Flood Mitigation Assistance 

(FMA) Program Guidance 

 


 

 

FLOOD MITIGATION ASSISTANCE (FMA) 
PROGRAM GUIDANCE 

 

OVERVIEW V 
SECTION 1 GRANT APPLICATION GUIDANCE.........................................................1 
1.1 PURPOSE.................................................................................................1 
1.1.1 APPLICATION CONSIDERATION UNDER OTHER MITIGATION 
GRANT PROGRAMS...........................................................................1 
1.2 AUTHORIZATION AND APPROPRIATION...............................................1 
1.2.1 AUTHORIZATION................................................................................1 
1.2.2 APPROPRIATION...............................................................................1 
1.3 GRANT PROGRAM ELIGIBILITY..............................................................2 
1.3.1 ELIGIBLE APPLICANTS......................................................................2 
1.3.2 ELIGIBLE SUBAPPLICANTS...............................................................2 
1.3.3 PROGRAM REQUIREMENTS.............................................................3 
1.3.3.1 NATIONAL FLOOD INSURANCE PROGRAM (NFIP)....................3 
1.3.3.2 PRIVACY OF REPETITIVE LOSS DATA.......................................3 
1.3.3.3 NON-DISCRIMINATION.................................................................4 
1.3.3.4 COST-EFFECTIVENESS...............................................................4 
1.3.3.5 GEOCODING MITIGATION PROJECTS........................................4 
1.3.4 PROGRAM RESTRICTIONS...............................................................4 
1.3.4.1 DUPLICATION OF PROGRAMS....................................................4 
1.3.4.2 DUPLICATION OF BENEFITS........................................................5 
1.3.4.3 CONFLICT OF INTEREST.............................................................5 
1.3.4.4 FUNDING LIMITS...........................................................................5 
1.3.4.5 COST OVERRUNS AND COST UNDER-RUNS............................5 
1.3.4.6 PRE-AWARD COSTS.....................................................................5 
1.4 ELIGIBLE ACTIVITIES AND ASSOCIATED COSTS.......................................6 
1.5 INELIGIBLE ACTIVITIES...........................................................................6 
1.6 APPLICATION PROCESS.........................................................................6 
1.6.1 FMA APPLICATION TIMELINE............................................................6 
1.6.2 FEMAS ELECTRONIC GRANTS SYSTEM.........................................7 
1.6.3 APPLICANT REVIEW OF SUBAPPLICATIONS..................................8 
1.6.4 GRANT APPLICATION CHECKLIST...................................................8 
1.7 COST SHARE REQUIREMENTS..............................................................8 
1.7.1 NON-FEDERAL COST SHARE...........................................................8 
1.7.2 COST SHARE DOCUMENTATION......................................................9 
1.8 FEMA REVIEW AND AWARDS................................................................9 
1.8.1 FEMA REVIEW & NATIONAL EVALUATION....................................10 
1.8.2 ELIGIBILITY AND COMPLETENESS REVIEW.................................10 
1.8.3 BENEFIT-COST TECHNICAL REVIEW.............................................10 
1.8.4 NATIONAL EVALUATION..................................................................10 
1.8.4.1 RECONSIDERATION OF NATIONAL EVALUATION RESULTS.11 
1.8.5 FEMA PRE-AWARD ACTIVITIES......................................................12 
1.8.6 AWARDS............................................................................................12 
1.9 PERFORMANCE PERIOD......................................................................12 
1.10 EXTENSIONS..........................................................................................13 
1.11 REPORTING REQUIREMENTS..............................................................14 
1.11.1 FEDERAL CASH TRANSACTION REPORTS...................................14 
1.11.2 FINANCIAL STATUS REPORTS.......................................................14 
1.11.3 PERFORMANCE REPORTS.............................................................14 
1.11.4 FINAL REPORTS...............................................................................15 
1.12 CLOSEOUT.............................................................................................15 
1.13 REGIONAL CONTACT INFORMATION..................................................15 
SECTION 2 APPLICANT TECHNICAL ASSISTANCE...............................................17 
2.1 ELIGIBLE TECHNICAL ASSISTANCE ACTIVITIES................................17 
2.2 PRE-AWARD TECHNICAL ASSISTANCE..............................................17 
2.3 COST SHARE.........................................................................................18 
2.4 APPLICANT TECHNICAL ASSISTANCE CHECKLIST...........................18 
2.5 SELECTION AND AWARD......................................................................18 
2.6 PERFORMANCE PERIOD......................................................................19 
SECTION 3 MITIGATION PLANNING SUBAPPLICATION GUIDANCE...................20 
3.1 ELIGIBLE PLANNING ACTIVITIES.........................................................20 
3.1.1 NEW FLOOD MITIGATION PLAN  SINGLE- OR MULTI-
JURISDICTIONAL..............................................................................21 
3.1.2 COMPREHENSIVE REVIEW AND UPDATE.....................................21 
3.2 INELIGIBLE PLANNING ACTIVITIES AND COSTS................................21 
3.3 MITIGATION PLAN REQUIREMENTS....................................................22 
3.4 SCOPE OF WORK..................................................................................22 
3.5 COST ESTIMATE....................................................................................23 
3.5.1 COST ESTIMATE CHANGES............................................................24 
3.6 PLANNING SUBAPPLICATION CHECKLIST........................................24 
3.7 FEMA PRE-AWARD ACTIVITIES..........................................................25 
SECTION 4 MITIGATION PROJECT SUBAPPLICATION GUIDANCE.....................26 
4.1 ELIGIBLE PROJECT ACTIVITIES...........................................................26 
4.2 INELIGIBLE PROJECT ACTIVITIES AND COSTS.................................27 
4.3 MITIGATION PROJECT REQUIREMENTS............................................28 
4.3.1 PLAN REQUIREMENT.......................................................................28 
4.3.2 FEASIBILITY AND EFFECTIVENESS REQUIREMENT....................28 
4.3.3 ELIGIBILITY CRITERIA......................................................................28 
4.3.4 PROPERTY ACQUISITION AND RELOCATION REQUIREMENTS.29 
4.3.4.1 ELIGIBILITY FOR PROPERTY ACQUISITION PROJECTS:........29 
4.3.4.2 REQUIREMENT TO APPLY DEED RESTRICTIONS...................31 
4.3.4.3 SUBAPPLICATIONS FOR PROPERTY ACQUISITION...............31 
4.3.4.4 PRE-AWARD REQUIREMENTS..................................................33 
4.3.4.5 POST-AWARD REQUIREMENTS................................................33 
4.3.5 FEDERAL INCOME TAX ON MITIGATION PROJECT FUNDS........35 
4.3.6 GEOCODING REQUIREMENTS.......................................................35 
4.3.7 PROJECT MAINTENANCE................................................................35 
4.4 SCOPE OF WORK..................................................................................35 
4.4.1 SCOPE OF WORK DOCUMENTATION............................................36 
4.4.2 SCOPE OF WORK CHANGES..........................................................36 
4.5 COST ESTIMATE....................................................................................36 
4.5.1 COST ESTIMATE DOCUMENTATION..............................................37 
4.5.2 COST ESTIMATE CHANGES............................................................38 
4.6 COST EFFECTIVENESS........................................................................38 
4.6.1 METHODOLOGY...............................................................................39 
4.6.2 COST-EFFECTIVENESS DOCUMENTATION..................................40 
4.7 ENVIRONMENTAL/HISTORIC PRESERVATION REVIEW....................41 
4.7.1 ENVIRONMENTAL/HISTORIC PRESERVATION DOCUMENTATION...........................................................................................................41 
4.7.2 BENEFIT-COST TECHNICAL REVIEW.............................................43 
4.7.3 CONDITIONS FOR THE AWARD OF FUNDS...................................43 
4.8 PROJECT SUBAPPLICATION CHECKLIST...........................................44 
4.9 FEMA PRE-AWARD ACTIVITIES...........................................................45 
4.9.1 PROPERTY ACQUISITION AND RELOCATION REQUIREMENTS.45 
4.9.2 SPECIAL FLOOD HAZARD AREA REQUIREMENTS.......................45 
4.9.3 FLOOD ELEVATION DATA...............................................................46 
4.9.4 GEOCODING REQUIREMENTS.......................................................47 
4.9.5 ENVIRONMENTAL AND HISTORIC PRESERVATION COMPLIANCE 
REQUIREMENTS...............................................................................47 
4.10 UPDATING REPETITIVE LOSS DATABASE FOR MITIGATED 
PROPERTIES..........................................................................................47 
SECTION 5 TECHNICAL ASSISTANCE RESOURCES............................................48 
5.1 EGRANTS HELPDESK...........................................................................48 
5.2 PROJECT TECHNICAL ASSISTANCE...................................................48 
5.2.1 ENGINEERING FEASIBILITY TECHNICAL ASSISTANCE..............48 
5.2.2 BENEFIT-COST ANALYSIS TECHNICAL ASSISTANCE.................49 
5.2.3 ENVIRONMENTAL/HISTORIC PRESERVATION TECHNICAL 
ASSISTANCE.....................................................................................49 
5.2.4 PROJECT TECHNICAL ASSISTANCE HELPLINES.........................50 

