plan is not provided within
this timeframe, the project grant will be
terminated, and any costs incurred after
notice of grant’s termination will not be
reimbursed by FEMA.
(c) Minimum project criteria. To be
eligible for the Hazard Mitigation Grant
Program, a project must:
(1) Be in conformance with the State
Mitigation Plan and Local Mitigation
Plan approved under 44 CFR part 201;
* * * * *
(d) Eligible activities. (1) Planning. Up
to 7% of the State’s HMGP grant may be
used to develop State, tribal and/or local
mitigation plans to meet the planning
criteria outlined in 44 CFR part 201.
(2) Types of projects. Projects may be
of any nature that will result in
protection to public or private property.

Eligible projects include, but are not
limited to:
(i) Structural hazard control or
protection projects;
(ii) Construction activities that will
result in protection from hazards;
(iii) Retrofitting of facilities;
(iv) Property acquisition or relocation,
as defined in paragraph (e) of this
section;
(v) Development of State or local
mitigation standards;
(vi) Development of comprehensive
mitigation programs with
implementation as an essential
component;
(vii) Development or improvement of
warning systems.
* * * * *

6. Revise § 206.435(a) to read as
follows:
§ 206.435 Project identificaiton and
selection criteria.
(a) Identification. It is the State’s
responsibility to identify and select
eligible hazard mitigation projects. All
funded projects must be consistent with
the State Mitigation Plan. Hazard
Mitigation projects shall be identified
and prioritized through the State, Indian
tribal, and local planning process.
* * * * *

7. Revise § 206.436 to read as follows:
§ 206.436 Application procedures.
(a) General. This section describes the
procedures to be used by the grantee in
submitting an application for HMGP
funding. Under the HMGP, the State or
Indian tribal government is the grantee
and is responsible for processing
subgrants to applicants in accordance
with 44 CFR part 13 and this part 206.

Subgrantees are accountable to the
grantee.
(b) Governor’s Authorized
Representative. The Governor’s
Authorized Representative serves as the
grant administrator for all funds
provided under the Hazard Mitigation
Grant Program. The Governor’s
Authorized Representative’s
responsibilities as they pertain to
procedures outlined in this section
include providing technical advice and
assistance to eligible subgrantees, and
ensuring that all potential applicants are
aware of assistance available and
submission of those documents
necessary for grant award.
(c) Hazard mitigation application.

Upon identification of mitigation
measures, the State (Governor’s
Authorized Representative) will submit
its Hazard Mitigation Grant Program
application to the FEMA Regional
Director. The application will identify
one or more mitigation measures for
which funding is requested. The
application must include a Standard
Form (SF) 424, Application for Federal
Assistance, SF 424D, Assurances for
Construction Programs, if appropriate,
and an narrative statement. The
narrative statement will contain any
pertinent project management
information not included in the State’s
administrative plan for Hazard
Mitigation. The narrative statement will
also serve to identify the specific
mitigation measures for which funding
is requested. Information required for
each mitigation measure shall include
the following:
(1) Name of the subgrantee, if any;
(2) State or local contact for the
measure;
(3) Location of the project;
(4) Description of the measure;
(5) Cost estimate for the measure;
(6) Analysis of the measure’s cost-
effectiveness and substantial risk
reduction, consistent with § 206.434(c);
(7) Work schedule;
(8) Justification for selection;
(9) Alternatives considered;
(10) Environmental information
consistent with 44 CFR part 9,
Floodplain Management and Protection
of Wetlands, and 44 CFR part 10,
Environmental Considerations.
(d) Application submission time limit.

The State’s application may be amended
as the State identifies and selects local
project applications to be funded. The
State must submit all local HMGP
applications and funding requests for
the purpose of identifying new projects
to the Regional Director within 12
months of the date of disaster
declaration.
(e) Extensions. The State may request
the Regional Director to extend the
application time limit by 30 to 90 day
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days. The grantee must include a
justification in its request.
(f) FEMA approval. The application
and supplement(s) will be submitted to
the FEMA Regional Director for
approval. FEMA has final approval
authority for funding of all projects.
(g) Indian tribal grantees. Indian tribal
governments may submit a SF 424
directly to the Regional Director.

Subpart H— Public Assistance
Eligibility
* * * * *

8. Revise § 206.220 to read as follows:
§ 206.220 General.

This subpart provides policies and
procedures for determinations of
eligibility of applicants for public
assistance, eligibility of work, and
eligibility of costs for assistance under
sections 402, 403, 406, 407, 418, 419,
421(d), 502, and 503 of the Stafford Act.

Assistance under this subpart must also
conform to requirements of 44 CFR part
201, Mitigation Planning, and 44 CFR
part 206, subparts G— Public Assistance
Project Administration, I— Public
Assistance Insurance Requirements, J—
Coastal Barrier Resources Act, and M—
Minimum Standards. Regulations under
44 CFR part 9— Floodplain Management
and 44 CFR part 10— Environmental
Considerations, also apply to this
assistance.

9. Section 206.226 is amended by
redesignating paragraphs
(b) through (j) as paragraphs (c)
through (k), respectively; adding a new
paragraph (b); and revising redesignated
paragraph (g)(5) to read as follows:
§ 206.226 Restoration of damaged
facilities.
* * * * *
(b) Mitigation planning. In order to
receive assistance under this section, as
of November 1, 2003, the State must
have in place a FEMA approved State
Mitigation Plan in accordance with 44
CFR part 201.
* * * * *
(g) * * *
(5) If relocation of a facility is not
feasible or cost effective, the Regional
Director shall disapprove Federal
funding for the original location when
he/she determines in accordance with
44 CFR parts 9, 10, 201, or subpart M
of this part 206, that restoration in the
original location is not allowed. In such
cases, an alternative project may be
applied for.
* * * * *
Dated: February 19, 2002.

Michael D. Brown,
General Counsel.
[FR Doc. 02–4321 Filed 2–25–02; 8:45 am]
BILLING CODE 6718 –05–P
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Hazard
Mitigation Assistance
Unified Guidance
Hazard Mitigation Grant Program, Pre-Disaster Mitigation Program, and Flood Mitigation Assistance Program
July 12, 2013
Federal Emergency Management Agency
Department of Homeland Security
500 C Street, S.W.

Washington, DC 20472

Titles of Opportunities:
 Hazard Mitigation Grant Program (HMGP)
 Pre-Disaster Mitigation (PDM) Program
 Flood Mitigation Assistance (FMA)
Funding Opportunity Numbers:

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

 97.029 Flood Mitigation Assistance (FMA)
Federal Agency Name:

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

Initial

CONTENTS
Part I. Funding Opportunity Description................................................................................... 1

A. Authorization and Appropriation........................................................................................ 2

B. Additional Program Information......................................................................................... 3

B.1 Programmatic Changes ..............................................................................................4

Part II. Frontloading HMA Program Eligibility Requirements .............................................. 9

A. Mitigation Planning .......................................................................................................... 11

B. Technical Feasibility and Effectiveness ............................................................................ 11

C. Floodplain Management and Protection of Wetlands ....................................................... 11

D. Environmental Planning and Historic Preservation Review and Compliance.................. 12

E. Cost-effectiveness............................................................................................................. 12

F. Cost Review...................................................................................................................... 12

G. Project Development ......................................................................................................... 14

H. Advance Assistance .......................................................................................................... 14

I. Strategic Funds Management............................................................................................ 14

J. Project Monitoring............................................................................................................ 15

K. Closeout ............................................................................................................................ 15

Part III. Award Information...................................................................................................... 16

Part IV. Eligibility Information................................................................................................. 17

A. Eligible Applicants............................................................................................................ 17

A.1 Eligible Subapplicants..............................................................................................17

B. Cost Sharing...................................................................................................................... 18

B.1 Federal Funds Allowed to Be Used as Non-Federal Cost Share..............................20

B.2 Increased Cost of Compliance as Non-Federal Cost Share ......................................20

C. Restrictions ....................................................................................................................... 20

C.1 Non-Discrimination Compliance .............................................................................20

C.2 Conflict of Interest ...................................................................................................21

C.3 Duplication of Programs ..........................................................................................21

C.4 Duplication of Benefits ............................................................................................21

D. General Program Requirements ........................................................................................ 22

D.1 Eligible Activities.....................................................................................................22

D.1.1 Mitigation Projects ...................................................................................... 23

D.1.2 Hazard Mitigation Planning ........................................................................ 27

D.1.3 Management Costs ...................................................................................... 29

D.2 Ineligible Activities ..................................................................................................30

D.3 Cost-effectiveness ....................................................................................................31

D.4 Feasibility and Effectiveness....................................................................................32

D.5 Hazard Mitigation Plan Requirement .......................................................................32

D.5.1 Indian Tribal Government Hazard Mitigation Plan Requirement ............... 34

D.5.2 Conformance with Hazard Mitigation Plans............................................... 34

D.6 Environmental Planning and Historic Preservation Requirement ............................34

D.6.1 Floodplain Management and Protection of Wetlands ................................. 35

D.7 National Flood Insurance Program Eligibility Requirements ..................................35

D.7.1 Special Flood Hazard Area Requirements .................................................. 36

D.8 Statutory, Regulatory, and Other Requirements ......................................................36

Part V. Application and Submission Information ................................................................... 38

A. Address to Request Application Package ......................................................................... 38

B. Content and Form of Application ..................................................................................... 38

C. Submission Dates and Times............................................................................................ 39

D. Intergovernmental Review ................................................................................................ 39

E. Funding Restrictions ......................................................................................................... 39

E.1 HMGP Funding Restrictions....................................................................................39

E.2 PDM Program Funding Restrictions ........................................................................40

E.3 FMA Funding Restrictions.......................................................................................40

E.4 Management Costs Funding Restrictions .................................................................40

F. Other Submission Requirements ....................................................................................... 41

F.1 Application Consideration under Multiple HMA Programs ....................................41

F.2 Pre-Award Costs ......................................................................................................41

G. Applicant Guidance .......................................................................................................... 41

G.1 General Applicant Guidance ....................................................................................41

G.2 Minimum Eligibility and Completeness Criteria .....................................................42

H. Scope of Work .................................................................................................................. 43

H.1 Project Scope of Work .............................................................................................43

H.2 Hazard Mitigation Planning Scope of Work ............................................................44

H.3 Management Costs Scope of Work ..........................................................................46

H.4 Schedule ...................................................................................................................46

H.5 Cost Estimate ............................................................................................................46

H.5.1 Project Cost Estimate .................................................................................. 47

H.5.2 Hazard Mitigation Planning Cost Estimate ................................................. 47

H.5.3 Management Cost Estimate ......................................................................... 48

I. Cost-effectiveness............................................................................................................. 48

I.1 Substantial Damage Waiver .....................................................................................48

I.2 Aggregation..............................................................................................................49

I.3 5 Percent Initiative ...................................................................................................49

I.4 Pre-calculated Benefits (Safe rooms) .......................................................................49

I.5 Greatest Savings to the Fund ....................................................................................49

I.6 Environmental Benefits ............................................................................................49

I.7 Benefit-Cost Analysis Resources .............................................................................50

J. Feasibility and Effectiveness Documentation................................................................... 50

K. Environmental Planning and Historic Preservation Documentation ................................ 51

Part VI. Application Review Information ................................................................................ 54

A. Review Criteria ................................................................................................................. 54

A.1 Application Review..................................................................................................54

A.2 Cost-effectiveness Review .......................................................................................54

A.3 Feasibility and Effectiveness Review ......................................................................54

A.4 Environmental Planning and Historic Preservation Review ....................................55

A.5 HMA Efficiencies ....................................................................................................55

A.5.1 Safe Room Projects ..................................................................................... 55

A.5.2 Wind Retrofit Projects ................................................................................. 56

A.5.3 Certain Flood Mitigation Projects ............................................................... 56

B. Review and Selection Process .......................................................................................... 56

B.1 Technical Review.....................................................................................................56

B.2 Requests for Information ..........................................................................................56

B.2.1 Request for Information Timelines ............................................................. 57

B.3 Selection ...................................................................................................................59

B.4 Notification...............................................................................................................59

B.5 Reconsideration Process...........................................................................................59

B.5.1 Consideration of Additional Information .................................................... 60

Part VII. Award Administration Information ......................................................................... 61

A. Notice of Award................................................................................................................ 61

B. Administrative and National Policy Requirements ........................................................... 61

B.1 Cost-Share Documentation ......................................................................................61

B.2 Scope of Work Changes...........................................................................................62

B.3 Budget Changes........................................................................................................62

B.3.1 Non-construction Projects ........................................................................... 62

B.3.2 Construction Projects .................................................................................. 62

B.3.3 Cost Overruns and Underruns ..................................................................... 62

iii

B.4 Program Period of Performance...............................................................................63

B.4.1 Extensions ................................................................................................... 63

B.5 Requests for Advances and Reimbursements ..........................................................63

B.5.1 Strategic Funds Management ...................................................................... 64

B.6 Program Income .......................................................................................................64

B.7 Federal Income Tax on Mitigation Project Funds....................................................64

B.8 Noncompliance .........................................................................................................65

C. Reporting Requirements ................................................................................................... 65

C.1 Federal Financial Reports .........................................................................................65

C.2 Performance Reports ................................................................................................66

C.3 Final Reports ............................................................................................................67

D. Closeout ............................................................................................................................ 67

D.1 Subgrant Closeout ....................................................................................................67

D.2 Grant Closeout..........................................................................................................68

D.2.1 Update of Repetitive Loss Database ........................................................... 69

Part VIII. FEMA Contacts......................................................................................................... 71

Part IX. Additional Program Guidance.................................................................................... 72

A. Hazard Mitigation Grant Program .................................................................................... 72

A.1 Grantee Request for HMGP Funds ..........................................................................72

A.2 State Administrative Plan .........................................................................................72

A.2.1 Designation of Grantee and SHMO ............................................................ 73

A.2.2 Staffing Requirements and the Mitigation Team ........................................ 73

A.2.3 Procedures to Guide Implementation Activities ......................................... 74

A.2.4 Sliding Scale................................................................................................ 74

A.2.5 Management Costs ...................................................................................... 75

A.2.6 Submission and Approval Deadlines .......................................................... 75

A.3 HMGP Funding ........................................................................................................75

A.4 HMGP Management Costs .......................................................................................76

A.5 Eligible Subapplicants..............................................................................................77

A.6 Submission of HMGP Subapplications ....................................................................78

A.7 Grant Cost-share Requirements ...............................................................................78

A.8 Post-Disaster Code Enforcement Projects ................................................................79

A.9 Advance Assistance..................................................................................................80

A.10 Phased Projects.........................................................................................................82

A.10.1 Pre-Screening Process ................................................................................. 83

A.10.2 Phase I Conditional Approval ..................................................................... 83

A.10.3 Phase II Approval-Construction Process..................................................... 84

A.11 The 5 Percent Initiative ............................................................................................84

A.11.1 Availability of Additional Funds for Tornado Mitigation........................... 85

A.12 Appeal Process .........................................................................................................85

B. Pre-Disaster Mitigation Program ...................................................................................... 87

B.1 Allocation .................................................................................................................87

B.2 Small Impoverished Communities ...........................................................................87

B.3 Information Dissemination .......................................................................................87

B.4 Applicant Ranking of Subapplications .....................................................................88

B.5 Selection ...................................................................................................................88

C. Flood Mitigation Assistance Program .............................................................................. 89

C.1 Eligible Properties ....................................................................................................89

C.2 Repetitive Loss Strategy ...........................................................................................89

C.3 Cost Sharing .............................................................................................................90

C.4 Applicant Ranking of Subapplications .....................................................................90

C.5 Selection ...................................................................................................................90

Part X. Appendices ..................................................................................................................... 92

A. Acronyms .......................................................................................................................... 92

B. Glossary ............................................................................................................................ 95

C. Additional Resources ...................................................................................................... 103

D. Referenced Regulations, Statutes, Directives, and Guidance ......................................... 107

E. Eligibility and Completeness Review Checklist for Project Subapplications ................ 117

F. Safe Room Application Using Pre-Calculated Benefits ................................................. 120

G. Generator FAQ................................................................................................................ 125

H. Eligibility and Completeness Review Checklist for Planning Subapplications ............. 133

I. EHP Checklist................................................................................................................. 135

J. 8-Step Decision Making Process for Floodplain Management Considerations ............. 137

K. Section 106 Process under the National Historic Preservation Act ................................ 138

L. Application for Advance Assistance............................................................................... 140

List of Figures
Figure 1: Overall Project Lifecycle ..................................................................................................9

Figure 2: General Steps in Project Scoping Process ......................................................................10

Figure 3: Frontloading EHP Considerations and the NEPA Process ............................................13

Figure 4: RFI Flowchart.................................................................................................................58

List of Tables
Table 1: Eligible Subapplicants .....................................................................................................18

Table 2: Cost-Share Requirements ................................................................................................19

Table 3: Eligible Activities by Program ........................................................................................23

Table 4: Green Open Space and Riparian Benefits .......................................................................50

Table 5: RFI Timelines ..................................................................................................................57

Table 6: FEMA Regions ................................................................................................................71

PART I. FUNDING OPPORTUNITY

DESCRIPTION
Part I of the Hazard Mitigation Assistance (HMA) Unified Guidance introduces the three HMA programs and outlines the organization of the document.

The U.S. Department of Homeland Security (DHS) Federal Emergency Management Agency (FEMA) HMA programs present a critical opportunity to reduce the risk to individuals and property from natural hazards while simultaneously reducing reliance on Federal disaster funds.

On March 30, 2011, the President signed Presidential Policy Directive 8: National Preparedness (PPD-8), and the National Mitigation Framework was finalized in May 2013. The National Mitigation Framework comprises seven core capabilities, including Threats and Hazard Identification, Risk and Disaster Resilience Assessment, Planning, Community Resilience, Public Information and Warning, Long-term Vulnerability Reduction, and Operational Coordination. HMA programs provide funding for elig ible activities that are consistent with the National Mitigation Framework’s Long-term Vulnerability Reduction capability. HMA programs reduce community vulnerability to disasters and their effects, promote individual and community safety and resilience, and promote community vitality after an incident.

Furthermore, HMA programs reduce response and recovery resource requirements in the wake of a disaster or incident, which results in a safer community that is less reliant on external financial assistance.

Hazard mitigation is any sustained action taken to reduce or eliminate long-term risk to people and property from natural hazards and their effects. This definition distinguishes actions that have a long-term impact from those that are more closely associated with immediate preparedness, response, and recovery activities. Hazard mitigation is the only phase of emergency management specifically dedicated to breaking the cycle of damage, reconstruction, and repeated damage. Accordingly, States, Territories, Indian Tribal governments, and communities are encouraged to take advantage of funding that HMA programs provide in both the pre- and post-disaster timelines.

Together, these programs provide significant opportunities to reduce or eliminate potential losses to State, Indian Tribal government, and local assets through hazard mitigation planning and project grant funding. Each HMA program was author ized by separate legislative action, and as such, each program differs slightly in scope and intent.

The Hazard Mitigation Grant Program (HMGP) provides funds to States, Territories, Indian Tribal governments, local governments, and eligible private non-profits (PNPs) following a Presidential major disaster declaration. The Pre-Disaster Mitigation (PDM) Program and Flood Mitigation Assistance (FMA) programs provide funds annually to States, Territories, Indian Tribal governments, and local governments. Although the statutory origins of the programs Part I. Funding Opportunity Description 1

differ, both share the common goal of reducing the risk of loss of life and property due to natural hazards.

This guidance applies to HMGP funds available for disasters declared on or after the date of publication. The guidance in th is document is subject to change based on new laws or regulations enacted after publication. This guidance is applicable to the PDM and FMA programs; the application cycles are announced via http://www.grants.gov/. For additional information, please contact FEMA.

State, Territory, or Indian Tribal governments are eligible Applicants for HMA programs. The Applicant is responsible for soliciting subapplications from eligible subapplicants, assisting in the preparation of them, and submitting eligible, complete applications to FEMA in priority order. HMA grant funds are awarded to Applicants. When funding is awarded, the Applicant then becomes the “Grantee” and is accountable for the use of the funds, responsible for administering the grant, and responsible for complying with program requirements and other applicable Federal, State, Territorial, and Indian Tribal laws and regulations. As the Grantee, the Applicant is also responsible for financial management of the program and overseeing all approved projects. In general, the “subapplicant” is a State-level agency, Indian Tribal government, local government, or other eligible entity that submits a subapplication for FEMA assistance to the Applicant. If HMA funding is awarded, the subapplicant becomes the “subgrantee” and is responsible for managing the subgrant and complying with program requirements and other applicable Federal, State, Territorial, Indian Tribal, and local laws and regulations. An Indian Tribal government may pa rticipate as either the Applicant/Grantee or the subapplicant/subgrantee (see
Part IV , A). For HMGP , “subapplicant” has the same meaning given to
the term “Applicant” in the HMGP regulations at Title 44 of the Code of Federal Regulations (CFR) Part 206.431.

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

7.5 percent for amounts between $10 billion and $35.333 billion. For States with enhanced Part I. Funding Opportunity Description 2

plans, the eligible assistance is up to 20 percent for estimated aggregate amounts of disaster assistance not to exceed $35.333 billion.

The PDM Program is authorized by Section 203 of the Stafford Act, 42 U.S.C. 5133. The PDM Program is designed to assist States, Territories, Indian Tribal governments, and local communities to implement a sustained pre-disaster natural hazard mitigation program to reduce overall risk to the population and structures from future hazard events, while also reducing reliance on Federal funding in future disasters.

The FMA program is authorized by Section 1366 of the National Flood Insurance Act of 1968, as amended (NFIA), 42 U.S.C. 4104c, with the goal of reducing or eliminating claims under the National Flood Insurance Program (NFIP).

The National Flood Insurance Fund (NFIF) provides the funding for the FMA program. The PDM and FMA programs are subject to the availability of appropriation funding, as well as any program-specific directive or restriction made with respect to such funds.

More information about each program can be found on the FEMA HMA Web site at https://www.fema.gov/hazard-mitigation-assistance.

B. Additional Program Information
This guidance consolidates the common requirements for all HMA programs and explains the unique elements of the programs in individual sections. Additionally, it provides information for Federal, State, Indian Tribal, and local officials on how to apply for HMA funding for a proposed mitigation activity.

The organization of this HMA Unified Guidance provides clarity and ease of use by presenting information common to all programs in general order of the grant life cycle. As a result, closely related topics may be presented in different sections of the guidance. This guidance is organized in the following manner:
 Part I, Funding Opportunity Description, introduces the HMA programs;  Part II, Frontloading HMA Program Eligibility Requirements, provides general information to facilitate project scoping and the overall decision-making process;  Part III, Award Information, provides information about available funding and application deadlines;
 Part IV, Eligibility Information, provides information about eligible Applicants and subapplicants, cost-sharing requirements, and other program requirements;  Part V, Application and Submission Information, provides information regarding application development including funding restrictions; Part I. Funding Opportunity Description 3

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

B.1 Programmatic Changes
Although many of the specific requirements of each program remain the same, significant revisions to programmatic requirements included in this HMA Unified Guidance are:
 Per the Sandy Recovery Improvement Act of 2013 (SRIA), Indian Tribal governments can submit a request for a major disaster declaration within their impacted areas;  A new Part II has been created to outline the importance of “frontloading” HMA program requirements in the project scoping and development process;  The Biggert-Waters Flood Insurance Reform Act of 2012 eliminated the Repetitive Flood Claims and Severe Repetitive Loss programs and made the following significant changes to the FMA program:
 The definitions of repetitive loss and severe repetitive loss properties have been modified (Part IX, C.1);
 There is no longer a State cap of $10 million or a community cap of $3.3 million for any 5-year period;
 There is no longer a limit on in-kind contributions for the non-Federal cost share (previously limited to one-half of the non-Federal share);  Mitigation reconstruction is an eligible activity;
 Cost-share requirements have changed to allow more Federal funds for properties with repetitive flood claims and severe repetitive loss properties (Part IV, B); Part I. Funding Opportunity Description 4

 The development or update of mitigation plans shall not exceed $50,000 Federal share to any Applicant or $25,000 Federal share to any subapplicant (Part V, E.3); and  There is no longer a restriction that a planning grant can only be awarded not more than once every 5 years to a State or community.
 For Duplication of Benefits (DOB), HMA does not require that property owners seek assistance from other sources (with the exception of insurance);  However, other assistance anticipated or received must be reported (Part IV , C.4). A Privacy Act notice is required to be provided to homeowners participating in mitigation projects;
 For HMGP, the purchase and installation of stand-alone generators are eligible under regular HMGP funding if they protect a critical facility and meet all other program eligibility criteria (Part IV , D.1.1);
 For HMGP and the PDM Program, generators and/or related equipment purchases (e.g., generator hook-ups) that are not stand-alone are considered eligible when the generator and related equipment directly relates to the hazard being mitigated and is part of a more comprehensive project (Part IV , D.1.1);
 For non-structural retrofits, the elevation of utilities is an eligible activity (Part IV , D.1.1);  FEMA Policy 104-008-01, “Hazard Mitigation Assistance for Wind Retrofit Projects for Existing Residential Buildings” dated November 16, 2012, has been incorporated (Part IV , D.1.1). With the release of this HMA Unified Guidance, the policy has been superseded;  A mitigation planning subgrant award can result in a mitigation plan adopted by the jurisdiction(s) and approved by FEMA or it can also include planning-related activities as outlined in 44 CFR Parts 201 and 206 (Part IV , D.1.2);  FEMA Mitigation Planning Memorandum (MT-PL) #2 “Guidance For FEMA Regional Directors Regarding “Extraordinary Circumstances” under which an HMGP Project Grant may be awarded to Local Jurisdictions without an Approved Local Mitigation Plan” dated October 28, 2005, has been incorporated. W ith the release of this HMA Unified Guidance, the memo has been superseded;
 For PDM and FMA project subgrants, the Region may apply extraordinary circumstances, when justification is provided, with concurrence received from FEMA Headquarters (Risk Reduction and Risk Analysis Divisions) prior to granting an exception (Part IV , D.5);  For the PDM Program, the Federal share to update a hazard mitigation plan has been reduced to $300,000 (Part V , E.2);
 Applications must contain minimal information in order for FEMA to be able to make a general eligibility determination (Part V , G.2);
Part I. Funding Opportunity Description 5

 Applications or subapplications submitted to FEMA that do not contain the minimal eligibility criteria are subject to immediate denial (Part V , G.2); ♦ Greatest Savings to the Fund (GSTF) extends to properties under HMA (Part V, I);  An expedited cost-effectiveness methodology (substantial damage waiver) is available for property acquisition projects wh
en certain conditions are met under all HMA programs;
this was previously limited to HMGP (Part V , I);
 FEMA Policy 108-024-01, “Consideration of Environmental Benefits in the Evaluation of Acquisition Projects under the Hazard Mitigation Assistance (HMA) Programs” dated June 18, 2013, has been incorporated (Part V , I). With the release of this HMA Unified Guidance, this policy has been incorporated;
 Green open space and riparian area benefits can now be included in the project benefit cost ratio (BCR) once the project BCR reaches 0.75 or greater. The inclusion of environmental benefits in the project BCR is limited to acquisition-related activities;  FEMA recommends several HMA efficiencies to facilitate FEMA review and approval (Part VI, A.5);
 FEMA provides timelines for Applicants to comply with requests for information (RFI) (Part VI, B.2.1);
 FEMA clarifies the consideration of additional information in support of a subapplication (Part VI, B.5);
 FEMA clarifies that requests for Scope of Work Changes must address the need for the change through a revised scope, schedule, and budget (Part VII, B.2);  FEMA clarifies when prior FEMA approval is needed for a budget change (Part VII, B.3);  With the publication of this HMA Unified Guidance, the Period of Performance (POP) for the programs begins with the opening of the application period and ends no later than 36 months from the close of the application period. All requests to extend the grant POP beyond 12 months from the original grant POP termination date must be approved by FEMA Headquarters (Part VII, B.4);
 FEMA may elect to provide funding for certain projects in incremental amounts (Strategic Funds Management [SFM]) (Part VII, B.5.1);
 The Grantee must notify FEMA of each property for which settlement was completed in that quarter (Part VII, C.2);
 The HMGP final lock-in will be established 12 months after date of declaration. The final lock-in amount may be greater than or less than the previous calculations. Because the lock-in estimate is subject to change, FEMA will not obligate more than 75 percent of any estimate prior to the calculation of the final lock-in without concurrence of the Regional Administrator or F
ederal Coordinating Officer with Disaster Recovery Manager Part I. Funding Opportunity Description 6

Authority and the Office of Chief Financial Officer (Part IX, A.3);  With the release of this guidance, Section 1104 of the SRIA is incorporated as Advance Assistance in (Part IX, A.9);
 Advance Assistance can be used to accelerate the implementation of the HMGP.

Applicants may use Advance Assistance to develop mitigation strategies and obtain data to prioritize, select, and develop complete HMGP applications in a timely manner (Part IX,
A.9);
 For acquisition projects, clarifications were made regarding the purchase of vacant land, land already owned by an eligible entity, and outstanding tax liens (Addendum, Part A);  FEMA will make a determination on the open space compatibility of access to a subsurface resource (e.g., mineral rights) on a case-by-case basis (Addendum, Part A);  Acquisitions in Coastal Barrier Resource System (CBRS) units and Other Protected Areas (OPAs) are eligible under all HMA programs if the projects are otherwise eligible under the requirements in the 44 CFR and this guidance (Addendum, Part A);  FEMA clarifies that the relevant event may vary under the HMA programs; however, pre- market value or current market value can be used at the Applicant’s discretion for all HMA programs (Addendum, Part A);
 In accordance with Section 203(a)(1) of the Uniform Relocation Assistance and Real Property Acquisition Policies Act, the replacement housing allowance for homeowners may increase from $22,500 to $31,000 on October 1, 2014 (Addendum, Part A);  With the release of this HMA Unified Guidance, certified clean is defined as a letter from the appropriate local, State, Indian Tribal, or Federal entity determining that no further remedial action is required to protect human health or the environment (Addendum, Part A);
 FEMA Policy MRR-2-08-1, “Wildfire Mitigation Policy for the Hazard Mitigation Grant Program (HMGP) and Pre-Disaster Mitigation (PDM) Program,” dated September 8, 2008, has been incorporated. With the release of this HMA Unified Guidance, this policy has now been superseded (Addendum, Part B);
 FEMA urges communities to implement wildfire projects using the materials and technologies that are in accordance with the International Code Council, FEMA, U.S. Fire Administration, and the National Fire Protection Association (NFPA) Firewise recommendations, whenever applicable (Addendum, Part B);  For wildfire projects, the application will include a narrative statement acknowledging the information required in the final operations and maintenance plan. The final operations and maintenance plans must be submitted to FEMA prior to project closeout (Addendum, Part B);
Part I. Funding Opportunity Description 7

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

Part I. Funding Opportunity Description 8

PART II. FRONTLOADING HMA PROGRAM

ELIGIBILITY REQUIREMENTS
Part II provides general information on the importance of “frontloading” HMA Program eligibility requirements in the project scoping and the overall decision-making process. Project scoping and project development are two of the earliest steps in the overall project lifecycle (see Figure 1) and can have a significant impact on the course an application or subapplication takes through the HMA grant process.

Project scoping (as shown in Figure 2) is the process by which subapplicants develop effective mitigation alternatives based on a defined set of requirements that meet the stated purpose and need of the proposed project. A pplicants are encouraged to include representatives of the whole community in planning and scoping the project to gain broad community participation and support.

The scoping process includes the identification and evaluation of technical feasibility, cost review, cost-effectiveness, and environmental and cultural resource considerations. Based on potential impacts to environmental and cultural resources, there may be a legal requirement to alter the project. The process results in the development of a preferred project alternative that is then documented through the preparation of the application or subapplication. Applicants and subapplicants should consider the whole range of program requirements at the beginning stages of project development. The incorporation of these considerations into the scoping process can increase the efficiency of program review and ensure that all HMA program requirements are addressed.

Figure 1: Overall Project Lifecycle
Part II. Frontloading HMA Program Eligibility Requirements 9

Figure 2: General Steps in Project Scoping Process
Addressing the following HMA program requirements at the earliest stage possible in the decision-making process is important because it can lead to enhanced project scoping as well as development and prevent delays later:
 Mitigation Planning;
 Technical Feasibility and Effectiveness;
 Floodplain Management and Protection of Wetlands;
 Environmental Planning and Historic Preservation Review and Compliance;  Cost-Effectiveness; and
 Cost Review.

Part II. Frontloading HMA Program Eligibility Requirements 10

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

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

B. Technical Feasibility and Effectiveness
Mitigation projects submitted for the HMA grants must be both feasible and effective at mitigating the risks of the hazard for which the project was designed. The feasibility of the project is demonstrated through conformance with accepted engineering practices, established codes, standards, modeling techniques, or best practices. Effective mitigation measures funded under HMA should provide a long-term or permanent solution. Consideration of technical feasibility and effectiveness during the project scoping process facilitates project development.

For more information on technical feasibility and effectiveness, see Part VI, A.3 (application review criteria), Part IV , D.4 (eligibility program requirements), or Part V , J (documentation).

C. Floodplain Management and Protection of Wetlands
HMA programs and grants must conform to 44 CFR Part 9, which incorporates the requirements of Executive Order (EO) 11988 (Floodplain Management) and EO 11990 (Protection of Wetlands). All proposed actions should be reviewed to determine if they are in the floodplain or a wetland. Any actions located in the 100-year floodplain (500-year for critical actions), or adversely increasing the base flood or adversely affecting a wetland, trigger the requirement to Part II. Frontloading HMA Program Eligibility Requirements 11

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

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

E. Cost-effectiveness
Mitigation activities are required by statute and regulation to be cost-effective or be in the interest of the NFIF. Consideration of the cost-effectiveness requirement at the earliest possible stage of the decision-making process can facilitate project scoping and improve project design.

For more information on cost-effectiveness, see Part IV , D.3 (general program requirements) and Part V , I (documentation).

F. Cost Review
All costs included in the subapplication should be reviewed to ensure that they are necessary, reasonable, and allocable consistent with the provisions of Office of Management and Budget (OMB) Circular A-87 and 2 CFR Part 225, Cost Principles for State, Local, and Indian Tribal Part II. Frontloading HMA Program Eligibility Requirements 12

Figure 3: Frontloading EHP Considerations and the NEPA Process Part II. Frontloading HMA Program Eligibility Requirements 13

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

G. Project Development
Project scoping is not a separate, stand-alone process from project development. It can be considered the initial stage of project development, during which the details of mitigation activities are evaluated and developed. State, Lo cal, and Indian Tribal governments that actively participate in and document their project scoping process put themselves in a greater position for success during project development. The information gathered in the scoping process serves as the basis for the development of a more detailed and robust technical design, cost, and environmental compliance components of the mitigation activity.

During the project development process, the subapplicant may encounter project considerations such as technical feasibility, cost-effectiveness, and EHP that necessitate the refinement or adjustment of the mitigation activity. When these situations are encountered, the reason for the refinement or re-scoping should be fully documented and included with the subapplication.

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

ADVANCE ASSISTANCE
Advance Assistance can be used to
develop mitigation strategies and
obtain data to prioritize, select, and
develop complete HMGP applications.

Consideration of Advance Assistance
early in the decision-making process
can help facilitate the development of
a viable project, as well as project
administration.

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

STRATEGIC FUNDS MANAGEMENT
SFM is a fiscal management approach
designed to provide funds to the Grantee as
needed to implement approved HMGP
activities. Part II. Frontloading HMA Program Eligibility Requirements 14

appropriate project milestones. At the beginning of an SFM project, FEMA and the State will work together to develop a work schedule.

See Part VII, B.5.1 for additional information on SFM.

J. Project Monitoring
After a grant or subgrant is awarded, the Grantee and subgrantee are required to monitor and evaluate the progress of the mitigation activity in accordance with the:
 Approved original scope of work (SOW) and budget;
 Administrative requirements of 44 CFR Part 13; and
 Any applicable State requirements.

Sound project monitoring improves the efficiency of the project implementation process and the obligation of funds process. The satisfactory use of quarterly reporting facilitates project management and allows the Grantee, subgrantee, and FEMA to monitor obligations and any unliquidated funds. For additi onal information on project monitoring (reporting requirements) see Part VII, C.

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

For more information on closeout, see Part VII, D.

Part II. Frontloading HMA Program Eligibility Requirements 15

PART III. AWARD INFORMATION
Funding under HMA programs is subject to the availability of appropriations (as well as any directive or restriction made with respect to such funds in the law) and, for HMGP, to the amount of FEMA disaster recovery assistance under the Presidential major disaster declaration.

For additional information about available funding for HMGP, see Part IX, A.3; for the PDM Program, see Part IX, B.1; and for FMA, see Part IX, C.

Part III. Award Information 16

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

A. Eligible Applicants
Entities eligible to apply for HMA grants include the emergency management agency or a similar office of the 50 States (e.g., the office that has primary emergency management or floodplain management responsibility), the District of Columbia, American Samoa, Guam, the U.S. Virgin Islands, Puerto Rico, the Northern Mariana Islands, and Indian Tribal governments. Each State, Territory, Commonwealth, or Indian Tribal government shall designate one agency to serve as the Applicant for each HMA program. For the definition of the term Indian Tribal government refer to 44 CFR Section 206.431.

An Indian Tribal government may have the option to apply for HMA grants through the State as a subapplicant or directly to FEMA as an Applicant. The option for an Indian Tribal government to apply directly to FEMA reflects FEMA recognition that Indian Tribal governments are sovereign nations and share a government-to-government relationship with the United States.

This choice is independent of a designation under other FEMA grants and programs, but is not available on a project-by-project basis within a single grant program. If an Indian Tribal government chooses to apply directly to FEMA and is awarded the grant, it bears the full responsibility of a Grantee for the purposes of administering the grant. For plan requirements relevant to the options to apply as a subapplicant or an Applicant, see Part IV , D.5.1.

A.1 Eligible Subapplicants
All interested subapplicants must apply to the Applicant. Table 1 identifies, in general, eligible subapplicants. For specific details regarding eligible subapplicants, refer to 44 CFR Section 206.434(a) for HMGP and 44 CFR Section 79.6(a) for FMA. For HMGP and the PDM Program, see 44 CFR Section 206.2(a)(16) for a definition of local governments.

Individuals and businesses are not eligible to apply for HMA funds; however, an eligible Applicant or subapplicant may apply for funding on behalf of individuals and businesses. For additional information about the eligibility of PNPs for HMGP, see Part IX, A.5.

Part IV. Eligibility Information 17

Table 1: Eligible Subapplicants
Entity HMGP PDM FMA
State agencies √ √ √
Indian Tribal governments √ √ √
Local governments/communities √ √ √
Private non-profit organizations (PNPs) √
B. Cost Sharing
Under the HMA programs, the total cost to implement approved mitigation activities is generally funded by a combination of Federal and non-Federal sources. Both the Federal and the non- Federal cost shares must be for eligible costs used in direct support of the approved activities under this guidance and the grant award. Contributions of cash, third-party in-kind services, materials, or any combination thereof, may be accepted as part of the non-Federal cost share.

FEMA administers cost-sharing requirements consistent with 44 CFR Section 13.24 and 2 CFR Section 215.23. To meet cost-sharing requirements, the non-Federal contributions must be reasonable, allowable, allocable, and necessary under the grant program and must comply with all Federal requirements and regulations.

In general, HMA funds may be used to pay up to 75 percent of the eligible activity costs. The remaining 25 percent of eligible activity costs are derived from non-Federal sources. Exceptions to the 75 percent Federal and 25 percent non-Federal share (see Table 2) are as follows:
 PDM Program – Small impoverished communities may be eligible for up to a 90 percent Federal cost share. For information about small impoverished communities, see Part IX, B.2.
 FMA
 FEMA may contribute up to 100 percent Federal cost share for severe repetitive loss properties or the expected savings to the NFIF for acquisition or relocation activities (the GSTF value for property acquisition may be offered to the property owner if the project is not cost-effective using pre-event or current market value);  FEMA may contribute up to 90 percent Federal cost share for repetitive loss properties; and
 FEMA may contribute up to 75 percent Federal cost share for NFIP-insured properties.  Insular areas, including American Samoa, Guam, the Northern Mariana Islands, Puerto Rico, and the U.S. Virgin Islands – FEMA automatically waives the non-Federal cost share when the non-Federal cost share for the entire grant is under $200,000, not an individual subgrant. If the non-Federal co st share for the entire grant is $200,000 or Part IV. Eligibility Information 18

greater, FEMA may waive all or part of the cost share, such a waiver is usually consistent with that provided for Public Assistance under the disaster declaration. If FEMA does not waive the cost share, the insular area must pay the entire cost-share amount, not only the amount over $200,000.

Cost-share requirements also extend to management costs with the following exceptions:
 For HMGP, available HMGP management costs are calculated as a percentage of the Federal funds provided. There is no additiona l cost-share requirement for management costs.
 Under the PDM Program, only Indian Tribal Grantees meeting the definition of a small impoverished community are eligible for a non-Federal cost share of 10 percent for management costs.

See Part IX, A.7 for further information about HMGP cost-share requirements and Part V , E.4 for further information on funding restrictions for management costs.

HMA Federal funds, or funds used to meet HMA cost-share requirements, may not be used as a cost share for other Federal funds, for lobbying, or intervention in Federal regulatory or adjudicatory proceedings.

Table 2: Cost-Share Requirements
Programs Mitigation Activity
(Percent of Federal / Non-
Federal Share)
Grantee
Management Costs
(Percent of Federal / Non-
Federal Share)
Subgrantee
Management Costs
(Percent of Federal / Non-
Federal Share)
HMGP 75/25 100/0 –/–(1)
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 – insured properties
and planning grants
75/25 75/25 75/25
FMA – repetitive loss
property
(2)
90/10 90/10 90/10
FMA – severe repetitive loss
property
(2)
100/0 100/0 100/0
(1) Subapplicants should consult their State Hazard Mitigation Officer (SHMO) for the amount or percentage of HMGP subgrantee management cost funding their State has determined to be passed through to subgrantees. (2) To be eligible for an increased Federal cost share a FEMA-approved State or Tribal (Standard or Enhanced) Mitigation Plan that addresses repetitive loss properties must be in effect at the time of grant award, and the property that is being submitted for consideration must be a repetitive loss property.

Part IV. Eligibility Information 19

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 th at are used to meet a non-Federal cost-share requirement must meet the purpose and eligibility requirements of both the Federal source program and the HMA grant program.

B.2 Increased Cost of Compliance as Non-Federal Cost Share The NFIP Increased Cost of Compliance (ICC) claim payment from a flood event may be used to contribute to the non-Federal cost-share requirements so long as the claim is made within the timelines allowed by the NFIP. ICC payments can only be used for costs that are eligible for ICC benefits; for example, ICC cannot pay for property acquisition, but can pay for structure demolition or relocation. In addition, Federal funds cannot be provided where ICC funds are available; if the ICC payment exceeds the required non-Federal share, the Federal funding award will be reduced to the difference between the cost of the activity and the ICC payment.

If an ICC payment is being used as a subapplicant’s non-Federal cost share, the NFIP policyholder must assign the claim to the subapplicant. However, only that part of the ICC benefit that pertains to the property can be assigned to the subapplicant. The NFIP policyholder can only assign the ICC benefit to the subapplicant; in no case can the policyholder assign the ICC benefit to another individual. Steps for the assignment of ICC coverage are available at http://www.fema.gov/national-flood-insurance-program/steps-assignment-coverage-d-increased- cost-compliance-coverage.

C. Restrictions
C.1 Non-Discrimination Compliance
In accordance with Section 308 of the Stafford Act and Title VI of the 1964 Civil Rights Act, all HMA programs are administered in an equitable and impartial manner, without discrimination on the grounds of race, color, religion, nationality, sex, age, disability, English proficiency, or economic status. In addition, Federal assistance distributed by State and local governments is to be implemented in compliance with all applicable laws.

Applicants and subapplicants must ensure that no discrimination is practiced. Applicants and subapplicants must consider fairness, equity, and equal access when prioritizing and selecting project subapplications to submit with their grant application. Subapplicants also must ensure fairness and equal access to property owners and individuals that benefit from mitigation activities.

Part IV. Eligibility Information 20

C.2 Conflict of Interest
Applicants and subapplicants must avoid conflicts of interest. Subapplicants must comply with the procurement guidelines at 44 CFR Section 13.36, which require subapplicants to avoid situations in which local officials with oversight authority might benefit financially from the grant disbursement. Applicants must comply with guidelines for awarding and administering subgrants as stated in 44 CFR Section 13.37.

C.3 Duplication of Programs
FEMA will not provide assistance for activities for which it determines the primary or more specific authority lies with another Federal agency or program. Other programs and authorities should be examined before applying for HMA funding. HMA funds are not intended to be used as a substitute for other available program authorities. Available program authorities include other FEMA programs (e.g., Individual Assistance and Public Assistance) and programs under other Federal agencies, such as the U.S. Environmental Protection Agency, U.S. Army Corps of Engineers, and the Natural Resources Conservation Service. FEMA may disallow or recoup amounts that duplicate other authorities.

For additional information about Duplication of Programs for wildfire mitigation projects, see Addendum, Part B.2.

C.4 Duplication of Benefits
HMA funds cannot duplicate funds received by
or available to Applicants or subapplicants from
other sources for the same purpose. Examples of
other sources include insurance claims, other
assistance programs (including previous project
or planning grants and subgrants from HMA
programs), legal awards, or other benefits
associated with properties or damage that are
subject of litigation.

Because the availability of other sources of
mitigation grant or loan assistance is subject to
available information and the means of each

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

DOB may apply when assistance for the
same purpose:
 Has been received
 Will be received
 Is reasonably available from another
source, such as insurance or legal
settlements due to the
property owners
individual Applicant, HMA does not require that property owners seek assistance from other sources (with the exception of insurance). However, it is the responsibility of the property owner to report other benefits received, any applications for other assistance, the availability of insurance proceeds, or the potential for other compensation, such as from pending legal claims for damages, relating to the property.

Part IV. Eligibility Information 21

Where the property owner has an insurance policy covering any loss to the property that relates to the proposed HMA project, the means are available for receiving compensation for a loss or, in the case of ICC, assistance toward a mitigation project. FEMA will generally require that the property owner file a claim prior to the receipt of HMA funds.

Information regarding other assistance received by properties in HMA projects may be shared under 5 U.S.C. 552a (b) of the Privacy Act of 1974. Uses may include sharing with custodians of property records, such as other Federal or other governmental agencies, insurance companies, or any public or private entity, for the purposes of ensuring that the property has not received money that is duplicative of any possible HMA grants received. When obtaining information from property owners about other sources of assistance, a Privacy Act statement must be distributed to each owner. For more information about the process of verifying potential duplication, access the HMA Tool for Identifying Duplication of Benefits at http://www.fema.gov/library/viewRecord.do?id=6815 and for a copy of the Privacy Act statement (see Appendix F of that document).

For additional information on DOB for property acquisition and structure demolition or relocation projects, see Addendum Part A.11.4.

D. General Program Requirements
D.1 Eligible Activities
To be eligible, activities must meet all requirements referenced in this guidance. Eligible activities for HMA fall into the following categories:
 Mitigation projects (all HMA programs);
 Hazard mitigation planning (all HMA programs); and
 Management costs (all HMA programs).

Table 3 summarizes eligible activities that may be funded by the HMA programs. Detailed descriptions of these activities follow the table in Part IV , D.1.1, D.1.2, and D.1.3.

The following activities are not eligible as stand-alone activities but are eligible when included as a functional component of eligible mitigation activities:
 For the PDM Program, generators and/or related equipment purchases (e.g., generator hook-ups),when the generator directly relates to the hazards being mitigated and is part of a larger project;
 Real property or easements purchases required for the completion of an eligible mitigation project; and
 Studies that are integral to the development and implementation of mitigation project, including hydrologic and hydraulic, engineering, or drainage studies.

Part IV. Eligibility Information 22

Table 3: Eligible Activities by Program
Eligible Activities HMGP PDM FMA

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 √ √
Wind Retrofit for One- and Two-Family Residences √ √
Infrastructure Retrofit √ √ √
Soil Stabilization √ √ √
Wildfire Mitigation √ √
Post-Disaster Code Enforcement √
Generators √ √
5 Percent Initiative Projects √
Advance Assistance √

2. Hazard Mitigation Planning √ √ √

3. Management Costs √ √ √
Additional information regarding eligible projects for HMGP is included in Part IX, A.8 and A.9; and for FMA, see Part IX, C.1.

Costs for eligible activities must be reasonable, allowable, allocable, and necessary as required by 2 CFR Part 225, Cost Principles for State, Local, and Indian Tribal Governments, 44 CFR Section 13.22, applicable program regulations, and this guidance.

D.1.1 Mitigation Projects
This section briefly describes the mitigation projects eligible under one or more of the three HMA programs. Table 3 summarizes the eligibility of the following project types for each program:
 Property Acquisition and Structure Demolition – The voluntary acquisition of an existing at-risk structure and, typically, the underlying land, and conversion of the land to Part IV. Eligibility Information 23

open space through the demolition of the structure. The property must be deed-restricted in perpetuity to open space uses to restore and/or conserve the natural floodplain functions. For property acquisition and structure demolition projects, see Addendum, Part A.
 Property Acquisition and Structure Relocation – The voluntary physical relocation of an existing structure to an area outside of a hazard-prone area, such as the Special Flood Hazard Area (SFHA) or a regulatory erosion zone and, typically, the acquisition of the underlying land. Relocation must conform to a ll applicable State and local regulations.

The property must be deed-restricted in perpetuity to open space uses to restore and/or conserve the natural floodplain functions. For property acquisition and structure relocation projects, see Addendum, Part A.
 Structure Elevation – Physically raising and/or retrofitting an existing structure to the Base Flood Elevation (BFE) or higher if required by FEMA or local ordinance. Elevation may be achieved through a variety of methods, including elevating on continuous foundation walls; elevating on open foundations, such as piles, piers, posts, or columns; and elevating on fill. Foundations must be designed to properly address all loads and be appropriately connected to the floor structure above, and utilities must be properly elevated as well. FEMA encourages Applican ts and subapplicants to design all structure elevation projects in accordance with the American Society of Civil Engineers/Structural Engineering Institute (ASCE/SEI) 24-05, Flood Resistant Design and Construction. For additional information about structure elevation projects, see Addendum, Part E.  Mitigation Reconstruction – The construction of an improved, elevated building on the same site where an existing building and/or foundation has been partially or completely demolished or destroyed. Mitigation reconstruction is only permitted for structures outside of the regulatory floodway or coastal high hazard area (Zone V) as identified by the existing best available flood hazard data. Activities that result in the construction of new living space at or above the BFE will only be considered when consistent with the mitigation reconstruction requirements.
 Dry Floodproofing – Techniques applied to keep structures dry by sealing the structure to keep floodwaters out. For all dry floodproofi ng activities, FEMA encourages Applicants and subapplicants to design all dry floodproofing projects in accordance with ASCE/SEI 24-05.
 Dry Floodproofing of Historic Residential Structures is permissible only when other techniques that would mitigate to the BFE would cause the structure to lose its status as a Historic Structure, as defined in 44 CFR Section 59.1.  Dry Floodproofing of Non-residential Structures must be performed in accordance with NFIP Technical Bulletin (TB) 3-93, Non-Residential Floodproofing— Part IV. Eligibility Information 24

Requirements and Certification, and the requirements pertaining to dry floodproofing of non-residential structures found in 44 CFR Sections 60.3(b)(5) and (c)(4).  Generators – Generators are emergency
equipment that provide a secondary
source of power. Generators and related
equipment (e.g., hook-ups) are eligible
provided that they are cost-effective,
contribute to a long-term solution to the
problem they are intended to address, and
meet other program eligibility criteria.
 PDM Program: Generators and/or
related equipment purchases (e.g.,
generator hook-ups) are eligible when
the generator directly relates to the
hazards being mitigated and is part of
a larger project.
 HMGP: A permanently installed
generator that is a stand-alone project

GENERATORS
 Stand-alone generators and related
equipment (e.g., generator hook-ups) are
eligible under the 5 Percent Initiative.
 Stand-alone generators (including related
equipment) are eligible for regular HMGP
funding if the generator protects a critical
facility and meets all other program
eligibility criteria.
 Generators (including related equipment)
that constitute a functional portion of an
otherwise eligible mitigation measure are
eligible for HMGP and PDM Program
funding.
 Portable generators are eligible for HMGP
regular funding and the 5 Percent Initiative
if they meet all HMGP requirements as
described in 44 CFR Section 206.434.
can be considered under regular HMGP funding if the generator protects a critical facility. Critical facilities may include police and fire stations, hospitals, and water and sewer treatment facilities. A generator that is a component of a larger project (e.g., elevation of a lift station) can also be funded under regular HMGP funding and the use of aggregation is permitted. Portable generators are eligible provided that they meet all HMGP requirements as described in 44 CFR Section 206.434. Stand-alone generator projects that cannot be determined cost-effective via standard HMA benefit- cost methodology may be eligible under the 5 Percent Initiative. See Part IX, A.10 for additional information about the 5 Percent Initiative.

For additional information on generators please see the Frequently Asked Questions for Generators in Part X, Appendix G.

HMA funds are not available as a substitute for emergency, temporary, or partial solutions under the Stafford Act Section 403, Essential Assistance (42 U.S.C. 5170b) and/or the Stafford Act, Title VI Emergency Preparedness (42 U.S.C. 5195).  Minor Localized Flood Reduction Projects – Projects to lessen the frequency or severity of flooding and decrease predicted flood damages, such as the installation or modification of culverts, and stormwater management activities, such as creating retention and detention basins. These projects must not duplicate the flood prevention activities of other Federal agencies and may not constitute a section of a larger flood control system.

Part IV. Eligibility Information 25

 Under the FMA program, minor localized flood reduction projects should benefit NFIP-insured properties. Projects will be prioritized based on the number of NFIP insured properties included in the project. Projects that do not include NFIP-insured properties will not be considered for funding. Documentation must be provided in the subapplication to verify the NFIP insurance requirement, which includes flood insurance policy and property locator numbers as appropriate.  Structural Retrofitting of Existing Buildings – Modifications to the structural elements of a building to reduce or eliminate the risk of future damage and to protect inhabitants.

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

Part IV. Eligibility Information 26

 Defensible Space for Wildfire – Projects creating perimeters around homes, structures, and critical facilities through the removal or reduction of flammable vegetation. For additional info rmation, see Addendum, Part B.3.1.  Application of Ignition-resistant Construction – Projects that apply ignition- resistant techniques and/or non-combustible materials on new and existing homes, structures, and critical facilities. For additional information, see Addendum, Part B.3.2.
 Hazardous Fuels Reduction – Projects that remove vegetative fuels proximate to at- risk structures that, if ignited, pose significant threat to human life and property, especially critical facilities. For additional information, see Addendum, Part B.3.3.  Post-Disaster Code Enforcement – Projects designed to support the post-disaster rebuilding effort by ensuring that sufficient expertise is on hand to ensure appropriate codes and standards, including NFIP local ordinance requirements, are used and enforced.

For additional information, see Part IX, A.8.
 Advance Assistance – Section 1104 of the SRIA authorizes the use of Advance Assistance to accelerate the implementation of the Hazard Mitigation Grant Program (HMGP).

Applicants may use Advance Assistance to develop mitigation strategies and obtain data to prioritize, select and develop complete HMGP applications in a timely manner. See Part IX, A.9 for additional information on Advance Assistance.  5 Percent Initiative Projects – These projects, which are only available pursuant to an HMGP disaster, provide an opportunity to fund mitigation actions that are consistent with the goals and objectives of the State or Indian Tribal (Standard or Enhanced) and local mitigation plans and meet
all HMGP program requirements, but for which it may be
difficult to conduct a standard Benefit-Cost Analysis (BCA) to prove cost-effectiveness.

For additional information, see Part IX, A.10.

D.1.2 Hazard Mitigation Planning
Mitigation p
lans are the foundation
for effective hazard mitigation. A mitigation plan is a demonstration of the commitment to reduce risks
from natural hazards and
serves as a strategic
guide for decision-makers as they commit resources.

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

MITIGATION PLANNING-

RELATED ACTIVITIES
Planning activities can include assessing
risk and updating the mitigation strategy to
reflect current disaster recovery goals.
specific mitigation actions and projects being considered to reduce risks to new and existing buildings and infrastructure. This section includes an action plan describing how identified mitigation activities will be prioritized, implemented, and administered.

Part IV. Eligibility Information 27

Planning activities funded under HMA are designed to develop State, Indian Tribal, and local mitigation plans that meet the planning requirements outlined in 44 CFR Part 201. A mitigation planning subgrant award must result in a mitigation plan adopted by the jurisdiction(s) and approved by FEMA or it must result in a planning related activity approved by FEMA (e.g., incorporating new data into the Risk Assessment, or updating the Mitigation Strategy to reflect current disaster recovery goals) consistent with the requirements in 44 CFR Parts 201 and 206.

For FMA, funds shall only be used to support the flood hazard portion of State, Indian Tribal, or local mitigation plans to meet the criteria specified in 44 CFR Part 201. Funds are only available to support these activities in communities participating in the NFIP.

For links to mitigation planning and risk assessment resources, see Part X, C.2.

D.1.2.1 Eligible Hazard Mitigation Planning-Related Activities Eligible activities include but are not limited to:
 Update or enhance sections of the current FEMA-approved mitigation plan, such as:
 Risk and vulnerability assessment based on new information, including supporting studies, such as economic analyses;
 Mitigation strategy, specifically strengthening the linkage to mitigation action implementation, with emphasis on available HMA project grant funding; or  Incorporate climate adaptation, green building, or smart growth principles into the risk assessment and/or mitigation strategy.
 Integrate information from mitigation plans, specifically risk assessment or mitigation strategies, with other planning efforts, such as:
 Disaster recovery strategy (pre- or post), preparedness, or response plans;  Comprehensive (e.g., land use, master) plans;
 Capital improvement or economic development plans;
 Resource management / conservation plans (i.e., storm water, open space); or  Other long-term community planning initiatives (i.e., transportation or housing).  Building capability through delivery of technical assistance and training.  Evaluation of adoption and/or implementation of ordinances that reduce risk and/or increase resilience.

D.1.2.2 Ineligible Hazard Mitigation Planning-Related Activities The following is a list of activities considered ineligible as “stand alone” planning-related activities:

Part IV. Eligibility Information 28

 Hazard identification or mapping and related equipment for the implementation of mitigation activities (eligible under 5 Percent Initiative);  Geographic Information System (GIS) software, hardware, and data acquisition whose primary aim is mitigation (eligible under 5 Percent Initiative);  Public awareness or education campaigns about mitigation (eligible under 5 Percent Initiative);

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

D.1.3 Management Costs
Management costs are any indirect costs and administrative expenses that are reasonably incurred by a Grantee or subgrantee in administering a grant or subgrant award.

Eligible Applicant or subapplicant management cost activities may include:
 Solicitation, review, and processing of subapplications and subgrant awards;  Subapplication development and technical assistance to subapplicants regarding feasibility and effectiveness, BCA, and EHP documentation;
 Geocoding mitigation projects identified for further review by FEMA;  Delivery of technical assistance (e.g., plan reviews, planning workshops, training) to support the implementation of mitigation activities;
 Managing grants (e.g., quarterly reporting, closeout);  Technical monitoring (e.g., site visits, technical meetings);  Purchase of equipment, per diem and travel expenses, and professional development that is directly related to the implementation of HMA programs; and  Staff salary costs directly related to performing the activities listed above.

Management costs are only awarded in conjunction with project or planning grants and subgrants. For more information regarding management costs for HMGP, see Part IX, A.4. For the PDM Program and FMA, FEMA may provide up to 25 percent of the Applicant’s anticipated management costs, upon the award and final approval of the first subgrant. The remaining management costs will be obligated as additional subgrants are awarded.