FLOOD MITIGATION ASSISTANCE (FMA) PROGRAM 
OVERVIEW 

VIEW 

OVER 

 

FMA PROGRAM 

KEY POINTS 

The FMA priority is to fund flood mitigation activities that reduce or 
eliminate the long-term risk of flood damage to buildings, manufactured 
homes, and other structures insured under the National Flood Insurance 
Program (NFIP). Applications for FMA funds will be accepted until 
March 31, 2008. 

 

The Flood Mitigation Assistance (FMA) grant program provides funding 
to States, Federally-recognized Indian tribal governments, and 
communities so that cost-effective measures are taken to reduce or 
eliminate the long-term risk of flood damage to buildings, manufactured 
homes, and other structures insured under the NFIP. The long-term goal 
of FMA is to reduce or eliminate claims under the NFIP through 
mitigation activities. 

 

APPLICATION CONSIDERATION IN OTHER MITIGATION GRANT 
PROGRAMS: 

FEMA may determine that subapplications submitted under a specific 
grant program and not funded under the requested grant program may be 
considered by another mitigation grant program(s) when the following 
requirement is met: 

.. Applicants must include a statement in their grant application 
under the Comments for FEMA field in eGrants indicating 
their interest to have its subapplications considered for another 
mitigation grant program (specify the additional mitigation grant 
program(s) and corresponding CFDA number(s)). 

FEMA may request additional information from the Applicant. The 
Applicant must provide all requested information within the specified 
timeframe. 

FMA GUIDANCE: 

FMA guidance document and additional 
guidance materials, or Agreement Articles are 
available from the FEMA Regional Office or on 
the FEMA web page: 
http://www.fema.gov/about/divisions/mitigation/
mitigation.shtm 

AVAILABILITY OF FUNDS 

KEY POINTS 

The FMA program is subject to the availability of appropriation 
funding, as well as any directive or restriction made with respect to 
such funds. 

 

FUNDS: 

FMA funding is available for State allocations for Planning, Project, and 
Technical Assistance grants. 

 

ELIGIBLE PROJECT ACTIVITIES: 

.. Acquisitions/Relocations; 

.. Elevations; 

.. Dry Floodproofing of non-residential structures; 
.. Minor Localized Flood Control Projects; 
.. Beach Nourishment Activities; and 
.. Demolition of NFIP-insured structures on acquired or restricted real 
property. 

 

 

 

 

 

ELIGIBLE PLANNING ACTIVITIES: 

Planning activities that develop State, Indian tribal, and local Flood 

INELIGIBLE PROJECT ACTIVITIES: 

.. Major flood control projects; 
.. Dry floodproofing of residential structures; 
.. Mitigation reconstruction; 
.. Phased or partial projects; 
.. Studies that do not result in a completed 
mitigation project; 
.. Flood studies or flood mapping; 
.. Maintenance or repair projects; 
.. Generators, and related equipment; 
.. Warning and alert notification systems; 

.. Response and communication equipment; 

.. Properties that are subject to pending 
litigation; and 
.. Legal procedures related to litigation for an 

 approved application or subapplication. 