Part IV. Eligibility Information 29

D.2 Ineligible Activities
The following list provides examples of activities that are not eligible for HMA funding:
 Projects that do not reduce the risk to people, structures, or infrastructure;  Projects that are dependent on a contingent action in order to be effective and/or feasible (i.e., not a stand-alone mitigation project that solves a problem independently or constitutes a functional portion of a solution);
 Projects with the sole purpose of open space acquisition of unimproved land;  Projects for which actual physical work such as groundbreaking, demolition, or construction of a raised foundation has occurred prior to award or final approval. Projects for which demolition and debris removal related to structures proposed for acquisition or mitigation reconstruction has already occurred may be eligible when such activities were initiated or completed under the FEMA Public Assistance program to alleviate a health or safety hazard as a result of a disaster;
 Projects that involve land that is contaminated with hazardous waste;  Projects for preparedness activities or temporary measures (e.g., sandbags, bladders, geotubes);
 Projects that create revolving loan funds;
 Activities required as a result of negligence or intentional actions, or those intended to remedy a code violation, or the reimbursement of legal obligations such as those imposed by a legal settlement, court order, or State law;
 FEMA may, at its discretion, choose not to fund projects subject to ongoing litigation if such litigation may affect eligibility of the project or may substantially delay implementation of the project;
 All projects located in a CBRS Unit or in OPAs, other than property acquisition and structure demolition or relocation projects for open space under HMA. For details on property acquisition and structure demolition or relocation projects for open space within a CBRS Unit or OPAs see Addendum, Part A.2;
 Activities on Federal lands or associated with facilities owned by another Federal entity;  Major flood control projects related to the construction, demolition, or repair of dams, dikes, levees, floodwalls, seawalls, groins, jetties, breakwaters, and erosion projects related to beach nourishment or re-nourishment;
 Projects for hazardous fuels reduction in excess of 2 miles from structures;  Projects that address unmet needs from a disaster that are not related to mitigation; Part IV. Eligibility Information 30

 Retrofitting facilities primarily used for religious purposes, such as places of worship (or other projects that solely benefit religious organizations). However, a place of worship may be included in a property acquisition and structure demolition or relocation project provided that the project benefits the entire community, such as when the whole neighborhood or community is being removed from the hazard area;  Activities that only address manmade hazards;
 Projects that address, without an increase in the level of protection, operation, deferred or future maintenance, repairs, or replacement of existing structures, facilities, or infrastructure (e.g., dredging, debris removal, replacement of obsolete utility systems, bridges, and facility repair/rehabilitation);
 Projects for the purpose of:
 Landscaping for ornamentation (e.g., trees, shrubs);
 Site remediation of hazardous materials (with the exception eligible activities, such as the abatement of asbestos and/or lead-based paint and the removal of household hazardous wastes to an approved landfill);
 Water quality infrastructure;
 Projects that primarily address ecological or agricultural issues;  Forest management;
 Prescribed burning or clear-cutting;
 Creation and maintenance of fire breaks, access roads, or staging areas;  Irrigation systems;
 Studies not directly related to the design and implementation of a proposed mitigation project; and
 Preparedness measures and response equipment (e.g., response training, electronic evacuation road signs, interoperable communications equipment).

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

D.3 Cost-effectiveness
Mitigation program authorizing statutes (Flood Mitigation Assistance at 42 U.S.C. 4104c, Pre- Disaster Hazard Mitigation at 42 U.S.C. 5133, and Hazard Mitigation at 42 U.S.C. 5170c) require that FEMA provide funding for mitigation measures that are cost-effective or are in the interest of the NFIF. FEMA has specified minimum project criteria via regulation (44 CFR Part 79 and 44 CFR Section 206.434), including that Applicants must demonstrate mitigation projects are cost-effective. The determination of cost-effectiveness is performed in a variety of ways. It Part IV. Eligibility Information 31

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

D.4 Feasibility and Effectiveness
Mitigation projects funded by HMA must be both feasible and effective at mitigating the risks of the hazard(s) for which the project was designed. A project’s feasibility is demonstrated through conformance with accepted engineering practices, established codes, standards, modeling techniques, or best practices. Effective mitigation measures funded under HMA provide a long- term or permanent solution to a risk from a natural hazard.

For additional information about the feasibility and effectiveness requirement for mitigation reconstruction projects, see the Addendum, Part D.3; for additional feasibility and effectiveness resources, see Part X, C.5.

D.5 Hazard Mitigation Plan Requirement
In accordance with 44 CFR Part 201, all
Applicants for the PDM Program and FMA
must have a FEMA-approved State or Tribal
(Standard or Enhanced) Mitigation Plan by the
application deadline and at the time of
obligation of the grant funds. The only
exception is for a subapplication for a State or
Indian Tribal (Standard or Enhanced)
Mitigation Plan. In addition, all subapplicants
for the PDM Program and FMA mitigation
projects must have a FEMA-approved local or
Indian Tribal mitigation plan by the application
deadline and at the time of obligation of grant
funds. There is no local or Indian Tribal

EXTRAORDINARY

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

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

Part IV. Eligibility Information 32

For PDM and FMA project subgrants, the Region may apply extraordinary circumstances when justification is provided and with concurrence from FEMA Headquarters (Risk Reduction and Risk Analysis Divisions) prior to granting an exception. If this exception is granted, a local or Indian Tribal mitigation plan must be approved by FEMA within 12 months of the award of the project subgrant to that community.

For HMGP, the PDM Program, and FMA, extraordinary circumstances exist when a determination is made by the Applicant and FEMA that the proposed project is consistent with the priorities and strategies identified in the State or Indian Tribal (Standard or Enhanced) Mitigation Plan and that the jurisdiction meets at least one of the criteria below. If the jurisdiction does not meet at least one of the following criteria, the Region must coordinate with FEMA Headquarters (Risk Reduction and Risk Analysis Divisions) for HMGP and coordinate and seek concurrence prior to granting an exception for the PDM Program and FMA:
 The jurisdiction meets the small impoverished community criteria (see Part IX, B.2);  The jurisdiction has been determined to have had insufficient capacity due to lack of available funding, staffing, or other necessary expertise to satisfy the mitigation planning requirement prior to the current disaster or application deadline;  The jurisdiction has been determined to have been at low risk from hazards due to low frequency of occurrence or minimal damages from previous occurrences due to sparse development;
 The jurisdiction experienced significant disruption from a declared disaster or another event that impacts its ability to complete the mitigation planning process prior to award or final approval of a project grant; and
 The jurisdiction does not have a mitigation plan for reasons beyond the control of the State, Indian Tribal or local community, such as Disaster Relief Fund (DRF) restrictions that delay FEMA from awarding project grants prior to the expiration of the local or Indian Tribal mitigation plan.

For HMGP, the PDM Program, and FMA, the Applicant must provide written justification that identifies the specific criteria from above or circumstance, explain why there is no longer an impediment to satisfying the mitigation planning requirement, and identify the specific actions or circumstances that eliminated the deficiency.

In determining whether to grant the exception, FEMA takes into consideration factors including whether an Applicant has prioritized its authorized HMA project assistance for use in those communities with an approved local or Indian Tribal mitigation plan, whether there are additional project funds available for award to a jurisdiction that does not have an approved local or Indian Tribal mitigation plan, and whether an Applicant has placed higher priority for grant funding on communities with higher risks. In all cases, a local or Indian Tribal mitigation plan must be completed and approved by FEMA within 12 months of the award. If a local or Indian Part IV. Eligibility Information 33

Tribal mitigation plan is not approved by FEMA within this timeline, the project subgrant will be terminated and any costs incurred after the notice of the subgrant’s termination will not be reimbursed by FEMA.

When an HMGP project subgrant is awarded under extraordinary circumstances, the Grantee shall acknowledge in writing to the Regional Administrator that a plan will be completed within 12 months of the award of the project grant. The Grantee must provide a work plan for completing the local or tribal mitigation plan, including milestones and a timetable, to ensure that the jurisdiction will complete the plan in the required time. This requirement shall be incorporated into the grant award (both the planning and project subgrant agreements, if a planning subgrant is also awarded).

D.5.1 Indian Tribal Government Hazard Mitigation Plan Requirement Indian Tribal governments with an approved Indian Tribal mitigation plan in accordance with 44 CFR Section 201.7 may apply for assistance from FEMA as a Grantee. In addition, if an Indian Tribal government with an approved Indian Tribal mitigation plan in accordance with 44 CFR Section 201.7 coordinates the review of their Indian Tribal mitigation plan with the State or another Indian Tribal government, it has the option to apply as a subapplicant through that State or Indian Tribal government, except as prohibited by State law.

D.5.2 Conformance with Hazard Mitigation Plans
Projects submitted for consideration for HMA funding must be consistent with the goals and objectives identified in the current, FEMA-approved State or Indian Tribal (Standard or Enhanced) Mitigation Plan and local or Indian Tribal mitigation plan for the jurisdiction in which the activity is located.

D.6 Environmental Planning and Historic Preservation
Requirement
HMA programs, and grants awarded pursuant to these programs, must conform to 44 CFR Parts 9 and 10, and with all applicable EHP laws, implementing regulations, and EOs, such as the NEPA, the National Historic Preservation Act (NHPA), the Endangered Species Act (ESA), EO 11988 (Floodplain Management), EO 11990 (Protection of Wetlands), and EO 12898 (Environmental Justice). EHP requirements ensure approp riate consideration of reasonable alternatives, taking the project’s impacts to the human environment into account in the decision- making process. The project, when completed, must comply with all applicable environmental laws and regulations as a condition of grant eligibility.

FEMA reviews the completeness of the responses to the questions in the EHP review section of the project subapplication and supporting documentation. For HMA project subapplications that do not include the required information for each property identified in the subapplication, there Part IV. Eligibility Information 34

may be a delay in identifying outstanding EHP compliance measures. Lack of the required information by the application deadline may prohibit FEMA from awarding a grant or subgrant.

FEMA has developed guidance to assist in completing the EHP information section of a project subapplication, including an eLearning Tool, online training, and information about historic preservation. For links to these EHP resources, see Part X, C.5.

D.6.1 Floodplain Management and Protection of Wetlands
As noted in Part IV D.6, all activities funded by HMA programs must conform to 44 CFR Part 9.

Activities involving development will only be eligible for a grant if the Applicant demonstrates that there is no practicable alternative to such development in accordance with 44 CFR Section

9.9. In addition, HMGP funds cannot be used to fund new construction or Substantial Improvement in a floodway or new construction in a coastal high hazard zone. However, the costs to elevate or floodproof a damaged structure or facility are not included in determining whether the Substantial Improvement threshold is triggered.

For additional information see 44 CFR Section 9.11(d).

D.7 National Flood Insurance Program Eligibility Requirements HMA eligibility is related to the NFIP as follows:
 Subapplicant eligibility: All subapplicants for FMA must currently be participating in the NFIP, and not withdrawn or suspended, to be eligible to apply for grant funds. Certain non-participating political subdivisions (i.e., regional flood control districts or county governments) may apply and act as subgrantees on behalf of the NFIP-participating community in areas where the political subdivision provides zoning and building code enforcement or planning and community development professional services for that community;
 Project eligibility: HMGP and PDM mitigation project subapplications for projects sited within an SFHA are eligible only if the jurisdiction in which the project is located is participating in the NFIP. There is no NFIP participation requirement for HMGP and PDM project subapplications for projects located outside of the SFHA;  Hazard mitigation planning eligibility: There are no NFIP participation requirements for HMGP and PDM hazard mitigation planning subapplications; and  Property eligibility: Properties included in a project subapplication for FMA funding must be NFIP insured at the time of the application submittal. Flood insurance must be maintained for the life of the structure.

Part IV. Eligibility Information 35

D.7.1 Special Flood Hazard Area Requirements
For structures that remain in the SFHA after the implementation of the mitigation project, flood insurance must be maintained for the life of the structure to an amount at least equal to the project cost or to the maximum limit of coverage made available with respect to the particular property, whichever is less. The maximum limit of coverage made available is defined as the replacement cost value of the structure up to $250,000 for residential and $500,000 for non- residential. Insurance covera ge on the property must be maintained during the life of the property regardless of transfer of ownership of such property.

The subgrantee (or property owner) must legally record, with the county or appropriate jurisdiction’s land records, a notice that includes the name of the current property owner (including book/page reference to record of current title, if readily available), a legal description of the property, and the following notice of flood insurance requirements:

This property has received Federal hazard mitigation assistance. Federal law requires that flood insurance coverage on this property must be maintained during the life of the property regardless of transfer of ownership of such property.

Pursuant to 42 U.S.C. 5154a, failure to maintain flood insurance on this property may prohibit the owner from receiving Federal disaster assistance with respect to this property in the event of a flood disaster. The Property Owner is also required to maintain this property in accordance with the floodplain management criteria of 44 CFR Part 60.3 and City/County Ordinance.

Applicants/subapplicants receiving assistance for projects sited in an SFHA must ensure that these requirements are met by requesting that the participating property owner(s) sign an Acknowledgement of Conditions for Mitigation of Property in an SFHA with FEMA Grant Funds form and providing the form to FEMA prior to award or final approval. This form is available on the FEMA Web site at http://www.fema.gov/library/viewRecord.do?id=3592, or from the appropriate FEMA Regional Office (for Regional Office information, see Part VIII). Properties that do not meet these requirements will not be eligible to receive assistance under the HMA programs.

If an approved HMA project affects the accuracy of the applicable Flood Insurance Rate Map (FIRM), the subgrantee is responsible for ensuring that appropriate map amendments or revisions are made. Costs associated with map amendments may be identified in the cost estimate section of a subgrant application.

D.8 Statutory, Regulatory, and Other Requirements
Mitigation activities must adhere to all relevant statutes, regulations, and requirements, including:
 Sections 203 (PDM Program) and 404 (HMGP) of the Stafford Act; Part IV. Eligibility Information 36

 Section 1366 (FMA) of the NFIA;
 Section 322 of the Stafford Act (Mitigation Planning);  Section 324 of the Stafford Act (Management Costs);
 NHPA;
 NEPA;
 Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970;  Floodplain Management and Protection of Wetlands (44 CFR Part 9);  Environmental Considerations (44 CFR Part 10, NEPA, and ESA);  Coastal Barriers Resources Act (CBRA; 44 CFR Part 206, Subpart J);  Uniform Administrative Requirements for Grants and Cooperative Agreements to States and Local Governments (44 CFR Part 13);
 Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and other Non-Profit Organizations (2 CFR Part 215);  Floodplain Management (44 CFR Part 60);
 Flood Mitigation Grants (44 CFR Part 79);
 Property Acquisition and Relocation for Open Space (44 CFR Part 80);  Hazard Mitigation Planning (44 CFR Part 201);
 Hazard Mitigation Grant Program (44 CFR Part 206, Subpart N);  Management Costs (44 CFR Part 207);
 Cost Principles for Educational Institutions (2 CFR Part 220, OMB Circular A-21); Cost Principles for State, Local, and Indian Tribal Governments (2 CFR Part 225, OMB Circular A-87); Cost Principles for Nonprofit Organizations (2 CFR Part 230, OMB Circular A-122);
 OMB Circular A-94, Guidelines and Discount Rates for Benefit-Cost Analysis of Federal Programs;
 OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations;
 Federal Acquisition Regulations (FAR) Subpart 31.2, Contracts with Commercial Organizations; and
 Other applicable Federal, State, Indian Tribal, and local laws, implementing regulations, and EOs (e.g., EO 11988, EO 11990).

Part IV. Eligibility Information 37

PART V. APPLICATION AND

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

A. Address to Request Application Package
Applications for HMGP are processed through the National Emergency Management Information System (NEMIS). Applicants may use the Application Development Module of NEMIS to create project applications and submit them to the appropriate FEMA Region in digital format for the relevant disaster. For NEMIS Helpdesk resources, see Part X C.6.

Applications for the PDM Program and FMA are processed through the eGrants system. The eGrants system encompasses the entire grant application process and provides the means to electronically create, review, and submit a grant application to FEMA via the Internet.

Applicants and subapplicants can access eGrants at https://portal.fema.gov/famsVuWeb/home.

The FEMA Technical Service desk phone number is 1 (877) 611-4700. For additional eGrants resources, see Part X C.6.

For more information about using NEMIS or eGrants, contact the appropriate FEMA Regional Office (see Part VIII).

B. Content and Form of Application
For HMGP, subapplication packages are available from eligible Applicants following Presidential major disaster declarations. The Applicant selects and prioritizes subapplications and submits them to FEMA. Applicants must submit an SF-424, Application for Federal Assistance, before HMGP funding can be obligated. The Applicant submits the subapplications both in digital format via NEMIS and in hard copy format.

Applications and subapplications for the PDM Program and FMA are submitted via the eGrants system. If a subapplicant does not use the eGrants system, the Applicant must enter the paper subapplication(s) into the eGrants system on the subapplicant’s behalf. Blank applications that conform to the eGrants format are available for printing from the eGrants system and the FEMA Web site. Supporting documentation that cannot be electronically attached to the eGrants application (e.g., engineering drawings, photographs, and maps) must be submitted to the appropriate FEMA Regional Office. The entire application, including all paper documentation, must be received by the appropriate FEMA Regional Office no later than the application deadline.

Part V. Application and Submission Information 38

C. Submission Dates and Times
HMGP submittal deadlines for applications are established based on the disaster declaration date. For submission of an application for HMGP, see Part IX, A.1 and A.6.

Completed applications for the PDM Program and FMA must be submitted to FEMA through eGrants. Application submission due dates and times are posted to the HMA Web site at https://www.fema.gov/hazard-mitigation-assistance. Subapplicants should consult the official designated point of contact (POC) for their Applicant for more information regarding the application process. For more informa tion on FEMA and Applicant contacts, see Part VIII. For additional information on HMA application cycles either contact FEMA or go to http://www.grants.gov/.

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

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

E.1 HMGP Funding Restrictions
 Up to 7 percent of the Grantee’s HMGP ceiling may be used for mitigation planning activities in compliance with 44 CFR Section 201.3(c)(4).  Up to 5 percent of the Grantee’s HMGP ceiling may be used for mitigation measures that are difficult to evaluate against traditional program cost-effectiveness criteria (i.e., the 5 Percent Initiative).
 For Presidential major disaster declarations for tornadoes and high winds, an additional 5 percent of the Grantee’s HMGP ceiling may be used to fund hazard mitigation measures (e.g., warning systems) to address the unique hazards posed by tornadoes.

For more information on the 5 Percent Initiative and the additional 5 percent for tornadoes, see Part IX, A.10.

Part V. Application and Submission Information 39

E.2 PDM Program Funding Restrictions
 Up to $800,000 Federal share may be
requested in a subapplication for a planning
grant to develop a new hazard mitigation
plan.
 Up to $300,000 Federal share may be
requested in a subapplication for a planning
grant to update a hazard mitigation plan.

MAXIMUM AMOUNTS OF

MITIGATION PLANNING GRANTS
Under the PDM Program, the maximum
mitigation planning grant is $800,000 for a
new plan and $300,000 for an update.

Under FMA, the maximum individual
planning grant is $50,000 for any Applicant
and $25,000 for any subapplicant.
 Up to $3 million Federal share may be requested in a subapplication to implement a mitigation project.
 The cumulative Federal award for subapplications awarded during a single application cycle to any one Applicant shall not exceed 15 percent of the total appropriated PDM Program funds for that application cycle.

E.3 FMA Funding Restrictions
 Individual planning grants using FMA funds shall not exceed $50,000 to any Applicant or $25,000 to any subapplicant. FMA funds can only be used for the flood hazard component of a hazard mitigation plan that meets the planning criteria outlined in 44 CFR Part 201.

E.4 Management Costs Funding Restrictions
For all HMA programs, indirect costs may be included as a part of the management cost estimate shown in the application or subapplication.

For HMGP only: The Grantee may request a flat percentage rate (4.89 percent) of the projected eligible program costs for management costs. The Grantee is responsible for determining the amount, if any, of funds that will be passed through to the subgrantee(s) for their management costs. For further information on HMGP management costs, see Part IX, A.2.5 and A.4.

Applicants for the PDM Program and FMA may apply for a maximum of 10 percent of the total funds requested in their grant application budget (Federal and non-Federal shares) for management costs to support the project and planning subapplications included as part of their grant application. Applicants requesting Applicant management costs must submit a separate Management Costs subapplication in eGrants. This subapplication must be included in the overall grant application or the request will not be considered. Applicants who are not awarded grants funds for project or planning activities will not receive reimbursement for the corresponding costs incurred in developing and submitting applications.

Part V. Application and Submission Information 40

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

F. Other Submission Requirements
F.1 Application Consideration under Multiple HMA Programs FEMA will only consider applications and subapplications submitted to a specific HMA program. If an applicant would like to have a subapplication considered under multiple HMA programs, the applicant must submit that subapplication to each HMA program separately.

F.2 Pre-Award Costs
Costs incurred after the HMA application period has opened, but prior to the date of the grant award or final approval, are identified as pre-award costs. For HMGP, the opening of the application period is the date when HMGP is authorized, which is generally the date of declaration. The opening of th e application period for the PDM Program and FMA is established annually by FEMA.

Pre-award costs directly related to developing the application or subapplication may be funded through HMA as funds are available. Such costs may have been incurred, for example, to develop a BCA, to gather EHP data, for preparing design specifications, or for workshops or meetings related to development and submission of HMA applications and subapplications.

Costs associated with implementation of the activity but incurred prior to grant award or final approval are not eligible (projects initiated or completed prior to grant award or full approval of the project are not eligible). To be eligible for HMA funding, pre-award costs must be identified as separate line items in the cost estimate of the subapplication. Applicants and subapplicants may identify such pre-award costs as their non-Federal cost share. Applicants and subapplicants who are not awarded grants or subgrants will not receive reimbursement for the corresponding pre-award costs.

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

Part V. Application and Submission Information 41

Before forwarding subapplications to FEMA, Applicants also should review subapplications to document that:
 The subapplicant has documented its capacity to manage the subgrant funds;  The subapplicant has documented its capacity to complete the mitigation activity in the time specified;
 Non-Federal cost-share funds are or will be available for the project;  The maintenance requirements have been sufficiently identified, and the subapplicant or another authorized entity has accepted the maintenance responsibility;  The underlying cost-effectiveness data are accurate and complete; and  All program- and project-specific requirements have been met and are documented as appropriate.

If the subapplication is considered to be deficient, the Applicant may revise or augment the subapplication in consultation with the subapplicant. Applicants must certify that they have evaluated the activities included in each subapplication and that activities will be implemented in accordance with 44 CFR Part 13 and other applicable program or activity type requirements.

G.2 Minimum Eligibility and Completeness Criteria
FEMA will no longer accept incomplete and
placeholder project applications. Incomplete
applications or subapplications delay project
approval because they do not contain sufficient
information for FEMA to make program eligibility
determinations. Applications and subapplications
submitted to FEMA must meet the minimal
eligibility and completeness criteria as there is no
method to determine eligibility without these data.

These minimal eligibility criteria are required for all

MINIMUM ELIGIBILITY AND

COMPLETENESS REQUIREMENTS
Applications and subapplications submitted
to FEMA must meet the minimal eligibility
and completeness criteria, as there is no
method to determine eligibility without
these data. For a detailed Eligibility and
Completeness checklist please see Part X,
Appendix E for projects and Part X,
Appendix H for plans.
submittals including over-submittals and placeholder applications. Additional information may be requested during FEMA review. The following list is not all inclusive. For a more detailed checklist please see Part X, Appendix E for projects and Part X, Appendix H for plans.

Unless otherwise noted, the following criteria apply to plans, management costs, and project subapplications and applications:
 Eligible Applicant;
 Meets all plan requirements per 44 CFR Parts 201 and 206;  Provides a detailed SOW as described in Part V , H;
Part V. Application and Submission Information 42

 Provides a work schedule of 3 years or less;
 If project is suitable for phased or incremental funding, the schedule reflects activities and timelines for each funding increment (projects);
 Budget/Match Source;
 A detailed cost estimate/budget is provided that supports the SOW;

 Cost-effectiveness and Feasibility (projects);
 Project includes a FEMA-approved BCA or FEMA-approved alternate cost- effectiveness documentation (see Part V, I for additional information);  The proposed activity is feasible and effective as demonstrated through conformance with accepted engineering practices, established codes, standards, modeling techniques, or best practices (see Part V, J for additional information);  EHP;
 Project includes information and documentation to demonstrate conformance with all applicable laws and regulations (e.g., NEPA and State Historic Preservation Act);  Project demonstrates that it minimizes harm to the environment and is the best alternative from a range of options considered (see Part V, K for additional information); and
 Assurances.

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

H.1 Project Scope of Work
The project subapplication SOW provides detailed information about the project, as well as applicable references and supporting documentation. The SOW includes:
 Purpose of the project – The intended outcome or objectives of the project;  Clear, concise description of the proposed project – Proposed conceptual design, means of implementation of the project, and responsible party for implementation;  Identification of properties to be mitigated – All properties to be mitigated must be identified, including additional, alternate properties that may be substituted should one or Part V. Application and Submission Information 43

more of the other properties be withdrawn for eligibility or other reasons. In order for alternate properties to be properly considered in the event of a substitution, the same level of information for the alternate properties is required as is provided for the proposed properties;
 Outcomes – Proposed project accomplishments, problem(s) that the project will solve, parties that will directly or indirectly benefit from the project, and ways that the risks of damage or harm will be reduced;
 Special project components – New technologies that will be used during project implementation and how they are expected to provide the necessary results, and necessary laboratory tests or field-testing;
 Other projects – Other projects that are currently being implemented or expected to be implemented that will affect the proposed project;
 Extraordinary Circumstances – If this exception is used, a plan must be completed within 12 months of the award of the project grant, per Part IV , D.5 (Hazard Mitigation Plan Requirement); and
 Latitude/Longitude and site photographs – Subapplicants must identify the proposed project location on a map and provide the latitude/longitude and any relevant photographs including, but not limited to sides of the building, foundation, roof, both sides of the culvert, and the surrounding project area.

The required documentation depends upon the nature of the proposed project and may include:
proposed schematics, drawings or sketches, photographs, maps, sections of hazard maps, a Flood Insurance Study, or a FIRM. Whenever possible, data used to document existing conditions must be obtained from recognized sources, such as Federal agencies, State agencies, and academic organizations. The references and/or supporting documentation from qualified and credible sources such as Professional Engineers or local government records should be included when using locally developed data. Deviations from standard procedures, methods, techniques, technical provisions of the applicable codes, or best practices must be thoroughly explained and documented. Subapplicants must identify the proposed project location on a map and provide any relevant photographs including, but not limited to, sides of the building, foundation, and roof (as appropriate).

H.2 Hazard Mitigation Planning Scope of Work
The hazard mitigation planning subapplication SOW must describe the development of a hazard mitigation plan or planning-related activity that is consistent with the requirements identified in 44 CFR Part 201.

For a hazard mitigation plan, the SOW must:
 Describe the proposed planning activity, including whether it will:

Part V. Application and Submission Information 44

 Result in a new or updated hazard mitigation plan that complies with the requirements identified in 44 CFR Part 201; or
 Enhance an existing mitigation plan through a planning related activity that is consistent with 44 CFR Part 201.
 Identify the jurisdiction(s) or tribe(s) that will participate in developing the plan or the planning-related activity and describe the jurisdictions;  Provide a statement on how the overall planning effort will be coordinated;  Describe the process for plan development or the planning-related activity, clearly demonstrating what applicable regulatory requirements will be met. Document in detail the activities the jurisdiction(s) will complete to develop the plan or the planning related activity, including public involvement, identification of hazards, development of a comprehensive risk/vulnerability assessment, identification of mitigation goals and strategies, and plan implementation, and describe how these activities relate to the cost estimate; and
 For new or updated hazard mitigation plans, describe the plan adoption process for the jurisdiction(s) or tribe(s) to ensure sufficient time to complete the plan, as well as time for State and FEMA review and, if necessary, time to complete any required revisions and to formally adopt the plan.

Additionally, for an update to a hazard mitigation plan, the SOW must include the reasons for the update and describe the process for plan update, clearly demonstrating that applicable regulatory requirements will be met. Also, provide a statement on how the overall planning effort will be coordinated.

If available, the subapplication also should include a copy of the plan review document (i.e., review tool or crosswalk) from the FEMA approval of the previous plan.

For planning related activities, the SOW should describe the:
 Final product(s);
 Process and level of effort to develop the final product(s), including key milestones (such as meetings; data research, collection, and analysis; drafts; and outreach); and  Process to incorporate the product(s) or results into the update of the next mitigation plan.

Applicants/subapplicants are advised to make use of already developed materials and to seek available resources when developing a new mitigation plan or updating a mitigation plan. For links to mitigation planning and risk assessment resources, see Part X, C.2.

Part V. Application and Submission Information 45

H.3 Management Costs Scope of Work
For the Applicant management cost subapplication, the SOW must describe the activities and specific tasks related to developing subapplications, and implementing as well as closing subgrants. The SOW should state whether the work will be conducted by the Applicant’s staff or by contractor staff.

H.4 Schedule
Subapplications should include a work schedule for all project tasks identified in the SOW, such as data collection, site survey, permitting and inspections, site preparation, and construction. The schedule should identify timelines for accomplishing significant milestones, including anticipated quarterly usage of Federal funds. Proposed schedules for individual subapplications should not exceed 36 months (see Part VII, B.4).

For planning subapplications, the work schedule must allow sufficient time for State and FEMA reviews; preparation of required revisions, if needed; formal adoption by the jurisdiction(s); and FEMA approval.

H.5 Cost Estimate
The cost estimate describes all of the subapplicant’s
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

COST ESTIMATES
FEMA will accept cost estimates
used to support budgets and BCAs
if the Applicant or subapplicant
certifies that the estimates are
based on nationally published or
local cost-estimating guides.
cash and third-party in-kind contributions will be used to meet the non-Federal cost share.

FEMA will accept cost estimates that the Applicant or subapplicant certifies were established using nationally published or local cost estimating guides to support the budget and BCA. The Applicant or subapplicant must include appropriate documentation in the application or subapplication that demonstrates a national published standard or local cost estimating guide was used. If a cost estimate is based on a contract or's bid or historic costs from another activity, detailed documentation must be provided. The applicant must document actual costs for eligible activities at closeout. Separate cost line items in a subapplication are required to ensure that cost thresholds are not exceeded. As applicable, the fo llowing line items must be listed separately in the budget:
 Pre-award costs;
 Subapplicant management costs for the PDM Program and FMA, and HMGP if the Grantee has agreed to pass through funds to the subgrantee; and Part V. Application and Submission Information 46

 Information dissemination costs (for the PDM Program).

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

H.5.1 Project Cost Estimate
In addition to the items described in Part V , H.5, the project cost estimate must include a line- item breakdown of all anticipated costs including, as applicable:
 Costs for anticipated environmental resource impact treatment or historic property treatment measures;
 Costs for engineering designs/specifications, including hydrologic and hydraulic studies/analyses required as an integral part of designing the project;  Construction/demolition/relocation costs, such as survey, permitting, site preparation, and material/debris disposal costs; and
 All other costs required to implement the mitigation project, including any applicable project-type specific costs identified in the Addendum of this guidance.

For additional information about cost estimates for property acquisition and structure demolition or relocation projects, see Addendum, Parts A.5 and A.6; for wildfire mitigation projects, see Addendum, Part B.3; for safe room construction projects, see Addendum, Part C.3.4; for mitigation reconstruction see projects Addendum, Parts D.2 and D.5; and for structure elevation projects, see Addendum, Part E.3.

H.5.2 Hazard Mitigation Planning Cost Estimate
In addition to the items described in Part V , H.5, the hazard mitigation planning cost estimate must include a line-item breakdown of costs associated with all elements described in the SOW, such as:
 Meetings and public outreach, including the costs associated with what is necessary and reasonable;
 Data research and collection, including eligible mapping activities or risk assessment;  Plan drafting, review, and final production;
 Information dissemination activities, including printing and advertising; and  Professional development training, tuition, and travel for the purpose of carrying out the planning SOW.

Part V. Application and Submission Information 47

H.5.3 Management Cost Estimate
Applicants and subapplicants requesting management costs should provide supporting documentation and include these costs as separate line items in the cost estimate portion of the application or subapplication.

A narrative must accompany a request for management costs. The narrative should describe the activities, personnel requirements, and other costs for which the Grantee and/or subgrantee will use management cost funding. It should provide information on how the funds will be expended and monitored and show that sufficient funds will be available for closeout.

For more information on HMGP management costs, see Part IX, A.4.

I. Cost-effectiveness
FEMA will only consider applications that use a FEMA-approved methodology to demonstrate cost-effectiveness. This is typically demonstrated by the calculation of a BCR. Projects for which benefits exceed costs are generally considered cost-effective. Benefits may include avoided damages, loss of function, and displacement.

FEMA provides BCA software that allows Applicants to calculate a project BCR. Written materials and training are also available. The FEMA BCA software utilizes the OMB Circular A-94, Guidelines and Discount Rates for Benefit-Cost Analysis of Federal Programs. FEMA requires using approved BCA software (version 4.5.5 or greater) to help ensure that calculations are consistent with OMB Circular A-94. The current software is available at the FEMA Regional Office or from the BCA Technical Assistance Helpline.

If FEMA standard values are used, then no additional documentation is required. If non-standard values are used, then documentation is required. Documentation must be accurate and sufficiently detailed for the analysis to be validated. FEMA recommends that supporting documentation be obtained from credible sources, such as a Flood Insurance Study.

Data associated with the various methodologies for analyzing cost-effectiveness are available from the appropriate FEMA Regional Office (see Part VIII) or the BCA Technical Assistance Helpline.

I.1 Substantial Damage Waiver
An expedited cost-effectiveness methodology is
available for property acquisition projects when
certain conditions are met. Structures that are
declared Substantially Damaged as a result of
flooding and located in a riverine SFHA on a

SUBSTANTIAL DAMAGE

WAIVER EXTENDED

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

Part V. Application and Submission Information 48

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

I.2 Aggregation
An evaluation of the cost-effectiveness of a project
should include all activities included within the
SOW. This may include activities in multiple
jurisdictions. It may also include combining
benefits from multiple activities and multiple
hazards, such as wind and flood, if it is a part of the same project.

AGGREGATION
It is appropriate to aggregate benefits from
multiple activities and multiple jurisdictions if
part of the same project.

I.3 5 Percent Initiative
For 5 Percent Initiative subapplications for HMGP funding, a narrative description of the project’s cost-effectiveness must be provided. For more information on the 5 Percent Initiative, see Part IX, A.10.

I.4 Pre-calculated Benefits (Safe rooms)
For Safe Room Construction projects, an expedited cost-effectiveness methodology is available that identifies the benefits associated with certain types of safe rooms (see Appendix F). If this methodology is used, the submitted project application should include a copy of the data relevant to the project location.

I.5 Greatest Savings to the Fund
FEMA also allows for the use of the GSTF data and
methodology to demonstrate cost-effectiveness for
properties included in mitigation projects under
HMA. Subapplicants are not required to use this
methodology when submitting projects for funding
and may utilize the current applicable BCA version

GREATEST SAVINGS

TO THE FUND METHODOLOGY
GSTF can be used to demonstrate cost-
effectiveness of a project under all HMA
programs.
(4.5.5 or greater) methodology.

I.6 Environmental Benefits
FEMA has identified and quantified environmental
benefits for mitigation activities. Incorporating
environmental benefits into the overall quantification
of benefits for acquisition-related activities supports

INCLUSION OF ENVIRONMENTAL

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

Part V. Application and Submission Information 49

FIMA’s mission of risk reduction, environmental compliance, and preservation of the natural and beneficial functions of the floodplain.

Specifically, FEMA developed economic values for green open space and riparian areas. FEMA will be incorporating the environmental benefits for green open space and riparian areas into the BCA toolkit for acquisition projects.

The economic value for green open space is $7,853 per acre per year. For riparian areas, the economic value is $37,493 per acre per year. When incorporating these values into FEMA’s BCA, the yearly benefits accrue over the 100-year project useful life and are discounted at 7 percent per year to meet OMB requirements. Table 4 provides the green open space and riparian benefits per acre per year and per square foot.

Table 4: Green Open Space and Riparian Benefits
Land Use Total Estimated Benefits
(per acre per year)
Total Estimated Benefits(1)
(per square foot)
Green Open Space $7,853 $2.57
Riparian $37,493 $12.29
(1)
Projected for 100 years with 7 percent discount rate
For an acquisition project, the BCR for a project must be 0.75 before incorporating the environmental benefit. This ensures projects funded by HMA are primarily associated with risk reduction activities. Once a project’s BCR r eaches 0.75, the appropriate environmental benefit can be included for the individual properties.

I.7 Benefit-Cost Analysis Resources
Other methods to demonstrate cost-effectiveness may be used when they address a non- correctable flaw in the FEMA-approved methodologies or propose a new approach that is unavailable using current tools. New methodologies may be used only if FEMA approves the methodology before application submission. For more information on resources, see Part X, C.3.

BCA Helpline
Telephone: (855) 540-6744
Email: [email protected]
BCA Policies, Overview, and Software
http://www.fema.gov/benefit-cost-analysis
J. Feasibility and Effectiveness Documentation
FEMA will use the information provided in the subapplication, including the SOW, the cost estimate, and supporting documentation to determine the feasibility and effectiveness of the Part V. Application and Submission Information 50

proposed mitigation activity. FEMA accepts the engineering design for a project if a registered Professional Engineer (or other design professional) certifies that the design meets the appropriate code or industry design and construction standards. FEMA will accept the certified engineering design in lieu of a comprehensive technical feasibility review. If accepted codes/standards are used, no additional documentation is required. See Part X, Appendix D (Referenced Regulations, Statutes, Directives, and Guidance) for examples of codes and standards used for various projects types.

If an alternative design is proposed the application/subapplication should contain:
 Applicable building code/edition or engineering standard used;  Level of protection provided by the proposed project and description of how the proposed activity will mitigate future losses;
 For the retrofit of existing buildings or infrastructure protection projects, an assessment of the vulnerabilities of the existing building;
 Any remaining risk to the structure after project implementation; and  Proposed schematic drawings or designs (as applicable).

Project subapplications that do not include appropriate documentation to support the determination of feasibility and effectiveness may be removed from consideration. Upon request, FEMA will provide technical assistance regarding engineering documentation.

For structure elevation and dry floodproofing activities, a statement certifying that the project will be designed in conformance with ASCE/SEI 24-05 will assist in satisfying the feasibility and effectiveness requirement.

K. Environmental Planning and Historic Preservation
Documentation
The Applicant and subapplicant should ensure that the project SOW takes into account all potential EHP compliance issues. When completing the subapplication, the Applicant/subapplicant must answer a series of EHP review questions and provide information about potential impacts on environmental resources and cultural resources (if applicable) in the project area. For additional information, see Part X, Appendix I (EHP Checklist) and Part X, Appendix J (8-Step Decision Making Process for Floodplain Considerations), and Part X, Appendix K (Section 106 Process under the National Historic Preservation Act).

If potential impacts are identified through the responses to these EHP review questions, the Applicant/subapplicant must provide additional information, (as applicable), such as:
 The property address, original date of construction, and two color photographs for any buildings, structures, objects, or manmade sites/landscapes features that are 50 years or Part V. Application and Submission Information 51

more in age. At least on e of the two photographs provided of a building should be the front or primary façade showing the elevation;
 Any identified federally listed threatened or endangered species and/or designated critical habitat in the project area;
 Vegetation, including amount (area), type, and extent to be removed or affected;  Identification of all surface waters in the project area regardless of drainage area, size, or perceived hazard level. Information about surface waters should include dimensions, proximity of the project activity to the water, and the expected and possible impacts of the project upon surface waters, if any; and
 A description of any adverse effects on low income or minority populations in the project area.

Applicants seeking to determine whether there are any EHP issues associated with the proposed project should consult the HMA EHP Resources At-a-Glance Guide, located at http://www.fema.gov/library/viewRecord.do?id=6976 and the HMA EHP at a Glance at http://www.fema.gov/library/viewRecord.do?id=5904. This Guide also provides key contacts, Web sites, and search engines to assist in early identification of EHP issues and to facilitate coordination with the appropriate State and Federal agencies.

If EHP issues are identified, the Applicant/subapplicant should initiate coordination with the relevant State and Federal agencies as early in the project planning stages as possible to address any potential EHP compliance issues associated with proposed projects. This coordination does not substitute, and shall not be interpreted to mean, that formal consultation has occurred between FEMA and the applicable resource agency.

Additional EHP compliance review activities may be necessary to facilitate project approval, such as environmental impact statements, environmental assessments, Phase I environmental site assessments, biological assessments, archeological or standing structures surveys and documentation, wetlands delineations, and air quality conformity analysis or determinations.

If FEMA or the Applicant/subapplicant identifies any potential impacts through the EHP review process described above, the following requirements must be completed before a grant award may be made:
 Evaluate any potential effects to environmental and historic resources and provide the required information and documentation to identify the impact on these resources;  Complete an evaluation of alternatives to the proposed action that will avoid or minimize these impacts, including consideration of the environmental impact of taking no action;  Complete any required consultation and/or coordination with the appropriate parties (e.g., the State Historic Preservation Officer, the U.S. Fish and Wildlife Service, the National Part V. Application and Submission Information 52

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

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

 Complexity of the proposed project; and
 Nature and extent of potential adverse impacts to environmental and/or historic resources.

Applicants should consider potential EHP costs during application development and submission and should seek to avoid activities that may negatively impact EHP resources.

FEMA may remove projects from consideration for full approval and/or funding when EHP compliance review activities are not progressing and the Applicant/Grantee has not dedicated resources and/or provided required documentation in a timely manner.

For additional information on required EHP documentation, see Part X, C.5.

Part V. Application and Submission Information 53

PART VI. APPLICATION

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

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

A.1 Application Review
FEMA will review all applications and subapplications for eligibility and completeness.

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

A.2 Cost-effectiveness Review
FEMA will review the documentation provided in support of the subapplication cost- effectiveness to validate the accuracy and credibility of data and ensure the appropriate use of the cost-effectiveness methodologies. Only subapplications meeting HMA cost-effectiveness requirements will be considered eligible.

A.3 Feasibility and Effectiveness Review
FEMA will use the information provided in the subapplication, including the SOW and project cost estimate sections, as well as any supporting documentation to determine the feasibility and effectiveness of the mitigation activity.

For project subapplications, FEMA will consider the following criteria in reviewing feasibility and effectiveness:
 Conformance to accepted engineering practices, established codes, standards, modeling techniques, or best practices, as well as work schedule; Part VI. Application Review Information 54

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

A.4 Environmental Planning and Historic Preservation Review Applicants and subapplicants are required to provide information to support the FEMA EHP compliance review. FEMA, in consultation with appropriate Federal and State resource agencies, will use the information provided in the application/subapplication, including the SOW, project cost estimate, as well as any supporting documentation, to ensure compliance with EHP requirements.

As part of the EHP review process, FEMA will assess compliance with applicable requirements including NEPA, NHPA, ESA, CBRA, EO 11988 (Floodplain Management), EO 11990 (Protection of Wetlands), and EO 12898 (Environmental Justice). Funds will not be awarded, and the Applicant/subapplicant may not initiate the project, other than planning or preparatory work not involving construction or alteration of the land, until FEMA has completed this review and it is demonstrated that the project, when completed, will comply with all environmental laws and regulations.

A.5 HMA Efficiencies
FEMA accepts the engineering design for a project if
a registered Professional Engineer (or other design
professional) certifies that the design meets the
appropriate code, or industry design and construction
standards. FEMA will accept the certified
engineering design in lieu of the FEMA
comprehensive technical feasibility review. For
example, if a registered Professional Engineer
certifies that design of a community safe room project

HMA EFFICIENCIES
FEMA provides opportunities to
streamline application requirements by
allowing Applicants to use:
 FEMA technical publications
 National standards and codes
 Design criteria such as ASCE criteria
 Pre-calculated benefits
meets or exceeds FEMA P-361 standards for design and construction, FEMA will not perform a detailed design review to ensure compliance with the standard.

Additionally, in the development of applications and subapplications, the following resources and approaches should be considered as they will promote efficiencies in FEMA review and approval.

A.5.1 Safe Room Projects
Applicants must document that the proposed safe
room project is consistent with the requirements
of FEMA P-320 or FEMA P-361. Applicants
must use the expedited HMGP application for

PRE-CALCULATED BENEFITS

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

Part VI. Application Review Information 55

Residential Safe Rooms to apply pre-calculated benefits under HMGP (see Part X, Appendix F).

This pre-calculated benefit provides standardized benefits associated with residential safe rooms so that individual BCAs are not required as long as the project costs do not exceed the benefits.

A.5.2 Wind Retrofit Projects
FEMA P-804 provides design guidance for wind-retrofit projects on existing one- and two- family dwellings in coastal areas. Mitigation projects funded under HMGP and the PDM Program are required to be implemented in conformance with FEMA-804. If a subapplication complies with FEMA P-804, no additional technical information is required in the subapplication.

A.5.3 Certain Flood Mitigation Projects
FEMA recommends HMA flood mitigation projects be designed and constructed in conformance with the design criteria of ASCE/SEI 24-05 as a minimum standard. FEMA will consider a project application utilizing ASCE/SEI 24-05 as being consistent with HMA engineering feasibility and effectiveness requirements. Project applications that do not use ASCE/SEI 24-05 must submit documentation to demonstrate the project meets the engineering feasibility and effectiveness requirement.

B. Review and Selection Process
B.1 Technical Review
FEMA will conduct a technical review for all project subapplications that are forwarded from the initial FEMA review, for the following:
 Cost-effectiveness;
 Feasibility and effectiveness; and
 EHP compliance.

B.2 Requests for Information
FEMA may request additional information or documentation from Applicants to resolve outstanding administrative or procedural requirements. RFIs can take various forms, including email requests, documented telephone calls, or formal letters. Failure to provide requested information by the deadline identified in the request may result in denial, because eligibility cannot be determined. Technical assistance is available, if requested.

Comments may be provided by FEMA on subapplications determined ineligible so that subapplicants can modify their subapplication for resubmission in future grant cycles.

Part VI. Application Review Information 56

B.2.1 Request for Information Timelines
Table 5 provides timelines for stepwise information
requests and assistance offers. Figure 4 outlines the
RFI process and assigned responsible party. The RFI
process involves an eligibility review to determine if
the subapplication and subapplicant are eligible, then
a completeness review is conducted to determine if a
complete subapplication was submitted. If the
subapplication is determined to be incomplete, there

REQUEST FOR INFORMATION
If a subapplication does not meet the
administrative or procedural information
requirements, FEMA may request
additional information in the form of an RFI.

If the Regional Administrator does not
receive the requested information by the
final deadline, the project will be denied.
are three steps FEMA will take to request further information from the subapplicant. At each step throughout the RFI process, FEMA will work with the Applicant and subapplicant to determine available options to develop a viable project. Some options include technical assistance from FEMA or implementing a phased project. If the requested information is not received by the Regional Administrator before the deadline, the project will be denied as FEMA will have no basis to make an eligibility determination. Upon receipt of the requested information and confirmation it adequately addresses the RFI, FEMA will proceed with making a determination of project eligibility.

Table 5: RFI Timelines
Request
Format Timeline
Informal –
First Request
The Project Officer requests additional information. If the requested information is not received within 30 calendar days from the date of the request, FEMA will consider the application to be incomplete and not approvable. FEMA may provide technical assistance if requested, unless the HMA program is competitive. The Applicant may consider phasing the project if it is feasible to do so.

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

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

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

Part VI. Application Review Information
57 Figure 4: RFI Flowchart
Part VI. Application Review Information 58

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

B.3 Selection
FEMA selects eligible subapplications based on priorities set by the Applicant or program priorities, if applicable. For more information for the PDM Program, see Part IX, B.5, for FMA, see Part IX, C.4.

B.4 Notification
For the PDM Program and FMA, during the review and selection process FEMA will notify Applicants as to whether subapplications have been identified for further review, determined eligible but will not be funded, or determined ineligible for funding. A determination of “identified for further review” is not notification or guarantee of an award.

FEMA will work with Applicants on subapplications identified for further review. Applicants will be notified of activities required, such as an EHP review; verification of subapplicant commitments; verification of hazard mitigation plan status; and of the date by which all required activities must be completed.

Comments may be provided by FEMA on subapplications determined ineligible so that subapplicants can modify their subapplication for resubmission in future grant cycles.

The PDM Program and FMA have specific ranking criteria in addition to those described in this part. For information about ranking criteria a nd on the review and selection process for the PDM Program, see Part IX, B.4; and FMA, see Part IX, C.4.

B.5 Reconsideration Process
For the FMA and PDM programs, FEMA will reconsider its determination of a subapplication evaluated on a competitive basis only when there is an indication of a substantive technical or procedural error by FEMA. Only information provided in the submitted subapplication is considered supporting documentation for the request for reconsideration. The amount of funding available for Applicant management costs will not be reconsidered.

FEMA may evaluate subapplications on a competitive basis when:
 Submitted subapplications exceed available funds;
 Law or regulation requires the administration of a competitive program; or Part VI. Application Review Information 59

 Circumstances merit the administration of funds in a competitive manner.

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

B.5.1 Consideration of Additional Information
FEMA may, at its discretion, notify Applicants that it will consider additional information in support of a subapplication.

FEMA will accept supplemental or corrected data in support of a subapplication when:
 Submitted subapplications do not exhaust available program funds;  Law or regulation do not require the administration of a competitive program; or  When determined appropriate by the program office.

Instructions for submitting supplemental data will be provided within the FEMA notification letter, if applicable.

For information on appeal and administration of HMGP subapplications, see Part IX, A.11.

Part VI. Application Review Information 60

PART VII. AWARD ADMINISTRATION

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

A. Notice of Award
FEMA will provide an award package to the Applicant for successful subapplications.

Subapplicants will receive notice of award from the Applicant.

Award packages for the PDM Program and FMA include an award letter, FEMA Form 76-10A, Obligating Document for Awards/Amendments, and Articles of Agreement, EHP, and/or other conditions that must be signed by the Applicant in eGrants and returned to FEMA for approval before funds can be obligated.

For HMGP, award packages for subgrants include an approval letter, an obligation document, and EHP and/or other conditions.

When the Applicant or subapplicant accepts an award, they are denoted as Grantee and subgrantee, respectively. The Grantee and subgr antee agree to abide by the grant award terms and conditions as set forth in the Articles of Agreement or the FEMA-State Agreement.

B. Administrative and National Policy Requirements
B.1 Cost-Share Documentation
Requirements for cash and third-party in-kind contributions can be found in 44 CFR Section

13.24. Third-party in-kind and cash contributions are only allowable for eligible program costs.

The following documentation is required for cash and third-party in-kind contributions:
 Record of donor;
 Dates of donation;
 Rates for staffing, equipment or usage, supplies, etc.;  Amounts of donation or value of donation; and
 Deposit slips for cash contributions.

Such documentation must be kept on file by the Grantee and subgrantee.

Part VII. Award Administration Information 61

B.2 Scope of Work Changes
In accordance with 44 CFR Section 13.30,
Grantees must obtain FEMA’s prior approval
whenever there is a proposed SOW change.

Requests for changes to the SOW after award are
permissible as long as they are consistent with
the intent of the program. Requests must be
made in writing and demonstrate the need for the
scope change. The request also should include a revised scope, schedule, and budget. Any SOW changes are subject to all programmatic requirements. All approvals will be at FEMA’s discretion.

SCOPE CHANGE
Grantees and subgrantees must request FEMA’s
approval for a change in scope after the grant has
been awarded. The change must be consistent
with the intent of the program. Requests must be
made in writing and demonstrate the need for a
change.

B.3 Budget Changes
Grantees and subgrantees are permitted to rebudget within the approved direct cost budget to meet unanticipated
requirements and may make limited program changes to
the approved budget. For more information on direct cost categories, please see OMB Circular A-87 and 2 CFR Part 225, Cost Principles for State, Local, and Indian Tribal Governments. Unless expressly waived by FEMA, the
following types of post-award changes to budgets will require the prior written approval of FEMA:

BUDGET CHANGE
In limited cases, Grantees and
subgrantees are permitted to make
adjustments within the approved direct
cost category to meet unanticipated
requirements.

B.3.1 Non-construction Projects
 Non-construction subgrant adjustments of more than 10 percent in any direct cost categories; and
 Any changes that would result in additional funding to the grant.

B.3.2 Construction Projects
 All construction cost adjustments that lead to the need for additional funds.

When budget changes are made, all programmatic requirements continue to apply. Additional information regarding budget adjustments and revisions can be found in 44 CFR Section 13.30.

B.3.3 Cost Overruns and Underruns
A cost overrun or underrun can result from a scope, schedule, or budget change.

Part VII. Award Administration Information 62

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

B.4 Program Period of Performance
The POP is the period during which the Grantee is
expected to complete all grant activities and to incur
costs. The POP for the Program begins with the
opening of the application period and ends no later than 36 months from the close of the application period.

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

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

B.4.1 Extensions
Requests for extensions to a grant POP will be evaluated by FEMA but will not be approved automatically. The Regional Administrator can extend the POP for up to 12 months with justification. All re quests to extend the grant POP beyond 12 months from the original grant POP end date must be approved by FEMA Headquarters.

All extension requests must be submitted to FEMA at least 60 days prior to the expiration of the grant POP and justifications must be submitted in writing. The justification must include:
 Verification that progress has been made as described in quarterly reports;  Reason(s) for delay;
 Current status of the activity/activities;
 Current POP termination date and new projected completion date;  Remaining available funds, both Federal and non-Federal;  Budget outlining how remaining Federal and non-Federal funds will be expended; and  Plan for completion, including updated schedule.

B.5 Requests for Advances and Reimbursements
The Grantee’s responsibility of an HMA grant is to process requests for advances and reimbursements of funds. The Grantee should establish accounting procedures to disburse money to subgrantees in a timely manner and should provide to subgrantees a POC for information on requesting and receiving the funds, records that must be maintained, forms to be used, and timelines for requesting the funds.

Part VII. Award Administration Information 63

For the PDM Program and FMA, Payment and Reporting System (PARS) is used to transfer funds between FEMA and Grantees. Grantees shall submit to FEMA a copy of the Standard Form (SF-425).

For HMGP, the Department of Health and Human Services, Division of Payment Management, Payment Management System, SMARTLINK, is used to transfer funds between FEMA and Grantees. Grantees shall submit to FEMA a copy of the SF-425.

B.5.1 Strategic Funds Management
In accordance with the needs of the Disaster
Relief Fund as well as Grantee priorities and
ability to execute the project in a timely manner,
FEMA may elect to provide funding for certain
projects in incremental amounts, including
advance payments (Strategic Funds Management
or SFM). SFM allows FEMA to schedule
obligations to be available when the State is
ready to execute an HMGP subgrant or
components of the subgrant. SFM also allows
for incremental obligations as needed within the
3-year POP requirements to support project
activities as described in the project work
schedule.

SFM does not allow funds to be advanced for an
HMGP project that is not approved and eligible.

DIFFERENCE BETWEEN STRATEGIC

FUNDS MANAGEMENT, PHASED

PROJECTS, PRE-AWARD COSTS,

AND ADVANCE ASSISTANCE
SFM is designed to provide incremental funding
for eligible activities when the funds are
required.

Phased projects are those that receive
funding for only certain complex activities that
are approved to allow the Applicant to develop
a full work scope/data package to support the
full project description.

Pre-award costs are eligible costs incurred by
the Applicant in advance of receiving funds.

These activities are reimbursed when the
project is approved and funded.

Advance Assistance provides States and
Indian Tribal governments with resources to
develop mitigation strategies and obtain data
to prioritize, select, and develop complete
HMGP applications in a timely manner.

B.6 Program Income
FEMA encourages Grantees and subgrantees to generate program income to help defray program costs. Program income is gross income receive d by the Grantee or subgrantee directly generated by a grant-supported activity or earned only as a result of the grant during the grant POP.

Program income may be derived from use or rental of real or personal property acquired with grant funds, and sale of commodities or items fabricated under the grant award. Subgrantees deduct this income from total project costs as specified in 44 CFR Section 13.25(g)(1). This income may not count towards the non-Federal cost share.

B.7 Federal Income Tax on Mitigation Project Funds
FEMA mitigation payments that benefit property owners through the mitigation of their structures are not subject to Federal income taxation. FEMA mitigation payments to acquire a property will be treated as an involuntary conversion for tax purposes. These tax relief measures Part VII. Award Administration Information 64

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

B.8 Noncompliance
If a Grantee or subgrantee materially fails to comply with any term of an award, whether stated in a Federal statute or regulation, an assurance, a State Administrative Plan or application, a notice of award, or elsewhere, including in this guidance, FEMA may take one or more of the following actions, as appropriate:
 Temporarily withhold cash payments pending correction of the deficiency by the Grantee or subgrantee;
 Disallow (that is, deny both use of funds and matching credit for) all or part of the cost of the activity or action not in compliance;
 Wholly or partly suspend or terminate the current award for the Grantee’s or subgrantee’s HMA grant program(s);
 Withhold further awards for HMA grant program(s); or  Take other remedies that may be legally available.

Additional details can be found in 44 CFR Section 13.43.

C. Reporting Requirements
Grantees and subgrantees must maintain records of work and expenditures. Grantees submit quarterly financial and performance reports to FEMA on January 30, April 30, July 30, and October 30. The first quarterly re ports are due within 30 days of the end of the first Federal quarter following the initial grant award. FEMA may waive the initial reports. The Grantee shall submit quarterly financial status and performance reports thereafter until the grant ends.

Failure to submit financial and performance reports to FEMA in a timely manner may result in an inability to access grant funds until proper reports are received by FEMA. Grantees are encouraged to contact FEMA should this occur.

The PDM Program and FMA quarterly reports can be submitted via eGrants. For HMGP, quarterly performance reports can be submitted via NEMIS or a hard copy to the Region. PDM Program and FMA quarterly financial reports must be submitted via PARS.

C.1 Federal Financial Reports
Grantees shall submit a quarterly Federal Financial Report (FFR). Obligations and expenditures must be reported on a quarterly basis through the FFR (SF-425), which is due to FEMA within 30 days of the end of each calendar quarter (e.g., for the quarter ending March 31, the FFR is due no later than April 30). A report must be submitted for every quarter of the POP, including Part VII. Award Administration Information 65

partial calendar quarters, as well as for periods where no grant activity occurs. Future awards and fund drawdowns may be withheld if these reports are delinquent. The final FFR is due 90 days after the end date of the POP.

OMB has directed that the FFR (SF-425) replace the use of the SF-269, SF-269A, SF-272, and SF-272A. The SF-425 consolidates the Federal Stat us Report and the Federal Cash Transaction Report into a single report. The SF-425 is inte nded to provide Federal agencies and grant recipients with a standard format and consistent reporting requirements.

Reporting periods and due dates:
 October 1 – December 31; Due January 30
 January 1 – March 31; Due April 30
 April 1 – June 30; Due July 30
 July 1 – September 30; Due October 30
FEMA may suspend drawdowns from SMARTLINK or PARS if quarterly financial reports are not submitted on time.

C.2 Performance Reports
The Grantee shall submit a quarterly performance report for each grant award. Performance reports should include:
 Reporting period, date of report, and Grantee POC name and contact information;  Project identification information, including FEMA project number (including disaster number and declaration date for the HMGP), subgrantee, and project type using standard eGrants/NEMIS project type codes;
 Significant activities and developments that have occurred or have shown progress during the quarter, including a comparison of actual accomplishments to the work schedule objectives established in the subgrant;
 Percent completion and whether completion of work is on schedule; a discussion of any problems, delays, or adverse conditions that will impair the ability to meet the timelines stated in the subgrant; and anticipated completion date;  Status of costs, including whether the costs are: (1) unchanged, (2) overrun, or (3) underrun. If there is a change in cost st atus, the report should include a narrative describing the change. Also, include am ount dispersed to subgrantee by activity;  A statement of whether a request to extend the grant POP is anticipated;  Incremental funding amounts (SFM) and progress completed; Part VII. Award Administration Information 66

 For acquisition projects, the Grantee must notify FEMA on the current status of each property for which settlement was completed in that quarter; and  FEMA may require additional information as needed to assess the progress of a grant.

FEMA may suspend drawdowns from SMARTLINK or PARS if quarterly performance reports are not submitted on time.

C.3 Final Reports
The Grantee shall submit a Final SF-425 and Performance Report no later than 90 days after the end date of the POP, per 44 CFR Section 13.50.

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

Part VII. Award Administration Information 67

68 Part VII. Award Administration Information

For project-specific requirements, see the Appendices and the Addendum to this HMA Unified Guidance. Grantees should close out subgrants as activities are completed. In addition, as cost underruns are identified, the Grantee should submit de-obligation requests to FEMA.