 

 

INELIGIBLE PLANNING ACTIVITIES: 

.. Flood studies or flood mapping; 

.. Risk assessments, technical assistance, 
information dissemination or workshops not 
resulting in a FEMA-approved Flood 


Mitigation Plans that meet the planning criteria outlined in 44 CFR Part 
78. 

 

ELIGIBLE TECHNICAL ASSISTANCE ACTIVITIES: 

.. Solicitation, review, and processing of subapplications; 
.. Assistance to subapplicants for engineering feasibility, BCA, and 
Environmental and Historic Preservation documentation; 
.. Geo-coding mitigation projects; 
.. Managing grants; 
.. Technical monitoring; 
.. Plan reviews and planning workshops; 
.. Computer or GIS equipment (up to 15%); and 

.. State FMA Point-of-Contacts salary, and his/her FMA related 
training and travel expenses. 

Cost-share: 

75% Federal/25% non-Federal. Of this amount, not more than one half 
may be provided from in-kind contributions. 

Mitigation Plan; 

.. Ground disturbing activities; and 
.. Non-flood planning activities. 

ELIGIBILITY REQUIREMENTS 

KEY POINTS 

APPLICANT ELIGIBILITY: 

Only the following entities are eligible to apply to FEMA as Applicants: 
State emergency management agencies or a similar office (i.e., the office 
that has primary emergency management or floodplain management 
responsibility) of the State; the District of Columbia; the US Virgin 
Islands; the Commonwealth of Puerto Rico; Guam; American Samoa; 
the Commonwealth of the Northern Mariana Islands; and Federally-
recognized Indian tribal governments. Each State, Territory, or tribal 
government shall designate one agency to serve as the Applicant for the 
FMA program. 

 

SUBAPPLICANT ELIGIBILITY: 

State-level agencies; Federally-recognized Indian tribal governments; 
and local communities (to include State-recognized Indian tribes, 
authorized Indian tribal organizations, and Alaska Native villages) are 
eligible to apply to the Applicant for assistance. Private individuals and 
private non-profit (PNP) organizations are not eligible subapplicants; 
however, a relevant State agency or local community may apply to the 
Applicant for assistance to mitigate private or PNP structures. 

NFIP PARTICIPATION: 

All Applicants and subapplicants must be 
participating in the National Flood Insurance 
Program (NFIP), and must not be on probation, 
suspended or withdrawn from the NFIP. FMA 
funds shall not be awarded for activities in non-
participating communities. Properties in all 
FMA projects must be NFIP insured at the time 
of project application and flood insurance must 
be maintained at least through completion of the 
mitigation activity. 

 

MITIGATION PLAN REQUIREMENT: 

To be eligible for Project grants, an eligible 
subapplicant must develop, and have approved 
by the FEMA Regional Administrator, a Flood 
Mitigation Plan in accordance with 44 CFR Part 
78, at a minimum, by the close of the application 
period. 

APPLICATION PROCESS 

KEY POINTS 

APPLICATION PROCESS: 

FEMA requires Applicants to use the Electronic Grant Management 
System (eGrants). Only FMA grant applications submitted through 
eGrants will be accepted. If a subapplicant does not use the eGrants 
system, the Applicant must enter the subapplicants paper 
subapplication(s) into eGrants on their behalf using the Paper 
subapplication Intake function. Planning and Project subapplications 
that follow the eGrants format are available for subapplicants to print 
from the eGrants website. Applicants may provide paper supporting 
documentation that cannot be electronically attached to the eGrants 
application (e.g., engineering drawings, photos, maps, etc.). FEMA 
must receive the entire application by the application deadline, 
including any hard copy documentation. 

 

BENEFIT-COST ANALYSIS: 

A Benefit-Cost Analysis (BCA) is required for all mitigation project 
subapplications and must be completed by Applicants/subapplicants. A 
BCA will be required for all properties, including substantially damaged 
structures. The pilot alternate determination of cost-effectiveness may 
be used for certain insured NFIP repetitive flood loss properties. 

 

eGRANTS: 

FEMA offers technical assistance regarding the 
eGrants system through the eGrants Helpdesk: 
1-866-476-0544 or mtegrants@dhs.gov 

 

PROJECT TECHNICAL ASSISTANCE HELPLINE: 

Phone: 

(866) 222-3580 

E-mail: 

enghelpline@dhs.gov

bchelpline@dhs.gov

 ehhelpline@dhs.gov


PROJECT TECHNICAL ASSISTANCE: 

Technical assistance for Engineering Feasibility, Benefit-Cost Analysis, 
and Environmental/Historic Preservation compliance is available 
through the FEMA Technical Assistance Helplines. 

 

 

APPLICATION DEADLINES 

KEY POINTS 

APPLICATION TIMELINE: 

Grant applications for FMA program funds must be received in eGrants 
by March 31, 2008, 11:59.59 p.m., Eastern Standard Time. Funds 
will be returned to FEMA Headquarters if any State/Territory does not 
submit applications for the full amount of its Target Allocation by 
March 31, 2008. 

Eligible Applicants are encouraged to submit applications for funds 
in excess of their Target Allocation for Project activities, which will 
then be considered for additional FMA funding. 

APPLICATION DEADLINE: 

The deadline for States, Territories and tribal 
governments to submit grant applications to 
FEMA is March 31, 2008. No applications 
for FMA grants will be accepted after this 
deadline. 

 

 


SECTION 1 GRANT APPLICATION GUIDANCE 

1.1 PURPOSE 

The Flood Mitigation Assistance (FMA) grant program provides funding to States, Federally-
recognized Indian tribal governments, and communities so that cost-effective measures are taken 
to reduce or eliminate the long-term risk of flood damage to buildings, manufactured homes, and 
other structures insured under the National Flood Insurance Program (NFIP). The long-term 
goal of FMA is to reduce or eliminate claims under the NFIP through mitigation activities. Three 
types of grants are available under FMA: Planning, Project, and Technical Assistance. 