The subgrantee is required to keep records for at least 3 years from the date when the Grantee submits to FEMA the single or final expenditure report for the subgrantee in accordance with 42 U.S.C. 705 and 44 CFR Section 13.42.

For additional information about closeout for property acquisition and structure demolition or relocation projects, see Addendum, Parts A.13 and A.15. For additional information about closeout for mitigation reconstruction projects, see Addendum, Part D.9.

D.2 Grant Closeout
The Grantee has up to 90 days following the expiration of the grant POP to liquidate valid expenditures incurred during the POP. Cost underruns remaining after the post-POP liquidation period date must be reported to FEMA for de-obligation. The closeout process for the Grantee involves the following steps:
 The Grantee ensures all subgrants have been closed out as identified in Part VII, D.1;  The Grantee reconciles/adjusts subgrant costs, ensures that non-Federal share costs are documented, and ensures that all costs submitted are eligible according to the 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 de- obligation of unused funds, if applicable;
 FEMA Form 20-18, Report on Government Property, if applicable; and  The Grantee notifies FEMA that the grant is ready for final closeout.

The Grantee must maintain the complete grant closeout records file for at least 3 years from the submission date of its single or last expenditure report in accordance with 44 CFR Section

13.42. For HMGP, FEMA can track closeouts using the Project Closeout module in NEMIS.

Part VII. Award Administration Information 69




D.2.1 Update of Re petitive Loss Database
Grantees with projects that mitigate a repetitive loss property, as identified by the NFIP, must update the NFIP Repetitive Loss Database as project activities are completed.

For acquisition and demolition or relocation projects, Grantees must provide this update when there is no longer an insurable structure on the property; and For elevation, reconstruction, floodproofing, and minor flood control projects, Grantees must provide this update when the approved activity is complete or otherwise effective.

The NFIP defines a repetitive loss property as any insurable building for which two or more claims of more than $1,000 were paid by the NFIP within any rolling 10-year period since 1978.

At least two of the claims must be more than 10 days apart but within 10 years of each other. A repetitive loss property may or may not be currently insured by the NFIP.

Please note this definition of repetitive loss property is different from the FMA definition of repetitive loss property located in Part IX, C.1.

To gain access to sensitive NFIP data, government officials are required to obtain a User Name and Password for access to Data Exchange, the Repetitive Loss Database that is managed by the NFIP Legacy Systems Contractor. Currently, only two access accounts are permitted per State and are reserved for the State Hazard Mitigation Officer (SHMO) and the State NFIP Coordinator or their designee. To obtain a User Name and Password for access to Data Exchange, send an email with your name, title, contact information, and the reason that access to Data Exchange is needed to FEMA. Once FE MA authorizes you for NFIP Legacy Systems access to Data Exchange, you will be notified via email.

To maintain accurate, up-to-date records for all repetitive loss properties mitigated as a result of HMA grant funds, FEMA requires that the Grantee submit FEMA Form AW-501, NFIP Repetitive Loss Update Worksheet (OMB 1660-0022). Form AW-501 must be submitted along with documentation supporting the change in the mitigated status of a structure (e.g., elevation certificate). This form must be submitted for each property mitigated with HMA grant funds prior to closeout. The AW-501 form and instructions for completing and submitting it can be found on the FEMA Web site: http://www.fema.gov/library/viewRecord.do?id=324

4. Detailed
AW-501 forms for individual repetitive loss properties can be obtained by accessing Data Exchange and selecting the link to AW-501 data after selecting to look up property by property locator or repetitive loss number.

States accessing NFIP data via the electronic systems (Data Exchange) are advised of, and must acknowledge, the sensitive nature of the information and the need to prevent the release of the data to unauthorized users. When the data is re leased 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 VII. Award Administration Information 70

PART VIII. FEMA CONTACTS
Part VIII identifies resources that may help Applicants and subapplicants request HMA funds.

If requested, FEMA will provide technical assistance to both Applicants and subapplicants regarding:
 General questions about the HMA programs;
 Specific questions about subapplications after the application period opens;  Feasibility and effectiveness, cost-effectiveness, and EHP compliance during the application period; and
 The eGrants application processes.

For additional technical assistance resources, including HMA application and award resources, see Part X, C.7.

FEMA encourages Applicants and subapplicants to seek technical assistance early in the application period by contacting their appropriate FEMA Regional Office. Table 6 shows which States are served by each FEMA Region.

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

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

Table 6: FEMA Regions
FEMA
Region Serving
I Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, Vermont II New Jersey, New York, Puerto Rico, U.S. Virgin Islands III Delaware, District of Columbia, Maryland, Pennsylvania, Virginia, West Virginia IV Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina, South Carolina, Tennessee V Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin VI Arkansas, Louisiana, New Mexico, Oklahoma, Texas
VII Iowa, Kansas, Missouri, Nebraska
VIII Colorado, Montana, North Dakota, South Dakota, Utah, Wyoming IX Arizona, California, Hawaii, Nevada, American Samoa, Guam, the Northern Mariana Islands X Alaska, Idaho, Oregon, Washington
Part VIII. FEMA Contacts 71

PART IX. ADDITIONAL PROGRAM

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

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

A.1 Grantee Request for HMGP Funds
HMGP is authorized through a Presidential major disaster declaration for activities that provide a beneficial impact to the disaster area. A Gove rnor may request that HMGP funding be available throughout the State or only in specific jurisdictions. For information regarding the declaration process and authorization of HMGP, see 44 CFR Part 206, Subpart B, and seek assistance from the appropriate FEMA Regional Office.

The Governor’s Authorized Representative (GAR) serves as the grant administrator for all funds provided under HMGP 44 CFR Section 206.438 (d). The GAR responsibilities include providing technical advice and assistance to eligible subapplicants and/or subgrantees and ensuring that all potential subapplicants are aware of available assistance for the submission of all documents necessary for grant award.

A.2 State Administrative Plan
The State Administrative Plan is a procedural guide that details how the Grantee will administer HMGP. Grantees must have a current Administrative Plan approved by FEMA before receiving HMGP funds. The State Administrative Plan may become an annex or chapter of the State’s overall emergency response and operations plan or comprehensive mitigation program strategy.

At a minimum, the State Administrative Plan must:
 Designate the State agency that will act as Grantee;  Identify the SHMO;
 Identify staffing requirements and resources, including a procedure for expanding staff temporarily following a disaster, if necessary;
Part IX. Additional Program Guidance: Hazard Mitigation Grant Program 72

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

A.2.1 Designation of Grantee and SHMO
Typically, the agency designated to act as Grantee manages the State responsibilities for Federal and State disaster assistance and is responsible for meeting the mitigation planning requirement.

Although a single agency may administer the funding, the Governor may establish an interagency mitigation team to manage the State mitigation program.

The SHMO is typically responsible for managing the State’s mitigation program, coordinating the mitigation team, and developing as well as implementing the hazard mitigation plan. States often rely on staff from the emergency management agency or other State agencies to augment the staff of the SHMO following a disaster.

A.2.2 Staffing Requirements and the Mitigation Team
The State Administrative Plan should identify the positions and minimum number of personnel needed to implement HMGP. Key positions may include clerical, administrative, and financial management staff; program specialists to support mitigation planning and the implementation of mitigation activities and to conduct BCAs; and environmental planners. However, the organizational structure of the staff should remain flexible as it may be augmented as needed with emergency management agency staff, staff from other State agencies, or temporary staff or contractors hired to administer HMGP effectively. The State Administrative Plan should include a procedure for expanding staff resources and using HMGP management costs.

The mitigation team may include representatives of agencies involved with emergency management, natural resources, floodplain management, environmental issues and historic and archeological preservation, soil conservation, transportation, planning and zoning, housing and economic development, building regulations, infrastructure regulations or construction, public information, insurance, regional and local government, academia, business, and non-profit organizations. With the varied backgrounds and specialized expertise of members, the team creates interagency, interdisciplinary insight regarding risks and potential solutions. The interagency aspect of the team can diffuse political pressure on the Grantee agency and increase the availability of resources. The mitigation team may support the Grantee agency by:
 Developing a comprehensive mitigation strategy;
 Supporting development and implementation of the State Mitigation Plan;  Communicating with local governments regarding State mitigation priorities;  Building public and business/industry support for mitigation initiatives; Part IX. Additional Program Guidance: Hazard Mitigation Grant Program 73

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

A.2.3 Procedures to Guide Implementation Activities
The State Administrative Plan must establish procedures to:
 Identify and notify potential subapplicants of the availability of HMGP funding;  Provide potential subapplicants information on the application process, program

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

A.2.4 Sliding Scale
The maximum amount of HMGP funding available is calculated using a “sliding scale” formula based on a percentage of the estimated total Federal assistance under the Stafford Act, excluding administrative costs for each Presidential major disaster declaration. Applicants with a 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
 Up to 7.5 percent for the next portion of the estimated aggregate amount more than $10 billion and up to $35.333 billion.

Part IX. Additional Program Guidance: Hazard Mitigation Grant Program 74

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

A.2.5 Management Costs
The Grantee must amend its State
Administrative Plan to include procedures for
determining the reasonable amount or
percentage of management costs that it will pass
through to the subgrantee, as well as closeout
and audit procedures before FEMA will obligate
any management costs (see 44 CFR Sections
207.4(c) and 207.7(b)). The State will
determine the amount, if any, of management
costs it will pass through to the subgrantee.

FEMA has not established any minimum for
what constitutes a reasonable amount.

A.2.6 Submission and Approval
Deadlines

THE HMGP FINAL LOCK-IN
Because lock-in estimates are subject to
change, FEMA will not obligate more than 75
percent of any estimate before the final lock-in
is calculated.

Total State Management Cost (SMC)
(4.89% of Total Available HMGP):

Prior to 12 Months:

FEMA obligates up to 75 percent of
total HMGP funding separate from SMC
At 12 Months:

FEMA establishes the full HMGP ceiling
amount
At 18 Months:

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

A.3 HMGP Funding
FEMA will determine the funding it will make available for the HMGP by a lock-in, which will act as a ceiling for funds available to a Grantee, including its subgrantees. The level of HMGP funding available for a given disaster is based on a percentage of the estimated total Federal assistance under the Stafford Act, excluding administrative costs for each Presidential major disaster declaration, as described in 44 CFR Section 206.432(b) and Part III, A of this guidance.

An initial estimate will be provided within 35 days of the disaster declaration or soon thereafter, in conjunction with calculation of the preliminary lock-in amount(s) for management costs.

The 6-month estimate is no longer the floor or a guaranteed minimum funding for HMGP. The 12-month lock-in is the maximum amount available. Prior to 12 months, total obligations are Part IX. Additional Program Guidance: Hazard Mitigation Grant Program 75

limited to not more than 75 percent of any current estimate, without the concurrence of the Regional Administrator or Federal Coordinating Officer (FCO) with Disaster Recovery Manager authority and the Office of the Chief Financial Officer (OCFO).

FEMA will establish the HMGP funding ceiling for each disaster at 12 months after the disaster declaration. This amount, also known as the “l ock-in” value for HMGP, is the maximum that FEMA can obligate for eligible HMGP activities. The OCFO will continue to provide HMGP estimates prior to 12 months; however, these estimates will not represent a minimum or floor amount.

In rare circumstances, when a catastrophic disaster has resulted in major fluctuations of projected disaster costs, FEMA may, at the request of the Grantee, conduct an additional review 18 months after the disaster declaration. If the resulting review shows that the amount of funds available for HMGP is different than previously calculated, the final lock-in amount will be adjusted accordingly.

The Grantee must justify in writing to the Regional Administrator any requests to change the amount of the lock-in or perform subsequent reviews. The Regional Administrator will recommend to the Chief Financial Officer whether to approve the change. Changes to the lock- in will not be made without the approval of the Chief Financial Officer. The Chief Financial Officer may change the amount of the lock-in if it is determined that the projections used to determine the lock-in were inaccurate to such a degree that the change to the lock-in would be material, or for other reasons in his or her discretion that may reasonably warrant such changes.

The Chief Financial Officer will not make such changes without consultation with the Grantee and the Regional Administrator.

A.4 HMGP Management Costs
The amounts, allowable uses, and procedures for HMGP management costs are established in 44 CFR Part 207. Examples of allowabl e management costs are listed in Part IV , D.1.3. HMGP management costs will be provided at a rate of 4.89 percent of the HMGP ceiling. The Grantee, in its State Administrative Plan, will determine the amount, if any, of management costs it will pass through to the subgrantee (see Part IX, A.2.5). Management costs are provided outside of and separate from the HMGP ceiling amount. There is no additional cost-share requirement for HMGP management costs.

FEMA will establish the amount of funds that it will make available for management costs by a lock-in, which will act as a ceiling for management cost funds available to a Grantee, including its subgrantees. FEMA will determine, and provide to the Grantee, management cost lock-ins at 30 days (or soon thereafter), at 6 months, and at 12 months from the date of declaration, or upon the calculation of the final HMGP lock-in ceiling, whichever is later.

Part IX. Additional Program Guidance: Hazard Mitigation Grant Program 76

Upon receipt of the initial 30-day lock-in, Grantees may request that FEMA obligate 25 percent of the estimated lock-in amount(s) to the Grantee. No later than 120 days after the date of declaration, the Grantee must submit documentation to support costs and activities for which the projected lock-in for management cost funding will be used. In extraordinary circumstances, FEMA may approve a request by a Grantee to submit supporting documentation after 120 days.

FEMA will work with the Grantee to approve or reject the documentation submitted within 30 days of receipt. If the documentation is rejected, the Grantee will have 30 days to resubmit it for reconsideration and approval. FEMA will not obligate any additional management costs unless the Grantee’s documentation is approved.

The documentation for management costs must include:
 A description of activities, personnel requirements, and other costs for which the Grantee will use the management cost funding provided under this part;  The Grantee’s plan for expending and monitoring the funds provided under this part and ensuring sufficient funds are budgeted for grant closeout; and  An estimate of the percentage or amount of pass-through funds for management costs provided under this part that the Grantee will make available to subgrantees, and the basis, criteria, or formula for determining the subgrantee percentage or amount (e.g., number of projects, complexity of projects, etc.).

Upon receipt of the 6-month management costs lock-in, and if the Grantee can justify a bona fide need for additional management costs, the Grantee may submit a request to the Regional Administrator for an interim obligation. Any interim obligation must be approved by the Chief Financial Officer and will not exceed an amount equal to 10 percent of the 6-month lock-in amount, except in extraordinary circumstances.

The Grantee must justify in writing to the Regional Administrator any requests to change the amount of the lock-in or the cap, extend the time period before lock-in, or request an interim obligation of funding at the time of the 6-month lock-in adjustment. The Regional Administrator will recommend to the Chief Financial Officer whether to approve the extension, change, or interim obligation. Extensions, changes to the lock-in, or interim obligations will not be made without the approval of the Chief Financial Officer.

For additional information on HMGP management costs see 44 CFR Part 207.

A.5 Eligible Subapplicants
In addition to the eligible subapplicants described in Part IV , A.1, PNP organizations may act as the subapplicant for HMGP. PNP organizations or institutions that own or operate a PNP facility are defined in 44 CFR Section 206.221(e). Each subapplication from a PNP must include either:

Part IX. Additional Program Guidance: Hazard Mitigation Grant Program 77

 An effective ruling letter from the IRS granting tax exemption under Section 501(c), (d), or (e) of the Internal Revenue Code of 1954, as amended; or  State certification, under State law, of non-profit status.

A qualified conservation organization, as defined at 44 CFR Section 80.3(h), is the only PNP organization eligible to apply for property acquisition and demolition or relocation projects.

A.6 Submission of HMGP Subapplications
The Grantee must submit all HMGP subapplications to FEMA within 12 months of the date of the disaster declaration. Upon written request and justification from the Grantee, FEMA may extend the application submission timeline in 30- to 90-day increments not to exceed a total extension of 180 days, in the event of extraordinary conditions. For additional information see 44 CFR Section 206.436. Additional time may be available based on meeting the criteria of the Stafford Act, Section 301. To qualify, the requestor must justify how the event for which the additional time is needed created the situation in which the Grantee cannot meet the regulatory administrative deadline.

Extensions beyond regulatory time limits will be considered on a case-by-case basis. Stafford Act Section 301 provides relief for the rare circumstance when the magnitude of the event for which the extension is requested prevents the Grantee from meeting program administrative requirements. The Grantee must make the request to the Flood Insurance and Mitigation Administration Associate Administrator by submitting through the Regional Administrator, or if there is a Joint Field Office submit through the FCO. The Regional Administrator or FCO will provide his or her comments or concurrence and forward the request. The maximum time available is 90 days. The request must describe the conditions that preclude the Grantee from meeting the administrative requirements and must include a summary of current status, planned actions to meet the extension, and any resources that may be required. FEMA will consider the request and will provide a decision within 30 days.

A.7 Grant Cost-share Requirements
HMGP grants are required to have at least a 25 percent non-Federal cost share.

The Grantee may choose to meet the cost-share requirement by ensuring a minimum 25 percent non-Federal share for the overall HMGP grant award, rather than on an individual activity basis.

Grantees choosing this option should develop a cost-share strategy as part of their Administrative Plan for review and approval by FEMA.

If an Applicant chooses to fund individual projects with non-Federal cost shares below 25 percent, the Applicant must notify FEMA. If an Applicant intends to implement this approach, the State Administrative Plan must explain how the Applicant will:
 Apply this approach in a fair and impartial manner to all subapplications; Part IX. Additional Program Guidance: Hazard Mitigation Grant Program 78

 Monitor the cost share for the overall grant throughout the POP; and  Address any cost-share shortfalls that may occur during the POP and at closeout.

If, at closeout, the non-Federal cost share of the grant is less than 25 percent of the total amount, FEMA will recoup the amount of Federal funds needed to bring the cost share into compliance.

A.8 Post-Disaster Code Enforcement Projects
HMGP will fund extraordinary post-disaster code enforcement costs. Extraordinary needs associated with enforcing local building codes during post-disaster reconstruction may include the performance of building department functions, such as building inspections, and the performance of Substantial Damage determinations under the NFIP.

A post-disaster code enforcement project may be funded through HMGP if:
 The Grantee assesses existing building code and/or zoning and land use management regulations and determines that they adequately address the identified natural hazard risks.

The Grantee determines that the local community has adopted a building code consistent with a recent edition of the International Code Series, conforms to State-model or 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; and  The Grantee evaluates the building department and identifies deficiencies, and the local community agrees to address any deficiencies identified in this evaluation as a condition of receiving the subgrant. This agreement can be a simple statement attached to the evaluation and should include an implementation schedule that is mutually satisfactory to the Grantee, the subgrantee, and FEMA. The agreement should include an acknowledgment by the subgrantee that failure to meet the agreed upon implementation schedule can result in the loss of all current and/or future building department assistance used to support post-disaster operations.

The State’s assessment can be accomplished through various mechanisms. Any assessment should include a discussion of the community’s compliance with the NFIP. Suggested approaches include (but are not limited to):
 Employing a mutual-aid agreement among communities to use other local building officials;

 Entering into a contractual agreement with a State or regional government entity that is well versed in building codes and proper administration of a building department; Part IX. Additional Program Guidance: Hazard Mitigation Grant Program 79

 Entering into a contractual agreement with one of the model building code organizations;  Employing building code experts temporarily;
 Deploying FEMA mitigation staff knowledgeable of building codes and proper building department administration. Former local building officials can often provide the requisite knowledge; or
 Requesting the Hazard Mitigation Technical Assistance Program.

HMGP funds only extraordinary post-disaster code enforcement costs. Extraordinary post- disaster code enforcement costs are the costs to ensure disaster-resistant codes are implemented during disaster reconstruction after normal costs of the building department are deducted. Costs might include staffing, equipment purchases, office rental, transportation, supplies, and similar expenses. Extraordinary costs equal disaster co sts minus normal costs and cost of fees or fee waivers.
 Disaster costs can be determined by the payroll and office expenses during the period of assistance. If the subapplicant must purchase new equipment, only the equivalent rental cost of this equipment for the period of assistance is considered a disaster cost. The revenues generated by fees for inspections or permits, whether collected or not, must be deducted;
 Normal costs can be determined from a monthly average of payroll and office expenses during the most recent 12-month period that does not included Federal, State, or local disaster declarations; and
 If a community has already received Federal assistance for meeting emergency building inspection needs (such as determining habitability), these costs must be deducted in determining extraordinary costs.

A.9 Advance Assistance
Advance Assistance is authorized by the SRIA, which
allows advancing up to 25 percent of the HMGP
ceiling or $10 million to Applicants, whichever is less.

The purpose of Advance Assistance is to provide
States and Tribes resources to develop mitigation
strategies and obtain data to prioritize, select, and
develop complete HMGP applications in a timely
manner. FEMA expects States and Tribes that receive
Advance Assistance to submit complete project
applications up to or over the HMGP ceiling by the
application deadline.

ADVANCE ASSISTANCE
FEMA may provide up to 25 percent
(with a limit of $10 million) of the amount
of estimated HMGP costs to States and
Indian Tribal governments in advance of
incurring eligible costs.

FEMA expects States that receive
Advance Assistance to submit complete
project applications up to or over the
available HMGP ceiling by the final
HMGP project application deadline.

Part IX. Additional Program Guidance: Hazard Mitigation Grant Program 80

FEMA will continue to implement Advance Assistance on a pilot basis for any State or Indian Tribal government having a declaration with an open application period. Advance Assistance is not automatic.

States and Tribes may request Advance Assistance by submitting an HMGP application form to the Regional Mitigation Division Director. The application must identify the proposed use of the funds, including costs in sufficient detail for each proposed activity and milestones for submitting completed HMGP applications to FEMA. Advance Assistance is subject to the HMGP cost-share requirements and SFM (i.e., FEMA will not obligate funds until the State has an immediate need for the funds). Advance Assistance is part of the HMGP ceiling amount.

States may use Advance Assistance for the following activities:
 Obtain staff or resources to develop a cost-share strategy and identify potential match funding;
 Evaluate facilities or areas to determine appropriate mitigation actions;  Incorporate environmental considerations early into program decisions;  Collect data for BCAs, environmental compliance and other program requirements;  Scope and prioritize hazard mitigation projects (including State coordination of local projects) to incorporate sustainability, resilience, and renewable building concepts;  Develop hazard mitigation projects, including engineering design and feasibility actions;  Incorporate SFM principles into mitigation project work schedules and budgets that will facilitate compliance with the legislative requirement to expend obligated funds within 24 months;
 Conduct meetings, outreach, and coordination with potential subapplicants and community residents to identify potential participants for property acquisition and demolition or relocation projects;
 Conduct engineering design and feasibility studies for larger or complex community drainage projects or critical facility retrofits (such as for phased projects);  Conduct hydrologic and hydraulic studies for unmapped flood zones or Approximate A Zone areas where communities propose to submit hazard mitigation projects;  Perform professional cost estimation services to aid consistency in project budgeting across subapplications;
 Rectify data consistency needs for other project application categories, such as EHP, cost sharing mechanisms, and work schedules; and
 Complete necessary documents for deed restricting properties such as acknowledgement of voluntary participation, or Model Acknowledgement of Conditions for Mitigation of Property in a Special Flood Hazard Area with FEMA Grant Funds for property acquisition projects.

Part IX. Additional Program Guidance: Hazard Mitigation Grant Program 81

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

For additional information on Advance Assistance, please see Appendix L, Advance Assistance Optional Application.

A.10 Phased Projects
In general, sufficient technical information is provided by the Applicant or subapplicant to allow FEMA to make an eligibility determination on a subapplication. The costs to obtain this information are generally eligible as pre-award costs (See Part V , F.2 for more information).

However, in rare circumstances it is beyond the subapplicant’s technical and financial resources to provide the complete technical information required for a full eligibility or environmental review of a complex project. The Applicant and FEMA may provide technical assistance to the subapplicant to develop this complete body of technical data by approving a subapplication to complete a Phase I design, engineering, environmental, or feasibility study. The Phase I study provides FEMA with a technical body of information mutually concurred on by the subapplicant, the Applicant, and FEMA to determine project eligibility. If the results of the Phase I review indicate that the project meets HMGP requirements, the project would then be eligible for funding for construction under a Phase II approval. Phase I study funding is part of the project’s total estimated cost, and is subject to HMGP cost-share requirements.

The use of a Phase I study should be limited to complex projects that require technical or environmental data beyond the scope of that generally required for a typical HMGP project. The following provides guidelines and outlines the process for selecting projects for Phase I/Phase II project approval.

Part IX. Additional Program Guidance: Hazard Mitigation Grant Program 82

A.10.1 Pre-Screening Process
The project must meet the following pre-screening criteria for a conditional Phase I approval in the following sequence:
 State or Indian Tribal (Standard or Enhanced) Mitigation Plan – The proposed project must be in conformance with the State or Tribal (Standard or Enhanced) Mitigation Plan;  Justification for Selection of the Proposed Project – Justification must be provided for the selection of the proposed solution after consideration of a range of options;  Potential Cost-effectiveness – The project demonstrates potential cost-effectiveness based on a preliminary assessment of anticipated project benefits and cost. The subapplicant must be aware that this preliminary assessment is solely for the purpose of the Phase I 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; and  Hydrologic and Hydraulic or Other Relevant Technical Data – The subapplicant provides available hydrologic and hydraulic data based on existing models and other relevant technical data, as appropriate.

A.10.2 Phase I Conditional Approval
The Applicant and FEMA may approve projects meeting the above pre-screening requirements for technical assistance under a Phase I conditional approval. FEMA and the Applicant will coordinate closely to ensure mutual concurrence on all data and technical information as the Phase I technical review process proceeds. The sequence for the process is as follows:
 Hydrologic and Hydraulic or Other Relevant Technical Data – If appropriate, the Applicant and FEMA will review the hydrologic and hydraulic or other technical data provided by the subapplicant;
 Preliminary Engineering Design – Based upon the technical data, the subapplicant develops a preliminary engineering design and layout and cost estimates with ad-hoc technical assistance from the Applicant and FEMA;
 EO 11988 – If applicable, based upon the technical data and revised engineering design, the project must demonstrate compliance with floodplain management requirements under this EO. If a FIRM amendment or revision will be necessary, the Applicant and FEMA will provide the subapplicant with technical assistance to meet this requirement;  Refinement of the Cost-Effectiveness Assessment – Based upon the revised design and cost estimates, the Applicant and FEMA will refine the preliminary assessment of cost- effectiveness conducted in the Phase I pre-screening process. This will result in a final Part IX. Additional Program Guidance: Hazard Mitigation Grant Program 83

BCR to evaluate the project’s cost-effectiveness, which will include all the project costs including Phase I; and
 EHP Review – The Applicant and FEMA will conduct a review of the revised project design to ensure EHP compliance. The project will meet EHP requirements before Phase II approval.

A.10.3 Phase II Approval-Construction Process
If the project is determined to be eligible, technically feasible, cost-effective, and compliant with EHP requirements under the Phase I technical review, the project may then be approved for construction under Phase II.

A.11 The 5 Percent Initiative
Some mitigation activities are difficult to evaluate using FEMA-approved cost-effectiveness methodologies. Up to 5 percent of the total HMGP funds may be set aside by the Grantee to pay for such activities. These funds are not eligible to be used in situations where the mitigation activities can be evaluated under FEMA-approved cost-effectiveness methodologies but do not meet the required BCA threshold.

To be eligible for the 5 Percent Initiative, activities must:
 Be difficult to evaluate against traditional program cost-effectiveness criteria;  Comply with all applicable HMGP eligibility criteria as well as with Federal, State, and local laws and ordinances;
 Be consistent with the goals and objectives of the State or Indian Tribal (Standard or Enhanced) and local or Tribal mitigation plans; and
 Be submitted for review with a narrative that indicates that there is a reasonable expectation that future damage or loss of life or injury will be reduced or prevented by the activity.

Activities that might be funded under the 5 Percent Initiative include:
 The use, evaluation, and application of new, unproven mitigation techniques, technologies, methods, procedures, or products;
 Equipment and systems for the purpose of warning citizens of impending hazards;  Purchase of generators or related equipment, such as generator hook-ups;  Hazard identification or mapping and related equipment for the implementation of mitigation activities;
 GIS software, hardware, and data acquisition whose primary aim is mitigation; Part IX. Additional Program Guidance: Hazard Mitigation Grant Program 84

 Public awareness or education campaigns about mitigation; and  Evaluation of model building codes in support of future adoption and/or implementation.

A.11.1 Availability of Additional Funds for Tornado Mitigation FEMA allows increasing the 5 Percent Initiative amount up to 10 percent for a Presidential major disaster declaration for tornadoes and high winds at the discretion of the Grantee. The increased initiative funding can be used for activities that address the unique hazards posed by tornadoes.

To qualify for this funding, the Grantee must, in its State or Indian Tribal (Standard or Enhanced) Mitigation Plan, or other comprehensive plan, address warning of citizens (ensuring 90 percent coverage), further the safe room concept in construction or rehabilitation of residences or commercial structures, and address sheltering in mobile home parks. The plan, also, must explain how the Grantee will implement an ongoing public education program so that citizens are aware of warning systems and their meaning and the availability of in-home shelter designs.

Similar information should be included in the subgrantee’s local or Indian Tribal mitigation plan.

A.12 Appeal Process
An eligible subapplicant, subgrantee, or Grantee may appeal any FEMA determination regarding subapplications or applications submitted for funding under HMGP. FEMA will only consider appeals in writing that contain documentation that justifies the request for reconsideration. The appeal should specify the monetary figure in dispute and the provisions in Federal law, regulation, or policy with which the appellant believes the initial action was inconsistent.

Whether the appeal is originated by the Grantee or by a subapplicant/subgrantee, the appeal must be submitted in writing to the Regional Administrator by the Grantee. The Regional Administrator is the decision-maker on first appeals. If there is an appeal of the Regional Administrator’s decision on any first appeal, the Assistant Administrator for Mitigation is the decision-maker for the second appeal. In some cases the appeal may involve highly technical issues. In these cases, FEMA may consult inde pendent scientific or technical experts on the subject under appeal.

Appellants must make appeals within 60 days after receipt of a notice of the action that is being appealed. The Grantee must forward any appeal from a subapplicant/subgrantee with a written recommendation to the Regional Administrator within 60 days of receipt. Within 90 days following the receipt of an appeal, FEMA will notify the Grantee in writing of the disposition of the appeal or of the need for additional information.

If additional information is needed, FEMA will determine a date by which the information must be provided. Within 90 days following the receipt of the requested additional information (or 90 days after the information was due), FEMA will notify the Grantee in writing of the disposition of the appeal.

Part IX. Additional Program Guidance: Hazard Mitigation Grant Program 85

FEMA will provide its decision to the Grantee in writing. If the decision is to grant the appeal, the Regional Administrator will take the appropriate action.

Additional information regarding appeals can be found at 44 CFR Section 206.440.

Part IX. Additional Program Guidance: Hazard Mitigation Grant Program 86

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

B.1 Allocation
FEMA will allocate funds for eligible projects to States and Territories consistent with applicable, statutory base and/or maximum allocations in the authorizing and appropriation laws.

FEMA will administer the program as directed by Congress.

B.2 Small Impoverished Communities
Grants awarded to small impoverished communities may receive a Federal cost share of up to 90 percent of the total amount approved under the grant award to implement eligible approved activities in accordance with the Stafford Act. A small impoverished community must:
 Be a community of 3,000 or fewer individuals identified by the State as a rural community that is not a remote area within the corporate boundaries of a larger city;  Be economically disadvantaged, with residents having an average per capita annual income not exceeding 80 percent of the national per capita income, based on best available data. For the most current information, go to http://www.bea.gov;  Have a local unemployment rate that exceeds by 1 percentage point or more the most recently reported, average yearly national unemployment rate. For the most current information, go to http://www.bls.gov/eag/eag.us.htm; and  Meet other criteria required by the Applicant in which the community is located.

Applicants must certify and provide documentation of the community status with the appropriate subapplication to justify the 90 percent cost share. If documentation is not submitted with the subapplication, FEMA will provide no more than the standard 75 percent of the total eligible costs.

B.3 Information Dissemination
Under the PDM Program, subapplicants may include eligible information dissemination activities in their project or planning subapplication. Eligible information dissemination activities include public awareness and education (brochures, workshops, videos, etc.) that directly relate to the eligible mitigation activity proposed in the subapplication. Information dissemination activities are limited to a maximum of 10 percent of the total cost of a subapplication.

Part IX. Additional Program Guidance: Pre-Disaster Mitigation Program 87

B.4 Applicant Ranking of Subapplications
Applicants must rank each subapplication included in their grant application in order of their priority for funding. Each subapplica tion must be assigned a unique rank in eGrants. Applicants must provide an explanation for the rank given to each subapplication and demonstrate how it is consistent with their State or Tribal (Standard or Enhanced) Mitigation Plan.

B.5 Selection
FEMA will identify subapplications for further review based on Applicant rank. FEMA may identify a subapplication for further review out of rank order based on considerations such as program priorities, available funds, and policy factors.

FEMA will notify Applicants whose subapplications are identified for further review; however, this notification and conducting FEMA-requested pre-award activities are not considered notification or guarantee of a grant award.

Part IX. Additional Program Guidance: Pre-Disaster Mitigation Program 88

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

C.1 Eligible Properties
Properties included in a project subapplication for FMA funding must be NFIP-insured at the time of the application submittal. Flood insurance must be maintained through completion of the mitigation activity and for the life of the structure.

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

C.2 Repetitive Loss Strategy
To be eligible for an increased Federal cost share, a FEMA-approved State or Tribal (Standard or Enhanced) Mitigation Plan that addresses repetitive loss properties must be in effect at the time of grant award and the property that is being submitted for consideration must be a repetitive loss property. Guidance on addressing repetitive loss properties can be found in the State Multi- Hazard Mitigation Planning Guidance and in 44 CFR Section 201.4(c)(3)(v). The Repetitive Part IX. Additional Program Guidance: Flood Mitigation Assistance Program 89

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

C.3 Cost Sharing
Consistent with the legislative changes made in the Biggert-Waters Flood Insurance Reform Act of 2012, cost-share availability under the FMA program depends on the type of properties included in the grant. For example, severe repetitive loss properties may receive up to 100 percent Federal funding and repetitive loss properties may receive up to 90 percent.  In the case of mitigation activities to severe repetitive loss structures:
 FEMA may contribute up to 100 percent Federal funding of all eligible costs, if the activities are technically feasible and cost-effective; or  The expected savings to the NFIF from expected avoided damages through acquisition or relocation activities, if the activities will eliminate future payments from the NFIF for severe repetitive loss structures through an acquisition or relocation activity.  In the case of mitigation activities to repetitive loss structures, FEMA may contribute up to 90 percent Federal funding of all eligible costs.
 In the case of all other mitigation activities, FEMA may contribute up to 75 percent Federal funding of all eligible costs.

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

C.4 Applicant Ranking of Subapplications
Applicants must rank each subapplication included in their grant application in order of priority for funding. Each subapplication must be assigned a unique rank in eGrants. Applicants must provide an explanation for the rank given to each subapplication and demonstrate how it is consistent with their State or Tribal (Standard or Enhanced) Mitigation Plan.

C.5 Selection
FEMA will identify subapplications for further review based on a number of criteria, including but not limited to: savings to the NFIF, applicant rank, and property status (e.g., repetitive loss Part IX. Additional Program Guidance: Flood Mitigation Assistance Program 90

property, severe repetitive loss property). FEMA also may identify a subapplication for further review out of rank order based on considerations such as program priorities, available funds, and other factors.

Part IX. Additional Program Guidance: Flood Mitigation Assistance Program 91

PART X. APPENDICES
A. Acronyms
ABFE Advisory Base Flood Elevation
ADA Americans with Disabilities Act
ADR Alternative Dispute Resolution
ASCE American Societ y of Civil Engineers
BCA Benefit-Cost Analysis
BCR Benefit-Cost Ratio
BFE Base Flood Elevation
BIA Bureau of Indian Affairs
BLM Bureau of Land Management
CBRA Coastal Barrier Resource Act
CBRS Coastal Barrier Resource System
CDBG Community Development Block Grant
CFDA Catalog of Federal Domestic Assistance
CFR Code of Federal Regulations
CRS Community Rating System
DHS Department of Homeland Security
DOB Duplication of Benefits
DOI Department of the Interior
DOP Duplication of Programs
DOT Department of Transportation
eGrants Electronic Grants
EHP Environmental Planning and Historic Preservation
EO Executive Order
EOC Emergency Operations Center
EPA U.S. Environmental Protection Agency
ESA Endangered Species Act
FCO Federal Coordinating Officer
FEMA Federal Emergency Management Agency
FHWA Federal High way Administration
Part X. Appendix A: Acronyms 92

FIMA Flood Insurance and Mitigation Administration
FIRM Flood Insurance Rate Map
FIS Flood Insurance Study
FMA Flood Mitigation Assistance
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 Ho using and Urban Development
HVAC Heating, Ventilati on, and Air Conditioning
IBC International Building Code
ICC Increased Cost of Compliance
IRS Internal Revenue Service
ITP Independent Third Party
NAP Non-Insured Crop Disa ster 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 Histor ic Preservation Act
NOAA National Oceanic and Atmospheric Administration
NPS National Park Service
NRCS Natural Resources Conservation Service
O&M Operations and Maintenance
OMB Office of Management and Budget
OPA Otherwise Protected Area
PARS Payment and Reporting System
Part X. Appendix A: Acronyms 93

PDM Pre-Disaster Mitigation
PNP Private Non-profit
POC Point of Contact
POP Period of Performance
SBA Small Business Administration
SEI Structural Engineering Institute
SF Standard Form
SFHA Special Flood Hazard Area
SFM Strategic Funds Management
SHMO State Hazard Mitigation Officer
SOW Scope of Work
SRIA Sandy Recovery Improvement Act of 2013
Stafford Act Robert T. Stafford Disast er Relief and Emergency Assistance Act TB Technical Bulletin
URA Uniform Relocation Assistance and Real Property Ac quisition Act of 1970 USACE U.S. Army Corps of Engineers
U.S.C. United States Code
USDA U.S. Department of Agriculture
USFA U.S. Fire Administration
USFS U.S. Forest Service
USFWS U.S. Fish and Wildlife Service
USGS U.S. Geological Survey
WUI Wildland-Urban Interface Area
Part X. Appendix A: Acronyms 94

B. Glossary
Applicant: The entity, such as a State, Territory, or Indian Tribal government, applying to FEMA for a grant that will be accountable for the use of the funds. Once grant funds are awarded, the Applicant becomes the “Grantee.”
Base Flood: A flood having a 1 percent chance of being equaled or exceeded in any given year.

Base Flood Elevation (BFE): The elevation shown on the Flood Insurance Rate Map (FIRM) for Zones AE, AH, A1–A30, AR, AR/A, AR/AE, AR/A1–A30, AR/AH, AR/AO, V1–V30, and VE that indicates the water surface elevation resulting from a flood that has a 1 percent chance of equaling or exceeding that level in any given year.

Benefit-Cost Analysis (BCA): A quantitative procedure that assesses the cost-effectiveness of a hazard mitigation measure by taking a long-term view of avoided future damages as compared to the cost of a project.

Benefit-Cost Ratio (BCR): A numerical expression of the cost-effectiveness of a project calculated as the net present value of total project benefits divided by the net present value of total project costs.

Biomass: Biological material derived from living, or recently living organisms.

Building: A structure with two or more outside rigid walls and a fully secured roof that is affixed to a permanent site; a manufactured home or a mobile home without wheels, built on a chassis and affixed to a permanent foundation, that is regulated under the community’s floodplain management and building ordinances or laws. “Building” does not mean a gas or liquid storage tank or a recreational vehicle, park trailer, or other similar vehicle.

Clean-site certification: A letter from the appropriate local, State, Indian Tribal, or Federal entity determining that no further remedial action is required to protect human health or the environment.

Coastal Barrier Resource System (CBRS): A geographic unit designated to serve as a protective barrier against forces of wind and tidal action caused by coastal storms and serving as habitat for aquatic species. Congress restricted Federal spending and assistance for development-related activities within CBRS units to protect them from further development.

Federal flood insurance is unavailable in these areas. CBRS units are identified on FEMA FIRMs.

Coastal High Hazard Area: An area of special flood hazard extending from offshore to the inland limit of a primary frontal dune along an open coast and any other area subject to high velocity wave action from storms or seismic sources.

Part X. Appendix B: Glossary 95

Combustible material: Any material that, in the form in which it is used and under the conditions anticipated, will ignite and burn or will add appreciable heat to an ambient fire.

Community Rating System (CRS): A program developed by FEMA to provide incentives for those communities in the NFIP that have gone beyond the minimum floodplain management requirements to develop extra measures to provide protection from flooding.

Cost-effectiveness: Determined by a systematic quantitative method for comparing the costs of alternative means of achieving the same stream of benefits for a given objective. The benefits in the context of hazard mitigation are avoided future damages and losses. Cost-effectiveness is determined by performing a BCA.

Cost share: The portion of the costs of a federally assisted project or program not borne by the Federal Government.

Defensible space: An area that is either natural or manmade, where material capable of allowing a fire to spread unchecked has been treated, cleared, or modified to slow the rate and intensity of an advancing wildfire and to create an area for fire-suppression operations to occur.

Dwelling: A building designed for use as a residence for no more than four families or a single- family unit in a building under a condominium form of ownership.

Elevated Building: A building that has no basement and a lowest floor that is elevated to or above the BFE by foundation walls, shear walls, posts, piers, pilings, or columns. Solid perimeter foundations walls are not an acceptable means of elevating buildings in Zones V and VE.

Environmental Benefits: Environmental benefits are direct or indirect contributions that ecosystems make to the environment and human populations. For FEMA BCA, certain types of environmental benefits may be realized when homes are removed and land is returned to open space uses. Benefits may include flood hazard re duction; an increase in recreation and tourism; enhanced aesthetic value; and improved erosion control, air quality, and water filtration.

Equipment: Tangible, nonexpendable, personal property having a useful life of more than 1 year and an acquisition cost of $5,000 or more per unit. A Grantee may use its own definition of equipment provided such definition would at least include all equipment defined above.

Federal Agency: Any department, independent establishment, Government corporation, or other agency of the executive branch of the Federal Government, including the U.S. Postal Service, but not the American National Red Cross.

Federal Cognizant Agency: The Federal agency responsible for reviewing, negotiating, and approving cost allocation plans or indirect cost proposals developed on behalf of all Federal agencies. The OMB publishes a list of Federal Cognizant Agencies.

Part X. Appendix B: Glossary 96

Firebreak: a strip of cleared land that provides a gap in vegetation or other combustible material that is expected to slow or stop the progress of a wildfire.

Fire-proofing: Removal or treatment of fuels to reduce the danger of fires igniting or spreading. (e.g., fire-proofing roadsides, campsites, structural timber).

Fire-resistant material: Material that has a property that prevents or retards the passage of excessive heat, hot gases, or flames under conditions of use.

Fire retardant: A chemical applied to lumber or other wood products to slow combustion and flame spread.

Fire Severity Zone: Three concentric zones around a building used to determine the most effective design for defensible space.

Flammability: The relative ease with which fuels ignite and burn regardless of the quantity of the fuels.

Flood Insurance Rate Map (FIRM): Official map of a community on which FEMA has delineated both the special hazard areas and the risk premium zones applicable to the community.

Floodplain: Any land area that FEMA has determined has at least a 1 percent chance in any given year of being inundated by floodwaters from any source.

Floodplain Management: The operation of an overall program of corrective and preventive measures for reducing flood damage, including but not limited to, emergency preparedness plans, flood control works, and floodplain management regulations.

Floodway: The channel of a river or other watercourse and the adjacent land areas that must be reserved in order to discharge the base flood without cumulatively increasing the water surface elevation more than a designated height. Comm unities regulate development in these floodways to ensure that there are no increases in upstream flood elevations.

Freeboard: Freeboard is a factor of safety usually expressed in feet above a flood level for purposes of floodplain management. “Freeboard” tends to compensate for the many unknown factors that could contribute to flood heights greater than the height calculated for a selected size flood and floodway conditions, such as wave action, bridge openings, and the hydrological effect of urbanization of the watershed.

Fuel break: A natural or manmade change in fuel characteristics that affects fire behavior so that fires burning into them can be more readily controlled.

Fuel condition: Relative flammability of fuel as determined by fuel type and environmental conditions.

Part X. Appendix B: Glossary 97

Governor’s Authorized Representative (GAR): The individual, designated by the Governor, who serves as the grant administrator for all funds provided under HMGP; the person empowered by the Governor to execute, on behalf of the State, all necessary documents for disaster assistance.

Grant: An award of financial assistance for a specified purpose by the Federal government to an eligible Grantee.

Grantee: The entity, such as a State, Territory, or Indian Tribal government to which a grant is awarded and that is accountable for the use of the funds provided. The Grantee is the entire legal entity even if only a particular component of the entity is designated in the grant award document.

Green Open Space: Green open space is land that does not directly touch a natural body of water, such as a river, lake, stream, creek, or coastal body of water.

Hazardous fuels reduction: An area strategically located in relation to predicted fire hazard and occurrence where the vegetation has been permanently modified or replaced so that fires burning into it can be more easily controlled (e.g., vegetation management activities).

Hazard mitigation planning: A process used by governments to identify risks, assess vulnerabilities, and develop long-term strategies for protecting people and property from the effects of future natural hazard events.

HMGP Lock-In Ceiling: The level of HMGP funding available to a Grantee for a particular Presidential major disaster declaration.

Identified for Further Review: Subapplications identified for further review contain sufficient information for a preliminary determination of cost-effectiveness and feasibility. In certain instances, FEMA may work with Applicants to confirm cost-effectiveness and feasibility.

Identification for further review is not a notification of award.

Ignition-resistant construction: Construction standards based on use of fire-resistant materials, non-combustible materials, and 1-hour fire-rated assemblies.

Increased Cost of Compliance: Coverage for expenses a property owner must incur, above and beyond the cost to repair the physical damage the structure actually sustained from a flooding event, to comply with mitigation requirements of State or local floodplain management ordinances or laws; acceptable mitigation measures are structure elevation, dry floodproofing, structure relocation, structure demolition, or any combination thereof.

Part X. Appendix B: Glossary 98

Indian Tribal Government: A federally recognized governing body of an Indian or Alaska Native Tribe, band, nation, pueblo, village, or community that the Secretary of the Interior acknowledges to exist as an Indian Tribe under the Federally Recognized Tribe List Act of 1994, 25 U.S.C. 479a. This does not include Alaska Native corporations, the ownership of which is vested in private individuals.

Indirect cost: Cost that is incurred by a Grantee for a common or joint purpose benefitting more than one cost objective that is not readily assignable to the cost objectives specifically benefited.

Indirect cost rate: Percentage established by a Federal department or agency for a Grantee to use in computing the dollar amount it charges to the grant to reimburse itself for indirect costs incurred in doing the work of the grant activity.

Management costs: Any indirect costs, administrative expenses, and any other expenses not directly chargeable to a specific project that are reasonably incurred by a Grantee or subgrantee in administering and managing a grant or subgrant award. For HMGP, management cost funding is provided outside of Federal assistance limits defined at 44 CFR Section 206.432(b).

Manufactured (Mobile) home: A structure, transportable in one or more sections that is built on a permanent chassis and designed for use with or without a permanent foundation when attached to the required utilities.

Mitigation: Any sustained action taken to reduce or eliminate long-term risk to life and property from a hazard event.

Mitigation activity: A mitigation measure, project, plan, or action proposed to reduce risk of future damage, hardship, loss, or suffering from disasters. The term “measure” is used interchangeably with the term “project” in this program.

National Flood Insurance Program (NFIP): Provides the availability of flood insurance in exchange for the adoption of a minimum local floodplain management ordinance that regulates new and Substantially Improved development in identified flood hazard areas.

Non-combustible material: Material of which no part will ignite and burn when subjected to fire, such as any material conforming to ASTM E 136.

Nonflammable: Material unlikely to burn when exposed to flame under most conditions.

Non-Federal funds: Financial resources provided by sources other than the Federal Government. The term does not included funds provided to a State or local government through a Federal grant unless the authorizing statute for that grant explicitly allows the funds to be used as cost share for other Federal grants.

Part X. Appendix B: Glossary 99

Non-Residential structure: Includes, but is not limited to small business concerns, places of worship, schools, farm buildings (including grain bins and silos), pool houses, clubhouses, recreational buildings, mercantile structures, agricultural and industrial structures, warehouses, hotels and motels with normal room rentals for less than 6 months’ duration, and nursing homes.

Office of Environmental Planning and Historic Preservation: Integrates the protection and enhancement of environmental, historic, and cultural resources into the FEMA mission and FEMA programs and activities; ensures that FEMA activities and programs related to disaster response and recovery, hazard mitigation, and emergency preparedness comply with Federal environmental and historic preservation (EHP) laws and Executive orders; and provides EHP technical assistance to FEMA staff, local, State, and Federal partners, and Grantees and subgrantees.

Otherwise Protected Areas (OPAs): Designation created by the Coastal Barrier Improvement Act. Flood insurance is restricted in OPAs even though they are not in the CBRS and may receive other forms of Federal assistance. OPAs are identified on FEMA FIRMs.

Period of Performance (POP): The period of time during which the Grantee is expected to complete the grant activities and to incur and expend approved funds.

Pile burning: Piling removed vegetation into manageable piles and burning the individual piles during safe and approved burning conditions.

Post-FIRM Building: A building for which construction or Substantial Improvement occurred after December 31, 1974, or on or after the effective date of an initial FIRM, whichever is later.

Practicable: An action that is capable of being done within existing constraints. The test of what is practicable depends upon the situation and includes consideration of all pertinent factors, such as environment, cost, and technology.

Pre-FIRM Building: A building for which construction or Substantial Improvement occurred on or before December 31, 1974, or before the effective date of an initial FIRM.

Prescribed burning: The deliberate and managed use of fire ignited by management actions to meet specific fuels management objectives.

Presidential Major Disaster: Any natural catastrophe (including any hurricane, tornado, storm, high water, wind-driven water, tidal wave, tsunami, earthquake, volcanic eruption, landslide, mudslide, snowstorm, or drought) or, regardless of cause, any fire, flood, or explosion, in any part of the United States, which in the determination of the President causes damage of sufficient severity and magnitude to warrant major disaster assistance under the Stafford Act to supplement the efforts and available resources of States, local governments, and disaster relief organizations in alleviating the damage, loss, hardship, or suffering caused thereby.

Part X. Appendix B: Glossary 100

Private non-profit (PNP): Any non-governmental agency or entity that currently has: (i) an effective ruling letter from the Internal Revenue Service granting tax exemption under section 501(c), (d), or (e) of the Internal Revenue Code of 1954; or (ii) satisfactory evidence from the State that the organization or entity is a non-profit one organized or doing business under State law.

Project: Any mitigation measure or action proposed to reduce risk of future damage, hardship, loss, or suffering from disasters.

Public Assistance: Supplementary Federal assistance provided under the Stafford Act to State and local governments or certain PNP organizations other than assistance for the direct benefit of individuals and families. For further information, see 44 CFR Part 206, Subparts G and H. Fire Management Assistance Grants under section 420 of the Stafford Act are also considered Public Assistance.

Replacement cost value: The cost to replace property with materials of like kind and quality, without any deduction for depreciation.

Riparian Area: The land that directly abuts a natural body of water, such as a river, lake, stream, creek, or coastal body of water.

Slash: The accumulation of vegetative materials such as tops, limbs, branches, brush, and miscellaneous residue results from forest management activities such as thinning, pruning, timber harvesting, and wildfire hazard mitigation.

Special Flood Hazard Area (SFHA): The land in the floodplain within a community subject to a 1 percent or greater chance of flooding in any given year. An area having special flood, mudflow, or flood-related erosion hazards, and shown on a Flood Hazard Boundary Map or a FIRM as Zone A, AO, A1–A30, AE, A99, AH, AR, AR/A, AR/AE, AR/AH, AR/AO, AR/A1– A30, V1–V30, VE, or V .

State Hazard Mitigation Officer (SHMO): The representative of a State government who is the primary point of contact with FEMA, other Federal agencies, and local units of government in the planning and implementation of pre- and post-disaster mitigation activities.

Structural fire protection: The protection of homes or other buildings from wildland fire.

Subapplicant: The entity, such as a community/local government, Tribal government, or PNP, that submits a subapplication for FEMA assistance to the Applicant. Once funding is awarded, the subapplicant becomes the “subgrantee.”
Subgrant: An award of financial assistance under a grant by a Grantee to an eligible subgrantee.

Subgrantee: The entity, such as a community/local government, Tribal government, or PNP to which a subgrant is awarded and who is accountable to the Grantee for the use of the funds provided.

Part X. Appendix B: Glossary 101

Substantial Damage: Damage of any origin sustained by a building whereby the cost of restoring the building to its before-damaged condition would equal or exceed 50 percent of the market value of the building before the damage occurred.

Wildfire: An uncontrolled fire spreading through vegetative fuels, exposing and possibly consuming structures.

Wildland-Urban Interface Area: That geographical area where structures and other human development meet or intermingle with wildland or vegetative fuels.

All terms not listed above are used consistent with the term definitions used in 44 CFR unless otherwise specified.

Part X. Appendix B: Glossary 102

C. Additional Resources
Description Web Link or Contact Information

1. NFIP Resources
National Flood Insurance Program http://www.floodsmart.gov Floodplain Management http://www.fema.gov/national-flood-insurance-program Map Service Center http://msc.fema.gov
Telephone: (877) FEMA-MAP (336-2627)
FIRMs http://www.fema.gov/national-flood-insurance-program-1/flood- insurance-rate-map-firm
ABFEs Mississippi: http://www.fema.gov/news-release/abfes-are-best- resources-mississippians-rebuilding-now
Louisiana: http://www.fema.gov/news-release/2006/02/06/post- katrina-policy-building-elevations
Flood Insurance Studies http://www.fema.gov/national-flood-insurance-program-2/flood- insurance-study-fis
FEMA Form AW-501 http://www.fema.gov/national-flood-insurance-program- 1/mitigated-properties-updates

2. Mitigation Planning and Risk Assessment Resources
Hazard Mitigation Planning Overview http://www.fema.gov/hazard-mitigation-planning-overview Local Mitigation Planning Handbook
(FR302-094-1)
http://www.fema.gov/library/viewRecord.do?id=7209
Local Mitigation Plan Review Guide http://www.fema.gov/library/viewRecord.do?fromSearch=fromse arch&id=4859
Mitigation Planning Guidance http://www.fema.gov/mitigation-planning-laws-regulations- guidance
Mitigation Planning Policies http://www.fema.gov/mitigation-planning-laws-regulations- guidance
Mitigation Ideas: A Resource for Reducing
Risk to Natural Hazards
http://www.fema.gov/library/viewRecord.do?id=6938
Integrating Hazard Mitigation Into Local
Planning: Case Studies and Tools for
Community Officials
http://www.fema.gov/library/viewRecord.do?id=7130
Mitigation Planning How-To Guides (FEMA) http://www.fema.gov/hazard-mitigation-planning-resources Hazard Mitigation Planning Risk Assessment http://www.fema.gov/hazard-mitigation-planning-risk- assessment
IS-318: Mitigation Planning for Local and
Tribal Communities
http://training.fema.gov/EMIWeb/IS/courseOverview.aspx?code =is-318
IS-328: Plan Review for Local Mitigation
Plans
http://training.fema.gov/EMIWeb/IS/courseOverview.aspx?code =IS-328
Hazus http://www.fema.gov/hazus
USGS National Map http://nationalmap.gov/
USGS Natural Hazards Gateway http://www.usgs.gov/natural_hazards/ Part X. Appendix C: Additional Resources
103

Description Web Link or Contact Information

3. Benefit-Cost Analysis Resources
BCA Software and Helpline Telephone: (866) 222-3580
Email: [email protected]
BCA Overview http://www.fema.gov/benefit-cost-analysis
BCA Policies http://www.fema.gov/benefit-cost-analysis

4. Feasibility and Effectiveness Resources
Engineering Helpline Telephone: (866) 222-3580
Email: [email protected]
Engineering Case Studies http://www.fema.gov/grant-applicant-resources Property Acquisition Projects http://www.fema.gov/library/viewRecord.do?id=1861 Structure Elevation Projects http://www.fema.gov/library/viewRecord.do?id=1862 Minor Localized Flood Reduction Projects http://www.fema.gov/library/viewRecord.do?id=1863 Non-Structural Seismic Retrofit http://www.fema.gov/library/viewRecord.do?id=1865 Structural Seismic Retrofit http://www.fema.gov/library/viewRecord.do?id=1866 Wind Shutters http://www.fema.gov/library/viewRecord.do?id=1864

5. EHP Resources
EHP Program http://www.fema.gov/environmental-planning-and-historic- preservation-program
EHP Helpline Telephone: (866) 222-3580
Email: [email protected]
EHP Guidance http://www.fema.gov/environmental-planning-and-historic- preservation-program/environmental-historic-preservation-1 EHP eLearning Tool http://www.fema.gov/environmental-planning-and-historic- preservation-program/elearning-tool-fema-grant-applicants-45 EHP Policies http://www.fema.gov/hazard-mitigation-assistance-policy EHP Training http://training.fema.gov/EMIWeb/IS/IS253a.asp National Register of Historic Places http://www.nps.gov/history/nr/

6. eGrants and NEMIS (HMGP) Resources
FEMA Enterprise Service Desk – for HMGP
(NEMIS-MT) issues
Telephone: (888) HLP-FEMA (1-888-457-3362)
Email: [email protected]
FEMA Enterprise Service Desk – eGrants
issues
Telephone: (877) 611-4700
eGrants Resources Web site http://www.fema.gov/mitigation-egrants-system eGrants Applicant Quick Reference Guide http://www.fema.gov/library/viewRecord.do?id=3266 eGrants Subapplicant Quick Reference Guide http://www.fema.gov/library/viewRecord.do?id=3267 eGrants System for Grant Applicants online
course (IS-31)
http://training.fema.gov/EMIWeb/IS/is31a.asp
eGrants System for Subgrant Applicants
online course (IS-30)
http://training.fema.gov/EMIWeb/IS/is30a.asp
Part X. Appendix C: Additional Resources
104

Description Web Link or Contact Information
eGrants Internal System online course (IS-32) http://training.fema.gov/EMIWeb/IS/courseOverview.aspx?code =is-32
MT eGrants Internal Quick Reference Guide http://www.fema.gov/library/viewRecord.do?fromSearch=fromse arch&id=5885
NEMIS-MT Frequently Asked Questions: http://www.fema.gov/hazard-mitigation-grant-program/national- emergency-management-information-system-mitigation-module http://www.fema.gov/library/viewRecord.do?id=4913
NEMIS-MT User Manual http://www.fema.gov/library/viewRecord.do?id=4909

7. HMA Application and Award Resources
HMA Overview http://www.fema.gov/hazard-mitigation-assistance HMA Helpline Telephone: (866) 222-3580
Email: [email protected]
HMA Policies http://www.fema.gov/hazard-mitigation-assistance-policy

8. Acquisition Project Resources
Model Deed Restriction http://www.fema.gov/library/viewRecord.do?id=6327 Model Acknowledgement of Conditions for
Mitigation in Special Flood Hazard Area
http://www.fema.gov/library/viewRecord.do?id=3592
Model Statement of Assurances http://www.fema.gov/library/viewRecord.do?id=6365 Notice of Voluntary Interest http://www.fema.gov/library/viewRecord.do?id=3595 http://www.fema.gov/library/viewRecord.do?id=3596
Statement of Voluntary Participation http://www.fema.gov/library/viewRecord.do?id=3333

9. Mitigation Reconstruction References
 ASCE/SEI 24-05, Flood Resistant Design and Construction, January 2006  ASCE/SEI 7-05, Minimum Design Loads for Buildings and Other Structures, 2005  International Building Code (IBC), 2006 edition
 International Code Council, Reducing Flood Losses Through the International Codes, 3rd Edition, 2008  FEMA P-55, Coastal Construction Manual, 4th Edition, August 2011  FEMA P-424, Design Guide for Improving School Safety in Earthquakes, Floods and High Winds, December 2010
 FEMA 489, Mitigation Assessment Team Report: Hurricane Ivan in Alabama and Florida, August 2005  FEMA P-499, Home Builder’s Guide to Coastal Construction Technical Fact Sheet Series, December 2010  FEMA 543, Design Guide for Improving Critical Facility Safety from Flooding and High Winds, January 2007  FEMA 549, Mitigation Assessment Team Report: Hurricane Katrina in the Gulf Coast, July 2006  FEMA 550, Recommended Residential Construction for Coastal Areas: Building on Strong and Safe Foundations, 2nd Edition, December 2009
 FEMA 551, Selecting Appropriate Mitigation Measures for Floodprone Structures, March 2007  FEMA 577, Design Guide for Improving Hospital Safety in Earthquakes, Floods, and High Winds: Providing Protection to People and Buildings, June 2007
Part X. Appendix C: Additional Resources
105