 

1.1.1 APPLICATION CONSIDERATION UNDER OTHER MITIGATION 
GRANT PROGRAMS 

FEMA may determine that subapplications submitted under a specific grant program and not 
funded under the requested grant program may be considered by another mitigation grant 
program(s) when the following requirement is met: 

.. Applicants must include a statement in their grant application under the 
Comments for FEMA field in eGrants indicating their interest to have its 
subapplications considered for another mitigation grant program (specify the additional 
mitigation grant program(s) and corresponding CFDA number(s)). 

FEMA may request additional information from the Applicant. The Applicant must provide 
all requested information within the specified timeframe. Examples of other mitigation 
assistance programs include the Pre-Disaster Mitigation Program (PDM) and the Repetitive 
Flood Claims (RFC) Program. This option is not available under the Severe Repetitive 
Loss (SRL) Program. 

 

1.2 AUTHORIZATION AND APPROPRIATION 

 

The FMA program is subject to the availability of appropriation funding, as well as any 
directive or restriction made with respect to such funds. 

 

1.2.1 AUTHORIZATION 

The FMA grant program was created pursuant to Section 1366 of the National Flood 
Insurance Act of 1968 (NFIA, or the Act), 42 USC 4104c, as amended by the National 
Flood Insurance Reform Act of 1994 (NFIRA), Public Law 103-325, and the Bunning-
Bereuter-Blumenauer Flood Insurance Reform Act of 2004, Public Law 108-264, with the 
goal of reducing or eliminating claims under the NFIP. FMA regulations are in 44 Code of 
Federal Regulations (CFR) Part 78. The Catalog of Federal Domestic Assistance (CFDA) 
number is 97.029. 

 

1.2.2 APPROPRIATION 

The primary funding source for the National Flood Mitigation Fund (NFMF) is the National 
Flood Insurance Fund (NFIF). The FMA program is subject to the availability of 


appropriation funding and is dependent upon the amount available for transfer from the 
NFIF through offset collections assessed and collected under the NFIP. FEMA will notify 
States and Territories of their Target Allocations, and will post the total amount of available 
funds on the FEMA website at http://www.fema.gov/government/grant/fma/index.shtm. The 
allocation formula provides $110,000 base allocations to each State with surplus amounts 
allocated based on the total number of NFIP insurance policies and the total number of 
repetitive loss properties within each State/Territory. Repetitive Loss Properties are defined 
under the NFIP as any property for which two or more flood insurance claims have been 
paid for more than $1,000 within any rolling 10-year period since January 1, 1979. 

 

1.3 GRANT PROGRAM ELIGIBILITY 

 

1.3.1 ELIGIBLE APPLICANTS 

Only the following entities are eligible to apply to FEMA for assistance: State emergency 
management agencies or a similar office (i.e., the office that has primary emergency 
management or floodplain management responsibility) of the State; the District of Columbia; 
the US Virgin Islands; the Commonwealth of Puerto Rico; Guam; American Samoa; the 
Commonwealth of the Northern Mariana Islands; and Federally-recognized Indian tribal 
governments. Each State, Territory, or Tribal government shall designate one agency to 
serve as the Applicant for the FMA program. If an agency is not designated for any of these 
entities, a local community may apply directly to FEMA for assistance as specified under 44 
CFR Part 78, Alternative Procedures. 

 

Consistent with FEMA policy and 44 CFR, Government-to-Government Relations with 
American Indian and Alaska Native Tribal Governments, published in the January 12, 1999, 
issue of the Federal Register, Federally-recognized Indian tribal governments may choose to 
apply for FMA grants either through the State as a subapplicant or directly to FEMA as an 
Applicant. This choice is independent of a designation under other FEMA grants and 
programs. Some State regulations prohibit the State from acting as an Applicant for an 
Indian tribe. In such cases, or if the Indian tribe chooses, the tribal government may act as an 
Applicant. If awarded, the tribal government therefore assumes the full responsibilities of a 
Grantee for the purposes of administering the grant. FEMA has determined that the unique 
status of Federally-recognized Indian tribal governments justifies providing this option to 
apply directly to FEMA. However, when legally permitted, tribal governments are 
encouraged to continue existing relationships with the State. 

 

1.3.2 ELIGIBLE SUBAPPLICANTS 

The following entities are eligible to apply to the Applicant for assistance: 

.. State-level agencies; 
.. Federally-recognized Indian tribal governments including State-recognized Indian tribes, 
authorized Indian tribal organizations, and Alaska Native villages; and 
.. Local communities. 

Certain non-participating political subdivisions (e.g., Councils of Governments, Regional 
Planning Commissions, or County governments) may apply and act as subgrantee 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. Only those NFIP-participating communities or Federally-
recognized Indian tribal governments that are not suspended or withdrawn from the NFIP are 
eligible to receive FMA grant funds. Private non-profit (PNP) organizations and individuals 
are not eligible subapplicants; however, a relevant State agency or local community may 
apply to the Applicant for assistance to mitigate privately-owned or PNP-owned properties. 

 

1.3.3 PROGRAM REQUIREMENTS 

 

1.3.3.1 NATIONAL FLOOD INSURANCE PROGRAM (NFIP) 

All subapplicants must be participating in the NFIP, and must not be on probation, 
suspended, or withdrawn from the NFIP, to be eligible to apply for FMA funds and to act 
as subgrantee. Certain non-participating political subdivisions (e.g., Councils of 
Governments, Regional Planning Commissions, or County governments, etc.) may apply 
and act as subgrantee 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. 

 

FMA funds shall not be used to support Planning measures, Project activities, or 
Technical Assistance for communities that are not participating in the NFIP. In addition, 
FMA funds awarded for multi-jurisdictional Planning subapplications or Project 
subapplications may only be used for activities within jurisdictions that are participating 
in the NFIP and not on probation, suspended, or withdrawn from the NFIP. 