Description Web Link or Contact Information

10. Structure Elevation References
 ASCE/SEI 24-05, Flood Resistant Design and Construction, January 2006  FEMA P-55, Coastal Construction Manual, 4th Edition, August 2011  FEMA P-259, Engineering Principles and Practices of Retrofitting Floodprone Residential Structures, 3rd Edition, January 2012
 FEMA P-312, Homeowners Guide to Retrofitting, 2nd Edition, December 2009  FEMA 347, Above the Flood: Elevating Your Flood Prone House, May 2000  FEMA P-499, Home Builder’s Guide to Coastal Construction Technical Fact Sheet Series, December 2010  FEMA Technical Bulletin TB-1, Openings in Foundation Walls and Walls of Enclosures, 2008  FEMA Technical Bulletin TB-5, Free-of-Obstruction Requirements, 2008  FEMA Technical Bulletin TB-9, Design and Construction Guidance for Breakaway Walls, 2008  FEMA Form 81-31, NFIP Elevation Certificate, February 2013 Part X. Appendix C: Additional Resources 106

D. Referenced Regulations, Statutes, Directives, and Guidance Reference Description Web Link

REGULATIONS
2 CFR Part 215, Uniform
Administrative Requirements
for Grants and Agreements
with Institutions of Higher
Education, Hospitals, and
Other Non-Profit
Organizations (OMB Circular
A-110)
This part contains Office of Management and Budget
(OMB) guidance to Federal agencies on the
administration of grants to and agreements with
institutions of higher education, hospitals, and other
non-profit organizations. The guidance sets forth
standards for obtaining consistency and uniformity in
the agencies’ administration of those grants and
agreements.
http://www.ecfr.gov/cgi-bin/text-
idx?c=ecfr&tpl=/ecfrbrowse/Title
02/2cfr215_main_02.tpl
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://www.whitehouse.gov/omb/
circulars_a021_2004
2 CFR Part 225, Cost
Principles for State, Local,
and Indian Tribal
Governments (OMB Circular
A-87)
Establishes principles and standards for determining
costs for Federal awards carried out through grants,
cost reimbursement contracts, and other agreements
with State and local governments and federally
recognized Indian Tribal governments.
http://ecfr.gpoaccess.gov/cgi/t/te
xt/text-
idx?c=ecfr&tpl=/ecfrbrowse/Title
02/2cfr225_main_02.tpl
2 CFR Part 230, Cost
Principles for Non-Profit
Organizations (OMB Circular
A-122)
Establishes principles for determining costs of
grants, contracts and other agreements with non-
profit organizations.
http://www.whitehouse.gov/omb/
circulars_a122_2004
26 CFR Section 1.170A-14,
Qualified Conservation
Contributions
Discusses deductions allowable for charitable
contributions of interests in properties.
http://www.ecfr.gov/cgi-
bin/retrieveECFR?gp=13&SID=7
e3a7c14f52556f38d469032c58a
4507&ty=HTML&h=L&r=SECTI
ON&n=26y3.0.1.1.1.0.2.19
40 CFR Part 312, Innocent
Landowners, Standards for
Conducting All Appropriate
Inquiries
Provide standards and practices for “all appropriate
inquiries” for the purposes of the Comprehensive
Environmental Response, Compensation, and
Liability Act sections 101(35)(B)(i)(I) and
101(35)(B)(ii) and (iii).
http://www.ecfr.gov/cgi-bin/text-
idx?c=ecfr&tpl=/ecfrbrowse/Title
40/40cfr312_main_02.tpl
44 CFR Part 9, Floodplain
Management and Protection
of Wetlands
Sets forth policy, procedure, and responsibilities to
implement and enforce Executive Order (EO) 11988,
Floodplain Management, and EO 11990, Protection
of Wetlands.
http://www.gpo.gov/fdsys/pkg/C
FR-2008-title44-vol1/xml/CFR-
2008-title44-vol1-part9.xml
44 CFR Part 10, FEMA procedures for implementing the National http://www.gpo.gov/fdsys/pkg/C Environmental Environmental Policy Act (NEPA). Provides policy FR-2008-title44-vol1/xml/CFR- Considerations and procedures to enable FEMA officials to account for environmental considerations when
authorizing/approving major actions that have a
significant impact on the environment.
2008-title44-vol1-part10.xml
44 CFR Part 13, Uniform
Administrative Requirements
for Grants and Cooperative
Agreements to State and
Local Governments
Establishes uniform administrative rules for Federal
grants and cooperative agreements and subgrants to
State, local, and Indian Tribal governments.
http://www.gpo.gov/fdsys/pkg/C
FR-2008-title44-vol1/xml/CFR-
2008-title44-vol1-part13.xml
Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance 107

Reference Description Web Link
44 CFR Section 59.1,
General Provisions,
Definitions
Defines terms used in the Emergency Management
and Assistance Federal Regulations
http://www.gpo.gov/fdsys/pkg/C
FR-2008-title44-vol1/xml/CFR-
2008-title44-vol1-part59.xml
44 CFR Part 60, Criteria for Contains regulations for sale of flood insurance; http://www.gpo.gov/fdsys/pkg/C Land Management and Use criteria to determine the adequacy of a community’s floodplain management regulations; and the
minimum standards for the adoption of floodplain
management regulations in flood-prone areas.

FR-2008-title44-vol1/xml/CFR-
2008-title44-vol1-part60.xml
44 CFR Sections 60.3(b)(5)
and (c)(4), Criteria for Land
Management and Use and
Floodplain Management
Criteria for Floodprone
Areas
Regulations regarding obtaining the elevation of
residential and non-residential structures.
http://www.gpo.gov/fdsys/pkg/C
FR-2008-title44-vol1/xml/CFR-
2008-title44-vol1-
part60.xml#seqnum60.3
44 CFR Part 79, Flood
Mitigation Grants
Prescribes actions, procedures, and requirements
for the administration the Flood Mitigation Assistance
grant programs.
http://www.gpo.gov/fdsys/pkg/C
FR-2008-title44-vol1/xml/CFR-
2008-title44-vol1-part79.xml
44 CFR Part 80, Property
Acquisition and Relocation
for Open Space
Provides actions, procedures, and requirements for
the administration of FEMA mitigation assistance for
projects to acquire property for open space purposes
under all Hazard Mitigation Assistance programs.
http://www.gpo.gov/fdsys/pkg/C
FR-2008-title44-vol1/xml/CFR-
2008-title44-vol1-part80.xml
44 CFR Part 201, Mitigation
Planning
Provides information on requirements and
procedures for mitigation planning as required by the
Stafford Act.
http://www.gpo.gov/fdsys/pkg/C
FR-2008-title44-vol1/xml/CFR-
2008-title44-vol1-part201.xml
44 CFR Part 206, Federal Prescribes policies and procedures for implementing http://www.gpo.gov/fdsys/pkg/C Disaster Assistance for the sections of Public Law 93-288 (the Stafford Act) FR-2008-title44-vol1/xml/CFR- Disasters Declared On or that are delegated to the director of FEMA, including 2008-title44-vol1-part206.xml After November 23, 1988 the administration of the Hazard Mitigation Grant Program (HMGP).
44 CFR Part 207,
Management Costs
Implements section 324, Management Costs, of the
Stafford Act, providing actions, procedures, and
policies for HMGP management costs.
http://www.gpo.gov/fdsys/pkg/C
FR-2008-title44-vol1/xml/CFR-
2008-title44-vol1-part207.xml
49 CFR Part 24, Uniform
Relocation Assistance and
Real Property Acquisition for
Federal and Federally
Assisted Programs
Promulgates rules to ensure that owners of real
property displaced or acquired by Federal or
federally assisted programs are treated fairly,
consistently, and equitably, and that agencies who
implement these regulations do so efficiently and
cost effectively.
http://ecfr.gpoaccess.gov/cgi/t/te
xt/text-
idx?c=ecfr;rgn=div5;view=text;no
de=49%3A1.0.1.1.18;idno=49;si
d=4c3367f93b8162bf6daaf0a88f
e20a0e;cc=ecfr
49 CFR Part 29,
Governmentwide Debarment
and Suspension
(Nonprocurement)
This part adopts a government-wide system of
debarment and suspension for nonprocurement
activities.
http://www.ecfr.gov/cgi-bin/text-
idx?c=ecfr&tpl=/ecfrbrowse/Title
49/49cfr29_main_02.tpl
Federal Acquisition
Regulations (FAR) Subpart

31.2 The FAR codifies and publishes uniform policies and procedures for acquisition by all executive agencies.

Subpart 31.2 refers to Contracts with Commercial
Organizations.
http://www.acquisition.gov/far/
Internal Revenue Code of
1954, as amended, Sections
170(h) (3) and (4)
Provides definitions for qualified conservation
organizations and conservation purpose, including
specific information regarding historic structure
certification.
http://www.law.cornell.edu/uscod
e/text/26/170
Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance 108

Reference Description Web Link
Internal Revenue Code of
1954, as amended, Sections
501(c), (d), and (e)
Provides criteria for tax-exempt organizations. http://www.law.cornell.edu/uscod e/text/26/501
National Flood Insurance
Program (NFIP) Technical
Bulletin 3-93, Non-
Residential Floodproofing –
Requirements and
Certification
Provides guidance on the NFIP regulations
concerning watertight construction and the required
certification for floodproofed non-residential buildings in Zones A, AE, A1–A30, AR, AO, and AH whose
lowest floors are below the Base Flood Elevation.
http://www.fema.gov/library/view
Record.do?id=1716

STATUTES
Immigration and Nationality
Act
Provides a definition for the term “national of the
United States.”
http://www.uscis.gov/portal/site/u
scis/menuitem.eb1d4c2a3e5b9a
c89243c6a7543f6d1a/?vgnextoi
d=f3829c7755cb9010VgnVCM1
0000045f3d6a1RCRD&vgnextch
annel=f3829c7755cb9010VgnV
CM10000045f3d6a1RCRD
Appalachian Regional Provides information on the authority of the http://www.arc.gov/about/USCod Commission Funds, 40 Appalachian Regional Commission to make grants eTitle40SubtitleIV.asp#14321 U.S.C. 14321(a)(3), Grants for administrative expenses and lists what those and other assistance expenses may and may not include. Also provides information on what the local development district’s
contributions should be.

Bunning-Bereuter-
Blumenauer Flood Insurance
Reform Act of 2004 (Public
Law 108-264), Part 102
A bill to amend the National Flood Insurance Act of
1968 to reduce losses to properties for which
repetitive flood insurance claim payments have been
made.
http://www.gpo.gov/fdsys/pkg/PL
AW-108publ264/pdf/PLAW-
108publ264.pdf
Biggert-Waters Flood
Insurance Reform Act. P.L.
112-141 July 6, 2012
Flood Insurance Reform and Modernization Act that
proposed changes to Mitigation Assistance Grants
related to Flood Mitigation.
http://www.gpo.gov/fdsys/pkg/PL
AW-112publ141/pdf/PLAW-
112publ141.pdf
Civil Rights Act of 1964, 42
U.S.C. 2000d et seq., Title
VI of the Civil Rights Act
Prohibits discrimination on the basis of race, color,
and national origin in programs and activities
receiving Federal financial assistance.
http://www.justice.gov/crt/about/
cor/coord/titlevi.php
Coastal Barrier Resources Designated various undeveloped coastal barrier http://uscode.house.gov/downlo Act (Public Law 97-348; 16 islands, depicted by specific maps, for inclusion in ad/pls/16c55.txt U.S.C. 3501 et seq.) 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.

Endangered Species Act Prohibits Federal agencies from funding actions that http://epw.senate.gov/esa73.pdf (Public Law 93-205; 16 would jeopardize the continued existence of U.S.C. 1531–1544) endangered or threatened species or adversely modify critical habitat.

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

Promotes the national welfare by improving the
economic stability of agriculture through a sound
system of crop insurance.
http://www.agriculturelaw.com/lin
ks/cropins/statute.htm
Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance 109

Reference Description Web Link
National Environmental
Policy Act (NEPA) (Public
Law 91–190; 42 U.S.C. 4321
and 4331–4335)
Declares a national policy that encourages
productive and enjoyable harmony between man
and his environment; promotes efforts that will
prevent or eliminate damage to the environment and
biosphere and stimulate the health and welfare of
man; enriches the understanding of the ecological
systems and natural resources important to the
Nation; and establishes a Council on Environmental
Quality.
http://www.nps.gov/history/local-
law/FHPL_NtlEnvirnPolcy.pdf
National Flood Insurance Act
of 1968, as amended, 42
U.S.C. 4001 et seq.

The National Flood Insurance Act of 1968 created
the Federal Insurance Administration and made
flood insurance available for the first time. The
Flood Disaster Protection Act of 1973 made the
purchase of flood insurance mandatory for the
protection of property located in the Special Flood
Hazard Area.
http://www.fema.gov/library/view
Record.do?id=2216
National Flood Insurance
Reform Act of 1994 (Public
Law 103-325)
Amended the Flood Disaster Protection Act of 1973,
providing tools to make the NFIP more effective in
achieving its goals of reducing the risk of flood
damage to properties and reducing Federal
expenditures for uninsured properties that are
damaged by floods.
http://www.fema.gov/library/view
Record.do?id=2217
National Historic
Preservation Act (Public Law
89-665; 16 U.S.C. 470 et
seq.)
Establishes a program for the preservation of historic
and prehistoric resources deemed important to our
understanding of prehistory and U.S. history and
created the National Register of Historic Places.
http://www.achp.gov/docs/nhpa
%202008-final.pdf
National Register of Historic
Places
The official list of the Nation’s historic places worthy of preservation. It is part of a national program to
support public and private efforts to identify,
evaluate, and protect our historic and archeological
resources.
http://www.nps.gov/history/nr/
Non-Insured Crop Disaster
Assistance Program, 7
U.S.C. 7333
Provides financial assistance to producers of non-
insurable crops when low yields, loss of inventory, or
prevented planting occur due to natural disasters.
http://www.fsa.usda.gov/FSA/ne
wsReleases?area=newsroom&s
ubject=landing&topic=pfs&newst
ype=prfactsheet&type=detail&ite
m=pf_20110830_distr_en_nap.h
tml
Privacy Act of 1974 (5
U.S.C. 552a)
Regulates the collection, maintenance, use, and
dissemination of personal information by Federal
executive branch agencies.
http://www.justice.gov/opcl/privst
at.htm
Public Health and Welfare,
42 U.S.C. 5133, Pre-
Disaster Hazard Mitigation
Authorizes the Pre-Disaster Mitigation program. http://www.law.cornell.edu/uscod e/uscode42/usc_sec_42_00005
133----000-.html
Public Health and Welfare,
42 U.S.C. 5154 (a),
Insurance
Contains information on compliance with certain
regulations and maintaining insurance in regard to
Applicants and subapplicants requesting assistance
to repair, restore, or replace damaged facilities under this code.
http://www.law.cornell.edu/uscod
e/uscode42/usc_sec_42_00005
154----000-.html
Refugee Education
Assistance Act of 1980,
(Public Law 96-422) Part
501(e)
Allows the President to exercise authorities over
Cuban and Haitian immigrants identical to the
authorities exercised in the Immigration and
Nationality Act, 8 U.S.C. 1158.
http://www.ssa.gov/OP_Home/c
omp2/F096-422.html
Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance 110

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

Constitutes the statutory authority for most Federal
disaster response activities, especially as they
pertain to FEMA and FEMA programs.
http://www.fema.gov/pdf/about/st
afford_act.pdf
Secure Rural Schools and
Community Self-
Determination Act of 2000,
16 U.S.C. 500
Contains information regarding payment and
evaluation of receipts to State or Territory for schools and roads, moneys received, projections of
revenues, and estimated payments.
http://www.govtrack.us/data/us/b
ills.text/106/h/h2389.pdf
Uniform Relocation Ensures that people whose real property is acquired, http://uscode.house.gov/downlo Assistance and Real or who move as a result of projects receiving Federal ad/pls/42c61.txt Property Acquisition Act of funds, will be treated fairly and equitably and will 1970 (Public Law 91-646) receive assistance in moving from the property they occupy.

DIRECTIVES
EO 11988, Floodplain Requires Federal agencies to avoid, to the extent http://www.fema.gov/plan/ehp/eh Management 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.
plaws/eo11988.shtm
EO 11990, Protection of
Wetlands
Requires Federal agencies, in planning their actions,
to consider alternatives to wetland sites and limit
potential damage if an activity affecting a wetland
cannot be avoided.
http://www.fema.gov/environmen
tal-planning-and-historic-
preservation-program/executive-
order-11990-protection-wetlands
EO 12898, Environmental Directs Federal agencies “to make achieving http://www.fema.gov/environmen Justice for Low-Income and environmental justice part of its mission by tal-planning-and-historic- Minority Populations 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.”
preservation-program/executive-
order-12898-environmental-
justice
EO 12372, July 14, 1982,
Intergovernmental Review of
Federal Programs
Fosters an intergovernmental partnership and
strengthens federalism by relying on State and local
processes for State and local coordination and
review of proposed Federal financial assistance.
http://www.archives.gov/federal-
register/codification/executive-
order/12372.html
EO 12416, April 8, 1983,
Intergovernmental Review of
Federal Programs
Amends Section 8 of EO 12372 regarding the
content of the Director of the Office of Management
and Budget’s report and to whom the report is
submitted.
http://www.archives.gov/federal-
register/codification/executive-
order/12372.html
EO 12699, January 5, 1990,
Seismic Safety of Federal
and Federally assisted or
Regulated New Building
Construction
Requires that each Federal agency responsible for
the design and construction of each new Federal
building shall ensure that the building is designed
and constructed in accord with appropriate seismic
design and construction standards.
http://www.wbdg.org/ccb/FED/F
MEO/eo12699.pdf

GUIDANCE
FEMA P-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
Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance 111

Reference Description Web Link
FEMA 317, Property
Acquisition Handbook for
Local Communities (October
1998)
A “how to” guide to help communities work through
one specific hazard mitigation alternative known as
property acquisition (also referred to as “buyout”).
http://www.fema.gov/library/view
Record.do?id=1654
FEMA P-320, Taking Shelter Guide to help homeowners decide if they should http://www.fema.gov/plan/preven from the Storm: Building a build a shelter in their house; provides various t/saferoom/fema320.shtm Safe Room for Your Home shelter designs that can be given to a or Small Business (3rd contractor/builder.

Edition, August 2008)
FEMA P-361, Design and A guidance manual for engineers, architects, http://www.fema.gov/library/view Construction Guidance for building officials, and prospective shelter owners that Record.do?fromSearch=fromsea Community Safe Rooms presents important information about the design and rch&id=1657 (2nd Edition, August 2008) construction of residential and community safe rooms that protect people during tornado and
hurricane events.

FEMA P-424, Design Guide
for Improving School Safety
in Earthquakes, Floods, and
High Winds (December
2010)
This manual is intended to provide guidance for the
protection of school buildings from natural disasters.

This volume concentrates on grade schools, K-12.

FEMA P-424 covers earthquakes, floods, and high
winds. Its intended audience is design professionals
and school officials involved in the technical and
financial decisions of school construction, repair, and renovations.
http://www.fema.gov/library/view
Record.do?id=1986
FEMA 489, Mitigation Summarizes the observations, conclusions, and http://www.fema.gov/library/view Assessment Team Report: recommendations that resulted from post-disaster Record.do?id=1569 Hurricane Ivan in Alabama assessments sponsored by FEMA in response to and Florida (August 2005) Florida’s 2004 hurricane season.

FEMA P-499, Home
Builder’s Guide to Coastal
Construction Technical Fact
Sheet Series (December
2010)
Presents information aimed at improving the
performance of buildings subject to flood and wind
forces in coastal environments.
http://www.fema.gov/technology-
transfer/home-builders-guide-
coastal-construction-technical-
fact-sheet-series-fema-p-499
FEMA 543, Design Guide for Provides building professionals and decision-makers http://www.fema.gov/library/view Improving Critical Facility with information and guidelines for implementing a Record.do?id=2441 Safety from Flooding and variety of mitigation measures to reduce the High Winds: Providing vulnerability to damage and disruption of operations Protection for People and during severe flooding and high-wind events. It Buildings (January 2007) concentrates on critical facilities (hospitals, schools, fire and police stations, and emergency operation
centers).

FEMA 549, Mitigation
Assessment Team Report:

Hurricane Katrina in the Gulf
Coast (July 2006)
Evaluates and assesses damage from the hurricane
and provides observations, conclusions, and
recommendations on the performance of buildings
and other structures impacted by wind and flood
forces.
http://www.fema.gov/library/view
Record.do?id=1857
FEMA P-55, Coastal Provides a comprehensive approach to sensible http://www.fema.gov/library/view Construction Manual, (4th development in coastal areas based on guidance Record.do?id=1671 Edition, August 2011) from over 200 experts in building science, coastal hazard mitigation, and building codes and regulatory
requirements.

Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance 112

Reference Description Web Link
FEMA P-550,
Recommended Residential
Construction for Coastal
Areas: Building on Strong
and Safe Foundations (2nd
Edition, December 2009)
Provides recommended designs and guidance for
rebuilding homes destroyed by hurricanes in the Gulf
Coast. The manual also provides guidance in
designing and building less vulnerable new homes
that reduce the risk to life and property.
http://www.fema.gov/library/view
Record.do?id=1853
FEMA 551, Selecting This manual is intended to provide guidance to http://www.fema.gov/library/view Appropriate Mitigation community officials for developing mitigation projects Record.do?id=2737 Measures for Floodprone that reduce or eliminate identified risks for Structures (March 2007) floodprone structures.

FEMA 577, Design Guide for The intent of the Design Guide is to provide its http://www.fema.gov/library/view Improving Hospital Safety in audience with state-of-the-art knowledge on the Record.do?id=2739 Earthquakes, Floods, and variety of vulnerabilities faced by hospitals exposed High Winds: Providing to earthquakes, flooding, and high-winds risks, as Protection to People and well as the best ways to mitigate the risk of damage Buildings (June 2007) and disruption of hospital operations caused by these events.

FEMA P-804, Wind Retrofit The purpose of this Guide is to provide guidance on http://www.fema.gov/library/view Guide for Residential how to improve the wind resistance of existing Record.do?id=4569 Buildings (December 2010) residential buildings. The content of this document should serve as guidance on retrofitting existing
buildings for improved performance during high-wind
events in all coastal regions.

Mitigation Planning
Guidance
This guidance provides information on preparing and
updating mitigation plans in compliance with the
mitigation planning regulations found at 44 CFR Part
201.
http://www.fema.gov/mitigation-
planning-laws-regulations-
guidance
Mitigation Planning How-To
Guides (FEMA)
The guides focus on initiating and maintaining a
planning process that will result in safer communities
and are applicable to jurisdictions of all sizes and all resource and capability levels.
http://www.fema.gov/hazard-
mitigation-planning-resources
Uniform Standards of The generally accepted standards for professional http://www.USPAP.org Professional Appraisal appraisal practice in North America. Standards are Practice (2012–2013) included for real estate, personal property, business, and mass appraisal.

Hazard Mitigation This guide provides instruction on what constitutes http://www.fema.gov/library/view Assistance Tool for Duplication of Benefits in the use of Hazard Record.do?fromSearch=fromsea Identifying Duplication of Mitigation Assistance funds for property mitigation. It rch&id=6815 Benefits (January 2013) gives direction regarding verification processes and actions that can be taken to ensure that Duplication
of Benefits does not occur.

OTHER RESOURCES
Government-to-Government
Relations with American
Indian and Alaska Native
Tribal Governments.

January 12, 1999 (Federal
Register vol. 64 no. 7)
Guides FEMA interactions with American Indian and
Alaska Native Tribal governments.
http://www.gpo.gov/fdsys/pkg/F
R-1999-01-12/html/99-642.htm
Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance 113

Reference Description Web Link
OMB Circular A-94,
Guidelines and Discount
Rates for Benefit-Cost
Analysis of Federal
Programs (October 29,
1992)
Specifies certain discount rates that will be updated
annually when the interest rate and inflation
assumptions in the budget are changed.
http://www.whitehouse.gov/omb/
circulars/a094/a094.html
OMB Circular A-133, Audits
of States, Local
Governments, and Non-
Profit Organizations (revised
June 27, 2003 and June 26,
2007)
Sets forth standards for obtaining consistency and
uniformity among Federal agencies for the audit of
States, local governments, and non-profit
organizations expending Federal awards.
http://www.whitehouse.gov/sites/
default/files/omb/assets/a133/a1
33_revised_2007.pdf
ASCE/SEI 24-05, Flood
Resistant Design and
Construction (2006)
Provides minimum requirements for flood-resistant
design and construction of structures located in flood
hazard areas.
https://secure.asce.org/files/esto
re/5419/40818_40818.pdf
ASCE/SEI 7-05, Minimum Provides requirements for general structural design https://secure.asce.org/files/esto Design Loads for Buildings and includes means for determining dead, live, soil, re/896/40809_40809.pdf and Other Structures (2005) flood, wind, snow, rain, atmospheric ice, and earthquake loads, and their combinations that are
suitable for inclusion in building codes and other
documents.

ASTM International
Standard E1527-05,
Standard Practice for
Environmental Site
Assessments: Phase I
Environmental Site
Assessment Process (2005)
Defines good commercial and customary practices
for conducting an environmental site assessment of
a parcel of commercial real estate.
http://www.astm.org/Standards/
E1527.htm
ASTM International
Standard E2247-08,
Standard Practice for
Environmental Site
Assessments: Phase I
Environmental Site
Assessment Process for
Forestland or Rural Property
(2008)
This practice is intended for use on a voluntary basis
by parties who wish to assess the environmental
condition of
forestland or rural property of 120
acres or greater taking into account commonly
known and reasonably ascertainable information.
http://www.astm.org/Standards/
E2247.htm
International Building Code The scope of this code covers all buildings except http://publicecodes.cyberregs.co (International Code Council) three-story, and one- and two-family dwellings and townhomes. This comprehensive code features
time-tested safety concepts, structural, and fire and
life-safety provisions covering means of egress,
interior finish requirements, comprehensive roof
provisions, seismic engineering provisions,
innovative construction technology, occupancy
classifications, and the latest industry standards in
material design.
m/icod/ibc/index.htm
International Code Council,
International Wildland-Urban
Interface Code (2012)
Contains provisions addressing fire spread,
accessibility, defensible space, water supply, and
more for buildings constructed near wildland areas.
http://publicecodes.cyberregs.co
m/icod/iwuic/2012/index.htm
Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance 114

Reference Description Web Link
International Code Council, This guide is intended to help community officials http://www.fema.gov/library/view Reducing Flood Losses decide how to integrate the 2006 edition of the Record.do?id=2094 through the International International Codes (I-Codes) into their current Codes (3rd Edition, 2008) floodplain development and regulatory processes in order to meet the requirements to participate in the
NFIP.

International Residential
Code for One- and Two-
Family Dwellings
(International Code Council)
A comprehensive code for homebuilding that brings
together all building, plumbing, mechanical and
electrical provisions for one- and two-family
residences.
http://publicecodes.cyberregs.co
m/icod/irc/index.htm
National Fire Protection
Association (NFPA) 225,
Model Manufactured Home
Installation Standard (2009
Edition)
Includes updated criteria covering the anchoring of
the home and protection against seismic events,
floods, and wind. Rules apply to single- and multi-
section units.
http://www.nfpa.org/catalog/prod
uct.asp?pid=22509
NFPA 703, Standard for
Fire-Retardant Treated
Wood and Fire-Retardant
Coatings for Building
Materials
Provides enforcers, engineers, and architects with
the industry’s most advanced criteria for defining and
identifying fire retardant-treated wood and fire-
retardant coatings for building materials.
http://www.nfpa.org/catalog/prod
uct.asp?pid=70312
NFPA 914, Code for Fire
Protection of Historic
Structures
Intended to improve or upgrade the fire protection
features in a wide range of historic buildings, and
address ongoing operations as well as renovation
and restoration projects.
http://www.nfpa.org/catalog/prod
uct.asp?pid=91410
NFPA 1141, Standard for Provides recommendations for planning and http://www.nfpa.org/catalog/prod Fire Protection Infrastructure installing fire protection infrastructure for new uct.asp?pid=114112 for Land Development in developments in a community.

Suburban and Rural Areas
NFPA 1144, Standard for
Reducing Structure Ignition
Hazards for Land
Development in Suburban
and Rural Areas
Covers minimum design, construction, and
landscaping elements for structures in the
wildland/urban interface.
http://www.nfpa.org/cataloghttp:/
/dnrc.mt.gov/forestry/Fire/Preven
tion/documents/WUIrewrite/NFP
A1144.pdf/
NFPA 5000 Code, Building Combines regulations controlling design, http://www.nfpa.org/catalog/prod Construction and Safety construction, quality of materials, use and uct.asp?pid=500012 Code (2012 Edition) occupancy, location, and maintenance of buildings and structures, with fire and life-safety requirements
found in NFPA codes and standards.

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 Produces economic account statistics that enable http://www.bea.gov Commerce, Bureau of government and business decision-makers, Economic Analysis researchers, and the American public to follow and understand the performance of the Nation’s
economy.

Part X. Appendix D: Referenced Regulations, Statutes, Directives, and Guidance 115

Reference Description Web Link
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 116

E. Eligibility and Completeness Review Checklist for Project Subapplications
Applications submitted to FEMA that do not contain at least the basic components listed below may be immediately denied because there is no method to determine eligibility without this data.

Additional information may be requested during FEMA review. This information is required for all submittals, including potential substitutions.

Application Component Yes No Comment
General
Documentation included in the subapplication?
Is this a phased project?
Technical Assistance Needed? Subapplicant is encouraged to contact the State (Applicant) to request application development assistance. FEMA resources may be available but will only be provided if requested by the Applicant.