 

Properties in all FMA projects must be NFIP insured at the time of project application 
and flood insurance must be maintained at least through completion of the mitigation 
activity or, for acquisition projects, until the transfer of ownership. For structures that 
remain in the SFHA, flood insurance must be maintained for the life of the structure. 
Minor physical flood mitigation projects that reduce localized flooding problems must 
reduce or eliminate the risk of flood damage to buildings, manufactured homes, and other 
structures insured under the NFIP (See Section 4.3, Mitigation Project Requirements). 

 

1.3.3.2 PRIVACY OF REPETITIVE LOSS DATA 

State NFIP Coordinators may access a version of BureauNet called Data Exchange. In 
addition, the State Hazard Mitigation Officer and other approved State staff, may access 
an internet portal called Simple Quick Access (SQANet) developed as part of the FEMA 
NextGen project. Both of these data systems now allow the State to access and download 
current claims, policy and repetitive loss data. However, communities cannot access 
either of these systems and it is the responsibility of State or FEMA Regional staff to 
provide claims, policy and repetitive loss property information to the communities. 
States may access this sensitive data and may provide it directly to community 
governments on the basis of their status as an approved category of users. Use of the data 
by this approved category of users is limited to mitigation planning, research, analysis, 
and feasibility studies consistent with the NFIP and uses that further the floodplain 
management and hazard mitigation goals of the States and FEMA. These uses are 
authorized pursuant to notices published in the Federal Register, most recently on 
January 23, 2002. State staff wishing to gain access to sensitive NFIP data may request a 


login ID and Password for SQANet by visiting http://www.nfipnextgen.com and then 
clicking on the SQANet Pilot link and then selecting the click here to sign up option. 

 

When BureauNet and SQANet records are accessed by States, they are advised of the 
sensitive nature of the information and the need to protect the release of the data to 
unauthorized users. When the data is released to a community by either the State or the 
FEMA Regions, the recipient 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 and that the records are 
protected pursuant to the Privacy Act of 1974 (5 USC 552a). Records must not be 
publicly disclosed. FEMA shares this information at its discretion and may choose not to 
provide this information in the future to States or communities if it finds unauthorized 
uses of this information have been made. 

 

1.3.3.3 NON-DISCRIMINATION 

Like other FEMA mitigation programs, the FMA program must be administered in an 
equitable and impartial manner, without discrimination on the grounds of race, color, 
religion, nationality, sex, age, economic status, disability, or language. The FMA 
program complies with Section 308 of the Stafford Act and Title VI of the 1964 Civil 
Rights Act. All Applicants/Grantees must comply with Title VI, including State and 
local governments distributing Federal assistance. 

 

In implementing the FMA program, Applicants and subapplicants will ensure that no 
discrimination is practiced. Applicants must consider fairness, equity, and equal access 
when prioritizing and selecting subapplications to submit with their FMA application. 
Subapplicants must ensure fairness and equal access to homeowners and individuals that 
benefit from grant activities. 

 

1.3.3.4 COST-EFFECTIVENESS 

Project subapplications must demonstrate cost-effectiveness through a BCR of 1.0 or 
greater (See Section 4.6, Cost Effectiveness). 

 

1.3.3.5 GEOCODING MITIGATION PROJECTS 

The location of all approved mitigation projects funded by the FMA program must be 
geocoded using standard datum prior to award (See Section 4.9, FEMA Pre-award 
Activities). The guidance for Geocoding Mitigation Data is available online from the 
FEMA Information Resources Library: 
http://www.fema.gov/library/viewRecord.do?id=1849 and from the FEMA Regional 
Office. 

 

1.3.4 PROGRAM RESTRICTIONS 

 

1.3.4.1 DUPLICATION OF PROGRAMS 

FEMA will not provide assistance under the FMA program for activities that it 
determines another Federal program has a more specific or primary authority to provide. 


FEMA also will not provide assistance for the Applicant or subapplicants legal 
obligations. FEMA may disallow or recoup amounts that duplicate other authorities. 

 

1.3.4.2 DUPLICATION OF BENEFITS 

FMA grants may not duplicate benefits received by, or available to, the Applicant or 
subapplicant from a participating persons or entitys insurance, other assistance 
programs, legal awards, or any other resource to address the same purpose. An Applicant 
must notify FEMA of all benefits that are received or anticipated by the Applicant or 
subapplicant from other sources for the same purpose, and Applicants and subapplicants 
must seek all such benefits available to them. FEMA will reduce the FMA grant by the 
amounts available for the same purpose from another source. 

 

If FEMA provides assistance under this program when other benefits are available, the 
Grantee will be liable to FEMA for any duplicative amounts that are received from other 
sources, and must reimburse FEMA for such amounts. 

 

1.3.4.3 CONFLICT OF INTEREST 

Applicants and subapplicants must avoid conflicts of interest and subapplicants must 
comply with the procurement guidelines identified in 44 CFR Part 13.36. Among other 
requirements, 44 CFR Part 13.36 urges subapplicants to avoid situations where local 
officials with oversight authority might benefit financially from the grant disbursement. 
Applicants must comply with guidelines for awarding and administering subgrants as 
specified under 44 CFR Part 13.37. 

 

1.3.4.4 FUNDING LIMITS 

FEMA distributes FMA funds to States that, in turn, provide funds to communities. The 
State serves as the Grantee and program administrator for the FMA. 

 

The total amount of FMA project grant funds provided during any 5-year period will not 
exceed $10,000,000 to any State agency(s) or $3,300,000 to any community. The total 
amount of project grant funds provided to any State, including all communities located in 
the State will not exceed $20,000,000 during any 5-year period. The Administrator may 
waive the limits of this subsection for any 5-year period when a major disaster or 
emergency is declared pursuant to the Robert T. Stafford Disaster Relief and Emergency 
Assistance Act for flood conditions. 

 

1.3.4.5 COST OVERRUNS AND COST UNDER-RUNS 

FEMA will generally not consider an Applicants request for additional FMA funds to 
pay for overruns incurred after an FMA grant is awarded. However, Grantees may use 
cost under-runs (i.e., unexpended funds) remaining after the expiration of the 
performance period for a given subgrant to pay for cost overruns incurred under another 
subgrant funded and included in the same grant award. 

 

1.3.4.6 PRE-AWARD COSTS 

Eligible project costs incurred prior to the grant award, but after the FMA application 
period has opened, are identified as pre-award project costs. FEMA may allow pre-
award project costs at its discretion and as funds are available. Applicants and 


subapplicants may be reimbursed for pre-award costs incurred after the publication of 
the FMA Guidance for activities directly related to the development of the project 
proposal. Activities may include, but are not limited to, development of the BCA and 
Environmental/Historic preservation data and documentation and engineering design. 
Pre-award project costs must be identified as separate line items in the Cost Estimate for 
the project subapplication. Pre-award project costs associated with implementation of the 
project started prior to award will not be eligible. 

 

In lieu of requesting pre-award costs, Applicants and subapplicants may submit eligible 
costs incurred prior to award but after the FMA application period has opened as their 
non-Federal cost share. 

 

1.4 ELIGIBLE ACTIVITIES AND ASSOCIATED COSTS 

Mitigation plans and projects must be long-term, feasible, and meet all requirements referenced 
in the FMA Guidance. Projects also must demonstrate cost-effectiveness. 

 

The following are eligible activities for the FMA program: 

.. Mitigation planning activities (See Section 3, Mitigation Planning Subapplication Guidance); 
.. Mitigation project activities (See Section 4, Mitigation Project Subapplication Guidance); 
and 
.. Applicant technical assistance (See Section 2, Applicant Technical Assistance). 

1.5 INELIGIBLE ACTIVITIES 

FMA Planning, Project and Technical Assistance applications must meet all requirements 
referenced in the FMA Guidance, as well as 44 CFR Part 78. Specific ineligible mitigation 
planning activities are listed in Section 3.2, Ineligible Planning Activities and Costs. Ineligible 
project activities are listed in Section 4.2, Ineligible Project Activities and Costs. 

 

1.6 APPLICATION PROCESS 

 

1.6.1 FMA APPLICATION TIMELINE 

Eligible Applicants will receive notice of their State/Territory Target Allocations with the 
issuance of this Guidance. Grant applications for FMA funds must be received in eGrants by 
March 31, 2008, 11:59.59 p.m., Eastern Standard Time. 

 

Any eligible Applicant may submit subapplications for funds in excess of their Target 
Allocation. After the application deadline, FEMA will commit funds to eligible Applicants 
against State Target Allocations. All remaining funds will be returned to FEMA 
Headquarters for consideration under a National Evaluation (See Section 1.8.4, National 
Evaluation). No applications will be accepted (i.e., either for Target Allocations or in 
excess of Target Allocations) after the application deadline. 

 

FEMA recognizes this timeline for FMA applications is more aggressive than in past years. 
Applicants should be advised to adjust their application solicitation, development, review, 
approval, and submission timelines accordingly. Subapplicants should consult the official 


designated point of contact in their State, Territory, or Indian tribe for more information 
regarding the application process. States, Territories, or Indian tribes may establish an earlier 
deadline for subapplications in order to allow time to review and prioritize them and to enter 
grant applications into eGrants. 

 

1.6.2 FEMAS ELECTRONIC GRANTS SYSTEM 

Applicants must use FEMAs web-based Electronic Grants Management System (eGrants), 
accessible on the Internet at https://portal.fema.gov, to submit their FMA applications. 
Because of differing performance periods for each grant type, Applicants must submit 
separate applications in eGrants for Planning, Project, and Technical Assistance grants. Only 
FMA grant applications submitted through eGrants will be accepted. 

 

The electronic process replaces the paper-based process by electronically transmitting the 
subapplicants Planning or Project subapplication to the Applicant for review. The Applicant 
may electronically attach the subapplication to the overall State/Territory grant application 
for submission to FEMA. FEMA uses the eGrants system to monitor ongoing performance, 
manage the flow of Federal funds, and close out the grant award when all work is completed. 

 

If a subapplicant does not use eGrants, the Applicant must enter the subapplicants paper 
subapplication into eGrants on their behalf using the Paper Subapplication Intake function 
Planning and Project subapplications that follow the eGrants format are available for 
subapplicants to print from the eGrants website. 

 

FEMA has developed the eGrants system to meet the intent of the e-Government initiative 
authorized by Public Law 106107, passed on November 20, 1999. This initiative requires 
that all government agencies both streamline the grant application processes and provide the 
means to electronically create, review, and submit a grant application via the Internet. Use of 
the eGrants system will expedite FEMAs review and evaluation of applications for the FMA 
program. 

 

FEMAs eGrants system incorporates all elements of the FMA application in a user-friendly 
format for both Applicants and subapplicants. The eGrants system provides a web-based 
auto-fill format for all of the required Federal Forms and all of the necessary information 
required for a complete grant application, including the Application for Federal Assistance, 
Standard Form (SF) 424; Budget Information  Non-Construction Program, FEMA Form 
(FF) 20-20; Summary Sheet for Assurances and Certification, FF 20-16; Assurances  Non 
Construction Program, FF 20-16A; Assurances-Construction Programs, FEMA Form 20-
16B; Certification Regarding Lobbying, Debarment, Suspension and other Responsible 
Matters; and Drug-Free Workplace Requirements, FF 20-16C; Disclosure of Lobbying 
Activities, SF LLL; and subapplications identifying the activities for which FMA Planning, 
Project, or Technical Assistance funding is requested. 

 

Applicants shall provide a hard copy of any supporting documentation that cannot be 
electronically attached to the eGrants application (e.g., engineering drawings, photos) to the 
appropriate FEMA Regional Office. However, FEMA must receive the entire application 
by the application deadline, including any hard copy documentation. 

 


1.6.3 APPLICANT REVIEW OF SUBAPPLICATIONS 

Applicants should review all project sub-applications for eligibility, completeness, and 
consistency with the Applicants State Standard/Enhanced hazard mitigation plan (See 
Section 4.3, Mitigation Project Requirements) prior to inclusion in the grant application. 