Applicants
Eligible Applicant is identified (State or local government; eligible Private, non-profit organization; or Indian Tribal government) Applicant participates in the National Flood Insurance Program Plan Requirement
Project conforms with State Mitigation Plan per 44 CFR Part 201 Project conforms with Local Mitigation Plan per 44 CFR Part 201 Project conforms with Indian Tribal Mitigation Plan per 44 CFR Part 201
Scope of Work
SOW describes the proposed solution
Alternatives considered as part of the decision-making process Project includes photographs of each structure and general project area
Project includes appropriate maps that orient the reviewer to the entire project area
Latitude and longitude are provided for each structure
SOW justifies the proposed solution as the best option over a range of alternatives
Project site is clearly identified using maps, GPS coordinates, or other means
Project addresses a repetitive problem or a significant risk to public health
Part X. Appendix E: Eligibility and Completeness Review Checklist for Project Subapplications 117

Application Component Yes No Comment
Project solves a problem independently or constitutes a functional portion of a solution
Schedule
A work schedule of 3 years or less is provided
Budget/Match Source
A cost estimate/budget is provided that supports the SOW If project requires phased or incremental funding, the budget reflects amounts estimated for each funding increment
Non-Federal cost shares and match sources are identified Project should identify potential Duplication of Benefits such as Insurance, Small Business Administration loans if information is available during project development
Cost-effectiveness and Feasibility
Project includes a benefit-cost analysis, or alternate cost- effectiveness documentation, such as Substantial Damage verification, and located in a riverine floodplain; or a narrative supporting cost-effectiveness and request for consideration under 5 percent HMGP discretionary funding
Project includes technical information to support proposed action. For example, level of protection for drainage projects, engineering data to support proposed seismic retrofits, and population data to support safe room placement and size.

Elevations are technically feasible.

Environmental and Historic Preservation
Project includes information and documentation to demonstrate conformance with 44 CFR Part 9.6 and Part 10
Project demonstrates that it minimizes harm to the environment Project includes construction date for each structure
Project includes all available information relating to known historic, archaeological, or environmentally sensitive areas (e.g., critical Coastal Barrier Resources Act or Otherwise Protected Area)
All appropriate Federal, State, and local agencies have been consulted
Project includes environmental coordination letters or contact information to obtain required coordination information Assurances
FEMA Form 20-16A, Assurances Non-Construction Programs
FEMA Form 20-16B, Assurances Construction Programs
FEMA Form 20-16C, Certifications Regarding Lobbying, etc.

Part X. Appendix E: Eligibility and Completeness Review Checklist for Project Subapplications 118

Application Component Yes No Comment
SF-LLL, Disclosure of Lobbying Activities
Considers long-term changes to the area it proposes to protect and has manageable future maintenance and modification
requirements
Acquisition Demolition / Relocation Information
Project confirms compliance with timelines and all other criteria set forth in 44 CFR Part 80 requirements
Project includes Voluntary Participation Documentation for each property
Documentation (if needed) that the property owner is National of United States or qualified alien
For properties that are to be relocated, will the structure be relocated outside of the Special Flood Hazard Area?
Elevation Information
Project identifies the Base Flood Elevation or Advisory Base Flood Elevation
Project includes finished floor elevation (Elevation certificate is preferred)
Project includes proposed elevation height of the structure Designed and Implemented consistent with ASCE/SEI 24-05 Safe Room Information
Project includes population size and basis
Designed and implemented consistent with FEMA P-320 or
FEMA P-361
Wind Retrofit Information
Project includes proposed level of protection
Designed and implemented consistent with P-804
Drainage Information
Project includes initial technical information to support size, costs and local permitting requirements
Part X. Appendix E: Eligibility and Completeness Review Checklist for Project Subapplications 119

F. Safe Room Application Using Pre-Calculated Benefits
Expedited HMGP Application for Residential Safe Rooms
 The State must have an approved State Administrative Plan and State Hazard Mitigation Plan prior to grant award.
 If a local jurisdiction is the subapplicant, they must have an approved local mitigation plan in place (or receive an Extraordinary Circumstances exception) prior to grant award.  Each safe room included in this project must meet the criteria of FEMA P-320, Taking Shelter From the Storm, Building a Safe Room For your Home or Small Business, or FEMA P-361, Design and Construction Guidance for Community Safe Rooms.
 Safe rooms cannot be placed in floodways, velocity zones, Coastal A Zones, or areas subject to coastal storm surge inundation associated with a Category 5 hurricane.  If a residential safe room is sited in a Special Flood Hazard Area, the structure must be insured for Flood Damage, and a deed notice must be conveyed to retain this requirement.  This project conforms with applicable Hazard Mitigation Grant Program eligibility criteria for all projects.
 Applicant may request approval for pre-award costs. Implementation costs incurred prior to grant award are not eligible for reimbursement.

State (Grantee) Information
Disaster number: ____________________________
Eligible subapplicant: _____ State or local government _____ Private non-profit entity Does the project conform to the State/local mitigation plan? _____ Yes _____ No Applicant Information
Project Title: Residential Safe Room Construction/Installation Applicant ___________________________________________________________________________ Federal Information Processing Standard (FIPS) Code ________________________________________ Federal Tax ID Number (if required) ______________________________________________________ Data Universal Numbering System (DUNS) Number _________________________________________ Community NFIP Status: Participating Community ID # ______________

In Good Standing ______ Non-participating _____ CRS _____ Legislative District(s) __________________________________________________________________ Part X. Appendix F: Safe Room Application Using Pre-Calculated Benefits 120

Application prepared by:

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

1. History of hazards and description of the vulnerability to be mitigated Sample language:

This project is being submitted in response to the recent, severe weather and tornado activity nationwide. It is the intent of the State and affected local jurisdictions to support the placement and availability of safe rooms as a means of providing life-safety level protection for our citizens.

2. Scope/description: Project includes population size and basis Sample language:

This project proposes to fund the purchase, construction/installation, and verification of 150 residential safe rooms. These safe rooms will be constructed and installed to meet FEMA P-320 or FEMA P-361 design and construction criteria, prior to reimbursement by the Applicant to the property owner; the safe rooms will be verified by a qualified professional to meet FEMA P-320 standards. Prior to closeout, all property-specific data will be provided for entry into NEMIS in order to capture full information for each mitigated property.

3. Project Useful Life: (30 years).

4. Property and Structure Information
 Address, including geo-location
 Floodplain map and flood zone information
 Structure age
 Photographs
Part X. Appendix F: Safe Room Application Using Pre-Calculated Benefits 121

 Proposed action:
 Safe room placed inside structure (no ground disturbance)  Safe room placed above/below ground outside the structure (ground disturbance)  Additional information if identified by FEMA/State/Applicant Environmental and Historic Preservation Compliance
Each site must be reviewed to determine compliance with environmental and historic preservation compliance requirements and to prepare necessary documentation. FEMA’s Programmatic Environmental Assessment for Hazard Mitigation Safe Room Construction (June 2011) provides efficiencies for completing the environmental review for this project.

NOTE: FEMA may enter into agreements or other negotiated arrangements with the respective State Historic Preservation Officers and Indian Tribes to allow for expedited review in accordance with Section 106 of the National Historic Preservation Act.

Describe alternatives considered for this project:

Sample language:

Alternative 1 – Do nothing. This alternative will not result in substantial risk reduction and will leave many citizens exposed to future tornado and high-wind damages, including loss of life.

Alternative 2 – Community safe room or evacuation. Tornadoes do not allow for sufficient time to relocate household members to an off-site facility, and evacuation is not viable as travel in severe weather exposes evacuees to another set of risks and hazards with little certainty that they can reach safe haven.

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

Sample language:
 This project limits the amount reimbursable to property owner to up to 50 percent of the cost of the safe room, not to exceed $3,500 OR This project limits the amount of each safe room to$7,000 (or other value).
 Participants were prioritized based on damaged areas and dates costs were incurred.  Participants will be accepted as long as funds are available. Over submittals will be considered if additional funds become available.
 Quarterly reports will include current totals of completed, verified sites and associated costs for each completed site.

Part X. Appendix F: Safe Room Application Using Pre-Calculated Benefits 122

 Applicant reserves the right to expand this project as long as the application period is open.  Site verification form will be provided for each site location (Attachment 2).

Project Work Schedule (not to exceed 3 years)
Sample:
0–6 months: Initiate outreach-marketing; identify participants 3–12 months: Verify FEMA P-320 or FEMA P-361 criteria and all program eligibility requirements have been met for known sites.
12 months (prior to application period closing): Revise project if necessary to include more participants.
12–30 months: Provide quarterly progress reports indicating volume of completed verified actions; complete project implementation.
30–36 months: Collect all closeout data and complete data dissemination to local emergency medical services.

Cost-effectiveness Review
Sample language:

A cost-effectiveness evaluation has been performed for residential safe rooms in the (State of _____________ / County of ________________) and produced benefits as reflected on Table 1.

These benefits are based on general sampling statewide and are based on 3 persons per household served by each safe room.

Options for capturing additional benefits: If the benefits listed in Table 1 are not sufficient to produce a ratio greater than 1:1 for this project, additional benefits may be obtained by increasing household population, where appropriate, verifying the structure type (manufactured housing produces more benefits than standard construction), and/or using a more specific local valuation that may include higher benefits based on specific risk. Technical support is available if needed.

Budget/Funding Information
Sample budget:

Cost Item Quantity
Est. Cost
Each
Total Est.

Cost
Est. Fed
Share
Estimated
Match Share
Data Collection 150 $100 $15,000 $15,000 —
Material/Construction 150 $5,000 $750,000 $525,000(1) $225,000 Project Management 150 $200 $30,000 $30,000 —
Inspection Certification 150 $200 $30,000 $30,000 —
Design/Engineering Review 150 $200 $30,000 30,000 —
Part X. Appendix F: Safe Room Application Using Pre-Calculated Benefits 123

Cost Item Quantity
Est. Cost
Each
Total Est.

Cost
Est. Fed
Share
Estimated
Match Share
Verification/Closeout 150 $100 $15,000 $15,000 —
Outreach — — $15,000 $15,000 —
Data Dissemination(2) — — $15,000 $15,000 —
Grand Total NA NA $900,000 $675,000 $225,000
NOTES:

Line items for Data Collection, Project Management, Design, and Outreach could be phased. This would allow limited fund release to identify participants and collect data to complete required environmental and historic preservation reviews.

General-cost line items are samples, not all costs may be required; amounts are variable. Additional line items may be included as necessary. These values are based on historical submittals and averages. (1) This example limits reimbursement to property owner to $3,500. (2) With property owner authorization, provide safe room geo-data to local emergency medical services in usable format.

All Federal Share Obligations of $1,000,000 or More
Must Complete the Large Project Notification Process Prior to Approval Aggregate Benefits By State (Abridged List)
Alabama $13,336.96 Nebraska $9,921.78
Arkansas $16,717.85 Nort h Carolina $5,723.26
Georgia $5,290.98 Ohio $11,469.38
Illinois $13,685.72 Oklahoma $18,366.36
Iowa $14,962.87 Pennsylvania $4,065.90
Indiana $18,126.34 Sout h Carolina $6,139.38
Kansas $14,005.75 Sout h Dakota $5,230.17
Kentucky $13,554.96 Tennessee $13,579.58
Louisiana $9,921.94 Texas $5,421.32
Michigan $6,522.49 Virginia $3,936.05
Missouri $15,654.96 West Virginia $4,973.50
Mississippi $20,067.64 Wisconsin $9,025.48
Minnesota $7,092.39
Final Documentation and Certification Variable by State/Region (FEMA/State/Applicant may include additional items)
 Conforms to Local Floodplain Ordinance (if Property Owner Name applicable) Property Address, including geo-location
 Flood Insurance Deed Tag (if applicable)for Safe Room  Final Cost list Verification of FEMA P-320 or FEMA P-361  Property owner permission to distribute GEO-criteria
location to local emergency medical services Installation Inspection (optional) Conforms to Categorical Exclusion or
Environmental Assessment
Part X. Appendix F: Safe Room Application Using Pre-Calculated Benefits 124

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

1. How does the information in this guidance differ from current practice? This Hazard Mitigation Assistance (HMA) Guidance establishes that the purchase and installation of generators for the protection of critical facilities is an eligible, stand-alone project type under the Hazard Mitigation Grant Program (HMGP) and is no longer limited only to the 5 Percent Initiative.

Generators that constitute a functional portion of an otherwise eligible mitigation solution (critical or not) remain eligible.

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

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

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

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

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

Part X. Appendix G: Generator FAQ 125

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

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

Cost-effectiveness

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

10. What are the key elements of a BCA for generator projects? Key inputs required are:
a. Project Useful Life: According to OMB Circular A-76, Performance of Commercial Activities, the useful life for generators or generator sets is 19 years. This value can be used as the default useful life value when performing the BCA. It may be altered based on manufacturer warranty or other documentation that can demonstrate that the generator may be able to provide service for longer than 19 years. Analysts should use the 19-year project useful life first.
b. Project Costs: The cost of generators varies by size, installation, and purpose. The generator’s size and specifications should be reasonable, appropriate, and necessary to continuing critical functions of the facility. The exact costs for generators, installation, and components should be provided by the subapplicant and included in the costs when performing the BCA.
c. Facility and Value of Service: Analysis for facilities for potable water, waste water, police stations, fire stations, and hospitals can be quickly performed using FEMA’s BCA toolkit and the DFA module, which provides service values for these facilities. To use these values, the analyst will need some information regarding the population served by the facility. For example, if a generator is to be installed at a waste water treatment plant, the analyst will need to know how many customers are served by the facility, as well as how many days the facility was not able to operate because of power failure. These values can typically be obtained from the facility manager and can be provided on official letterhead for documentation purposes.

Part X. Appendix G: Generator FAQ 126

d. Recurrence Determination: Recurrence information used in the analysis may vary by location or by cause of power failure, such as wind or flood. See FAQ #17 for additional information.
e. Other Benefits: Other benefits (or costs avoided) may be included if they are addressed by the generator project.

11. What information is needed to perform a BCA for generator projects? Information needed for performing the BCA will vary by facility. However, the following inputs are required to run the BCA module:

11.1 For all BCAs performed, the subapplicant must provide the following:
a. The total project cost
b. Useful life (19 years for generators)
c. Estimated yearly maintenance costs
d. The frequency of the event used in analysis that would cause a power failure demonstrating the need for a backup power source (generator) e. The number of days that service was affected (without power) To calculate the value of services (benefits to society), the following inputs must be included for each specified facility type:

11.2 For Water or Waste Water Services:
a. The number of customers affected by the power outage at the treatment plants

11.3 For Hospitals
a. The number of people served by the hospital
b. The distance in miles between the hospital being analyzed and the hospital that would treat these people in the event the hospital was inoperative c. The number of people normally served by the alternate hospital

11.4 For Police Stations
a. The type of station (metropolitan, city, or rural)
b. The number of people served by the police station
c. The number of officers that work at the station and would serve the same area if the station were shut down as a result of a disaster

11.5 For Fire Stations
a. The number of people served by the station
b. The type of area served by the fire station (urban, suburban, rural, wilderness) c. The distance in miles to the nearest fire station that would provide protection for the area normally served by the fire station affected
Part X. Appendix G: Generator FAQ 127

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

12. Are the benefits limited to damages avoided to the facility? No, benefits are not limited to just damages avoided. The value of service for critical facilities can be used to demonstrate cost-effectiveness. The value of services for critical infrastructure and facilities are included in the BCA toolkit, which is available at http://www.fema.gov/benefit-cost- analysis. All costs associated with power failure that would be mitigated by a generator should be considered.

Additional losses can be included in the BCA if those losses are a direct result of interrupted power service that a generator would have mitigated. For waste water treatment plants, additional costs are sometimes required to bring the facility back to operating status after an extended power failure.

This may include removal of sludge in equipment or additional man hours needed to bring the facility back to operational status. Those additional costs can be included above and beyond the value of service costs if a generator would have prevented those additional costs.

13. Can an Applicant consider multiple hazards in the BCA? Yes. Multiple hazards may disrupt power supply. The Applicant will need to provide the frequency of each hazard used in its analysis.

14. How does an Applicant develop the return interval for an event requiring the use of a generator?
The recurrence interval used in the analysis will depend on the hazard that caused or will cause the facility to lose power. For example, in the New York City metropolitan area, winds of 85 miles per hour could equate to a 25-year recurrence interval. For other hazards, such as extreme snow fall, information about prior snow fall totals could be validated to estimate the recurrence interval.

Recurrence interval data can be obtained from a number of sources, such as the National Weather Service for rainfall and ice storms and the U.S. Geological Survey for floods. If three or more past Part X. Appendix G: Generator FAQ 128

events resulted in power failure, the DFA module can calculate the recurrence interval based on the years of the events. Question #17 provides some useful tools to assist in frequency determination.

Generally, two events are required to perform the analysis. Applicants/subapplicants are encouraged to provide as much historical damage information as they can. Projects submitted with one frequency will be considered acceptable.

15. In the case of a water treatment plant, is the cost of providing temporary water or other emergency protective measures considered a future cost avoided? Yes. If the generator will negate the need for tem porary water in the future, then those costs should be included in the analysis.

16. Are environmental benefits included in the BCA?
To the extent they can be captured and justified, environmental costs associated with raw sewage discharge can be included in the BCA for waste water treatment plants. FEMA does not have a default value for these associated costs, and these costs will vary by location. The Applicant/ subapplicant should include all reasonable costs that will be mitigated by having a backup generator installed at a facility.

17. What resources are available to determine recurrence interval values? Recurrence intervals may be determined by using some of the tools provided below:
 If the facility lost power as a result of wind damage to power lines feeding the facility, the analyst can utilize the Advanced Technology Council Wind Speed tool available at http://www.atcouncil.org/windspeed/index.php to determine the frequency of the coastal wind event.
 If power outages are attributed to flooding, recurrence information for the flooding event should be used in the analysis. The National Weather Services provides the Precipitation Frequency Data Server at http://hdsc.nws.noaa.gov/hdsc/pfds/, which can be utilized to establish a frequency for various precipitation events.
 U.S. Geological Survey stream gauge data can also be used to extrapolate frequency information for flood events, details of which can be found in the Supplement to the Benefit-Cost Analysis Reference Guide in the FEMA library at http://www.fema.gov/library/viewRecord.do?id=4830.  National Snow and Ice Data Center (National Aeronautics and Space Administration, National Oceanic and Atmospheric Administration, National Science Foundation) at http://nsidc.org/data/search/data-search.html.
 Insurance claims, BureauNet information, damage repair records, data from the State/local agency, or local government Newspaper accounts citing credible sources (other than homeowner accounts) could be used in conjunction with the DFA module’s unknown frequency calculator.

Using this method may require more time as three events are required for analysis.

Part X. Appendix G: Generator FAQ 129

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

Scenarios
Different power failure scenarios at various facilities are outlined below. For analysis purposes, each facility was reviewed using 4 days of loss of service due to power failure at the 25-year recurrence. The 25-year recurrence interval for the test cases is based on observed wind speeds and the frequency was extrapolated using the Advanced Technology Council Wind Speed tool for the New York metropolitan area. Other project locations should use the appr opriate recurrence intervals for the hazard being mitigated. Analysis was performed using the DFA module in the BCA Toolkit.

The scenarios are for demonstration purposes only. Dollar amounts and frequency intervals were chosen for comparison purposes only. Analysts should use the appropriate values for the facility being examined. For those performing the analysis, assistance is available through the benefit-cost helpline at [email protected] or at 1-855-540-6744. The helpline is not allowed to perform or review analyses but can provide answers to specific questions regarding methodologies.

When performing the BCA, inputs used in the module should be documented, as with all analysis.

Documentation sources may include, but are not limited to, correspondence with facility or site managers, data available from the county or facility Web site, information from other government Web sites, media releases, engineering analysis, and letters from the facility manager. Discussion of data documentation is available in the BCA training materials available on FEMA.gov. There are no special or extraordinary data documentation requirements for this project type.

Scenario 1: The Purchase and Installation of a Generator at an Urban Police Station Assumptions:
 The police station has 119 officers who serve up to 27,000 residents  The police station loses power and the efficiency of the police station drops to 50 percent (assumes 50 percent of the force are working out of other facilities or within the community)  The power is not fully restored for 4 days
 The project useful life for the generator is 19 years  The project cost is $50,000
Part X. Appendix G: Generator FAQ 130

Benefit-Cost Ratio:
 The resulting benefit-cost ratio (BCR) is 1.23
Scenario 2: The Purchase and Installation of a Generator at an Urban Fire Station Assumptions:
 The fire station has 119 firefighters who serve up to 27,000 residents  The fire station loses power and the efficiency of the fire station drops to 50 percent  The power is not fully restored for 4 days
 The project useful life for the generator is 19 years  The project cost is $50,000
Benefit-Cost Ratio:
 The resulting BCR is 0.80
Scenario 3: The Purchase and Installation of a Generator at an Urban Hospital Assumptions:
 The hospital serves up to 27,000 residents
 The power is not fully restored for 4 days
 The project useful life for the generator is 19 years  The project cost is $200,000
Benefit-Cost Ratio:
 The resulting BCR is 1.0
Scenario 4: The Purchase and Installation of a Generator at a Rural Area Water Treatment Plant (Potable Water)
Assumptions:
 The water treatment plant serves up to 15,000 customers  The plant loses power for 3 days
 A 100-year recurrence interval is used
 The project cost is $200,000
Benefit-Cost Ratio
 The resulting BCR is 1.05
Part X. Appendix G: Generator FAQ 131

Scenario 5: The Purchase and Installation of a Generator at an Urban Area Waste Water Treatment Plant
Assumptions:
 The waste water treatment plant serves up to 500,000 residents  The waste water treatment plant loses power and there is no service  The power is not fully restored for 4 days
 The project useful life for the generator is 19 years  The project cost is $1,500,000
Benefit-Cost Ratio:
 The resulting BCR is 24.8
Part X. Appendix G: Generator FAQ 132

H. Eligibility and Completeness Review Checklist for Planning Subapplications
Applications submitted to FEMA that do not contain at least the basic components listed below may be immediately denied because there is no method to determine eligibility without this data.

Additional information may be requested during FEMA review. This information is required for all submittals, including potential substitutions.

Application Component Yes No Comments
General
Documentation included in the subapplication?
Technical Assistance Needed? Subapplicant is encouraged to contact the State (Applicant) to request application development assistance. FEMA resources may be available but will only be provided if requested by the Applicant.

Applicants
Applicant included management costs for delivery of technical assistance for mitigation planning (e.g., plan reviews, planning workshops, training)
Scope of Work (SOW)
Proposed planning activity is consistent with 44 CFR Part 201 Proposed planning activity is described, including whether it will result in a new or updated hazard mitigation plan (including public involvement, identification of hazards, development of a comprehensive risk/vulnerability assessment, identification of mitigation goals and strategies, and plan implementation) or enhance an existing mitigation plan through a planning-related activity
Participating jurisdiction(s) are identified and described A statement is provided on how the overall planning effort will be coordinated
SOW is consistent with work schedule and cost estimate
(describes entire planning process)
For mitigation plan updates, the SOW describes the process that each jurisdiction will complete to review each section of the previous plan and address gaps, as needed; new information (including hazard, land use, and development trends); how the previous plan was implemented; and what process will be used Copy of the plan review document (i.e., review tool or
crosswalk) from the FEMA approval of the previous plan is included, if available/applicable
Part X. Appendix H: Eligibility and Completeness Review Checklist for Planning Subapplications 133

Application Component Yes No Comments
Schedule
Work schedule of 3 years or less is provided and allows sufficient time for State and FEMA reviews; preparation of required revisions, if needed; formal adoption by the
jurisdiction(s); and FEMA approval
Cost Estimate
Cost estimate supports the SOW and is reasonable for the jurisdictions participating
Assurances
FEMA Form 20-16A, Assurances Non-Construction Programs
FEMA Form 20-16C, Certifications Regarding Lobbying, etc.

SF-LLL, Disclosure of Lobbying Activities
Part X. Appendix H: Eligibility and Completeness Review Checklist for Planning Subapplications 134

I. EHP Checklist
“Yes” indicates that the environmental regulation or statute may apply to your project.

Environmental Regulation or Statute Yes No
National Historic Preservation Act

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

1.B Will the proposed project involve disturbance of ground? Endangered Species Act and Wildlife Coordination Act

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

2.B Will the proposed project remove or affect vegetation?

2.C Is the proposed project in or near (within 200 feet), or likely to affect, any type of waterbody or body of water?
Clean Water Act, Rivers and Harbors Act

3.A Will the proposed project involve dredging or disposal of dredged material, excavation, the addition of fill material, or result in any modification to water bodies or wetlands designated as “waters of the United States” as identified by the U.S. Army Corps of Engineers or on the National Wetland Inventory? Executive Order 11988 (Protection of Floodplains) and Executive Order 11990 (Protection of Wetlands)

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

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

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

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

Coastal Zone Management Act

5.A Is the proposed project located in the State’s designated coastal zone? Farmland Protection Policy Act

6.A Will the proposed project convert more than 5 acres of “prime or unique” farmland outside city limits to a non-agricultural use?
Resource Conservation Recovery Act and Comprehensive Environmental Response, Compensation, and Liability Act

7.A Is there reason to suspect there are contaminants from a current or past us e on the
property associated with the proposed project?

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

7.C Will any project construction or operation activities involve the use of hazardous or toxic materials?
Part X. Appendix I: EHP Checklist 135

Environmental Regulation or Statute Yes No

7.D Are any of the current or past land uses of the property associated with the proposed project or are any of the adjacent properties associated with hazardous or toxic materials?
Executive Order 12898 (Environmental Justice for Low Income and Minority Populations)

8.A Are there any low-income or minority populations in the project’s area of effect or adjacent to the project area?
Other Environmental/Historic Preservation Laws (including applicable State laws) or Issues

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

9.B Are any controversial issues associated with this project?

9.C Have any public meetings been conducted, or public comment solicited, on the proposed project?
Part X. Appendix I: EHP Checklist 136

J. 8-Step Decision Making Process
for Floodplain Management Considerations
Step 1. Determine whether the proposed action is located in a wetland and/or the 100-year floodplain (500-year floodplain for critical actions) and whether it has the potential to affect or be affected by a floodplain or wetland (see 44 CFR Section 9.7).

Step 2. Notify the public at the earliest possible time of the intent to carry out an action in a floodplain or wetland, and involve the affected and interested public in the decision-making process (see 44 CFR Section 9.8).

Step 3. Identify and evaluate practicable alternatives to locating the proposed action in a floodplain or wetland (including alternative sites, actions, and the “no action” option) (see 44 CFR Section

9.9). If a practicable alternative exists outside the floodplain or wetland, FEMA must locate the action at the alternative site.

Step 4. Identify the potential direct and indirect impacts associated with the occupancy or modification of floodplains and wetlands and the potential direct and indirect support of floodplain and wetland development that could result from the proposed action (see 44 CFR Section 9.10).

Step 5. Minimize the potential adverse impacts and support to or within floodplains and wetlands to be identified under Step 4, restore and preserve the natural and beneficial values served by floodplains, and preserve and enhance the natural and beneficial values served by wetlands (see 44 CFR Section 9.11).

Step 6. Reevaluate the proposed action to determine first, if it is still practicable in light of its exposure to flood hazards, the extent to which it will aggravate the hazards to others, and its potential to disrupt floodplain and wetland values, and second, if alternatives preliminarily rejected at Step 3 are practicable in light of the information gained in Steps 4 and 5. FEMA shall not act in a floodplain or wetland unless it is the only practicable location (see 44 CFR Section 9.9).

Step 7. Prepare and provide the public with a finding and public explanation of any final decision that the floodplain or wetland is the only practicable alternative (see 44 CFR Section 9.12).

Step 8. Review the implementation and post-implementation phases of the proposed action to ensure that the requirements stated in 44 CFR Section 9.11 are fully implemented. Oversight responsibility shall be integrated into existing processes.

Part X. Appendix J: 8-Step Decision Making Process for Floodplain Management Considerations 137

K. Section 106 Process under the National Historic Preservation Act Part X. Appendix K: Section 106 Process under the National Historic Preservation Act 138

Part X. Appendix K: Section 106 Process under the National Historic Preservation Act 139

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

Disaster and Project Number ____________________________________________________________ Project Title: Advance Funding Request

Applicant ___________________________________________________________________________ Federal Information Processing Standard (FIPS) Code ________________________________________ Applicant’s Agent and Contact Information ________________________________________________ ___________________________________________________________________________________ Project Description (Work Scope)
List proposed activities, estimated costs and deliverables. (See Advance Assistance Frequently Asked Questions for list of eligible activities).

Activity Estimated Cost Deliverable

1. 2.

3. (Etc.)
Work Schedule
Following is a schedule of proposed milestones by quarter for all major activities by which the State proposes to monitor progress for Advance Assistance:
1States may apply for up to 25 percent of the estimated total HMGP grant amount or $10 million, whichever is less.

Part X. Appendix L: Application for Advance Assistance 140

Q1 (First Quarter Following Initial Approval)
Activity Milestone Deliverables

1. 2.

3. (Etc.)
Budget Information
Total Estimated Cost (Federal and non-Federal cost) _________________________________________ Total Federal Cost ____________________________________________________________________ Line Item Budget
The State may request that FEMA obligate Advance Assistance funds incrementally, based on when the State needs the funds. Please list the ob ligation schedule by activity below.

Activity
Initial Amount
Requested
Second Amount
Requested
Third Amount
Requested
Total
Requested
1,
2,

3. (Etc.)
Additional Information Section
Provide any relevant information or explanation.

Part X. Appendix L: Application for Advance Assistance 141 City of Gardena Hazard Mitigation Plan C-1

HAZARD ANALYSIS

Hazard identification and ranking s were obtained primarily from the Gardena hazard identification exercise. The hazard identification exercise was conducted as a participatory Steering Committee exercise to identify the potential hazards within the City. The hazard identification exercise was facilitated using an interactive software spreadsheet that asked specific questions on potential hazards and then rated them accordingly. These questions guided the team in the correct facilitation and application of the program. The following information summarizes the hazard identification exercise risk ranking results, including the descriptions of each hazard factor, and provides the specific descriptor choices for each risk factor and description. Additionally, a risk ranking matrix is provided to designate the overall ranking score and categorization of each hazard.

Gardena City CouncilSeptember 12, 2023

Gardena City Council
September 12, 2023