 

1.6.4 GRANT APPLICATION CHECKLIST 

Applicants must provide the following in their FMA grant application in order to be eligible 
for consideration: 

.. Applicant Information: Provide name, Grant type, and State of the Applicant, State and 
Federal tax numbers, Federal Employer Identification Number, DUNS number. Indicate 
whether the Applicant has a Smartlink account, whether the application is subject to 
review by the Executive Order 12372 process, (select Program is not covered by E.O. 
12372 in eGrants), and whether the Applicant is delinquent on any Federal debt; 
.. Contact Information: Provide the name, agency, and address for the point of contact 
for the grant application; 
.. Subgrant Applications: Include the total number of subapplications for eligible project 
activities that the Applicant has reviewed and approved in eGrants (See 
http://www.fema.gov/government/grant/egrants.shtm). A separate Technical Assistance 
subapplication must be submitted for Applicant Technical Assistances; 
.. Schedule: Provide the title of the grant application and the overall projected 
performance period for the grant, and ensure that the work schedule for each 
subapplication included with the grant application is appropriate, Section 3.4, Scope of 
Work; 
.. Budget: Ensure that the requested Cost Estimate for each subapplication is acceptable 
and provide the grant budget class for each item. Provide an Approved Indirect Cost 
Agreement, if applicable; 
.. Properties: Ensure that all of the properties in each project subapplication are included 
and eligible for funding, if applicable; and 
.. Assurance and Certifications: Complete the Assurances. Non-Construction Programs, 
FEMA Form 20-16A, if applicable; Certification Regarding Lobbying; Assurances-
Construction Programs, FEMA Form 20-16B; Debarment, Suspension and Other 
Responsible Matters; and Drug-Free Workplace Requirements, FEMA Form 20-16C; and 
Disclosure of Lobbying Activities, Standard Form LLL, if applicable. 

1.7 COST SHARE REQUIREMENTS 

FEMA may contribute up to 75% of the total amount approved under the grant award to 
implement approved activities. At least 25% of the total eligible costs must be provided from a 
Non-Federal source; of this amount, not more than one half will be provided from in-kind 
contributions. 

 

1.7.1 NON-FEDERAL COST SHARE 

The non-Federal cost share must be in direct support of the approved activities and must be 
an eligible cost for FMA funding. Of the total non-Federal share, not more than one-half 
may be provided from in-kind contributions. In lieu of requesting pre-award costs, 


Applicants and subapplicants may submit eligible costs incurred prior to award, but after the 
FMA application period has opened, as their non-Federal cost share. 

 

FMA funds retain their Federal identity and cannot be used as cost share for another 
Federally funded activity. In addition, non-Federal cost share funds for the FMA program 
cannot be used as cost share for other Federal grant programs. In general, the non-Federal 
cost share may not include funds from other Federal agencies, except for Federal funds that 
have authorizing statutes that explicitly allow the funds to be used as a cost share for other 
Federal grants. Examples include: 

.. Department of Housing and Urban Development Community Development Block Grant 
(CDBG) monies may be used as cost share for property acquisition projects as long as the 
projects are eligible under the CDBG program; 
.. The US Small Business Administration loan funds and the US Department of 
Agricultures Farm Service Agency loan funds, which lose their Federal identity once the 
loan is approved, may be used as a cost share; 
.. Indian Health Services funds may be used as cost share for FMA funds as long as the 
mitigation activity contributes to the purposes for which grantsare made under the 
Indian Health Services statute; 
.. Bureau of Indian Affairs funds may be used as cost share; 
.. Appalachian Regional Commission funds may be used as cost share, per Section 
302(a)(3) of the Appalachian Regional Development Act of 1965; 
.. Funds derived from Title III of the Secure Rural Schools Act (P.L. 106-393) may be used 
as cost share, so long as the use also is consistent with the purposes of that Act; and 
.. The NFIP Increased Cost of Compliance (ICC) claim payment from previous flood 
events may be used to meet the non-Federal cost share requirements, to the extent that the 
period for making such a claim remains open. 

1.7.2 COST SHARE DOCUMENTATION 

Requirements for in-kind contributions can be found in 44 CFR Part 13.24, including the 
requirement that this documentation is to be held in the Applicant and subapplicant records. 
In-kind contributions must be comprised of eligible program costs. The following 
documentation is required for third-party cash and in-kind contributions: 

.. Record of donor; 
.. Dates of donation; 
.. Rates for staffing, equipment or usage, supplies, etc.; 
.. Amounts of donation; and 
.. Deposit slips for cash contributions. 

1.8 FEMA REVIEW AND AWARDS 

 


1.8.1 FEMA REVIEW & NATIONAL EVALUATION 

After the application deadline, FEMA will review all subapplications to ensure eligibility and 
completeness (See Section 3.1, Eligible Planning Activities, Section 4.1, Eligible Project 
Activities and Associated Costs, and Section 2.1. Eligible Technical Assistance Activities). 
FEMA will commit funds to eligible Applicants against State target allocations. FEMA 
Headquarters will then receive and review, in cooperation with FEMA Regional Offices in 
the form of a National Evaluation Panel, eligible subapplications submitted in excess of 
Target Allocations. A specified date for this National evaluation will be set based on nature 
and amount of potential reallocations. The remaining funds will be awarded to activities that 
are in the best interest of the National Flood Insurance Fund (NFIF) as demonstrated by a 
FEMA validated BCR. 

 

1.8.2 ELIGIBILITY AND COMPLETENESS REVIEW 

FEMA will review all project subapplications to ensure the following criteria are met. 
Project subapplications that do not satisfy the Eligibility and Completeness requirements will 
not be considered under the FMA program. Comments may be provided by the Regional 
Office so that Applicants and/or subapplicants can modify their subapplication for future use. 

.. Eligibility of the Applicants/subapplicants; 
.. Eligibility of proposed activities and properties; 
.. Completeness of SOW; 
.. Completeness of the Cost Estimate documentation and consistency with the SOW; 
.. State/tribal planning requirements are met, and consistency of mitigation projects with 
the Applicants State/tribal hazard mitigation plan and local/tribal hazard mitigation plan; 
.. Feasibility and effectiveness of mitigation projects including complete supporting 
documentation; 
.. Benefit-cost ratio of 1.0 or greater for the proposed mitigation project; and 
.. Supporting documentation and inclusion of appropriate environmental mitigation 
measures and historic property treatment measures in the Cost Estimate. Also, 
verification that property owners have been notified of the potential historic significance 
of their FMA property if required. 

1.8.3 BENEFIT-COST TECHNICAL REVIEW 

FEMA will verify the BCAs for proposed FMA mitigation projects to ensure that projects 
have a BCR of 1.0 or greater. Project subapplications with a BCR of less than 1.0 may be 
removed from consideration. 

 

The benefit-cost review will be based on the documentation provided in the project 
subapplication. Projects where the BCA is inadequately documented or where critical data or 
sources appear unreasonable may be removed from consideration. 

 

1.8.4 NATIONAL EVALUATION 

In the event of a National Evaluation for FMA, National panels chaired by FEMA and 
composed of representatives from FEMA Headquarters and Regions will convene to evaluate 
the mitigation project subapplications. Evaluators will score subapplications based on 


predetermined qualitative factors (see table below) to calculate a National Evaluation Score 
for each subapplication. 

 

FEMA will ensure that panel evaluations are conducted consistently and fairly with no 
conflicts of interest. All mitigation project subapplications will be granted equal 
consideration during the National Evaluation. Applicant Technical Assistance 
subapplications will not be scored but will be awarded based on project subapplications 
awarded for each Applicant. After the National Evaluation is completed, all subapplications 
will be sorted in descending order based on the National Evaluation Scores. 

 

FY 2008 FMA NATIONAL EVALUATION CRITERIA 

RELATIVE WEIGHT IN FINAL SCORING 

Strategy for and identification of appropriate and 
useful performance measures to assure the success of 
the proposed mitigation activity 

35% 

Sufficient staff and resources for implementation of 
the proposed mitigation planning process or proposed 
mitigation project 

18% 

Project sub-application demonstrates that the 
proposed mitigation activity reduces the overall risks 
to the population and structures 

25% 

Durability of the financial and social benefits that will 
be achieved through the proposed mitigation project 

20% 

Protection of critical facilities 

2% 

TOTAL POINT VALUES 

100% 

 

 

 

 

 

1.8.4.1 RECONSIDERATION OF NATIONAL EVALUATION RESULTS 

At its discretion, FEMA may review a decision regarding a planning or project 
subapplication that does not meet FMA requirements only where there is an indication of 
material, technical, or procedural error that may have influenced FEMAs decision. As 
FMA grants during National Evaluation are awarded on a competitive basis, FEMA will 
not consider new information provided in the request for reconsideration. FEMA 
encourages Applicants to incorporate any new information into applications for future 
grant cycles. There will be no reconsideration regarding the amount of Applicant 
Technical Assistance (See Section 2, Applicant Technical Assistances). In addition, 
Applicants who are not awarded any FMA funds may not receive reimbursement for 
technical assistances. 

 

Applicants must send requests for reconsideration based upon material, technical, or 
procedural error to the FEMA Regional Administrator within 60 calendar days from the 
date of the FEMA notification letter to the Applicant. The Regional Administrator will 
analyze the reconsideration request and make a recommendation to the Assistant 
Administrator of the Mitigation Directorate at Headquarters or his designee. FEMAs 
decision to uphold or overturn a decision regarding a subapplication that does not meet 
FMA requirements is final. 

 

A small percentage of funds will be set aside to fund additional planning and project 


subapplications after reconsideration requests have been analyzed. FEMA may convene 
a panel to determine the National Evaluation Score, if necessary, for any subapplications 
that FEMA overturns a decision. Overturned subapplications and the remaining eligible 
planning and project subapplications will be sorted by National Evaluation Score, and the 
highest scored subapplications will be selected for further review up to the amount of 
funds available. Remaining funds may be used to fund additional eligible 
subapplications on the waiting list or returned to the National FMA Fund for use in the 
next grant cycle. 

 
1.8.5 FEMA PRE-AWARD ACTIVITIES 
FEMA Regional Offices will notify and work with Applicants who have subapplications 
selected for further review to implement required pre-award activities. These activities may 
include but are not limited to environmental and historic preservation review, verification of 
Applicant and subapplicant commitments, and an understanding of grant terms. In addition, 
FEMA will ensure that the Applicant has met all reporting requirements for FEMA-State 
grant awards currently in progress: 

.. FEMA may, at its discretion, request information or documentation from Applicants to 
support certain project subapplications as part of pre-award activities. Applicants must 
respond to requests for information from the FEMA Regional Office within the 
timeframe specified by the region; 

.. Applicants with project subapplications selected for further review will be notified of the 
date by which all pre-award activities must be completed; and 

.. FEMA will complete the Environmental/Historic Preservation review for projects 
selected for further review as part of pre-award activities. Funds will not be awarded 
and the Applicant /subapplicant may not initiate the project until FEMA has 
completed its review. Additional compliance information for the 
Environmental/Historic Preservation review is available at: 
http://www.fema.gov/plan/ehp/ehp-applicant-help.shtm. 

1.8.6 AWARDS 

Regional Offices will provide an award package to Applicants for approved subapplications 
once pre-award activities are completed. The award package must be signed by the 
Applicant and returned to FEMA before funds can be awarded. The Applicant must agree 
to abide by the grant award terms and conditions as set forth in this Guidance and in 
the FMA Agreement Articles available on FEMAs FMA web page: 
http://www.fema.gov/government/grant/fma/fma_fy07_articles.shtm or from the FEMA 
Regional Offices. 

 

1.9 PERFORMANCE PERIOD 

The performance period is the period of time during which the Grantee is expected to complete 
the grant activities and to incur and expend funds approved for the FMA grant. The performance 
period for the grant shall begin on the date that the grant is awarded and end on the last day of 
the performance period of the longest subgrant awarded to the Grantee. The performance period 
is specified in the FMA Agreement Articles, available on FEMAs FMA web page: 
http://www.fema.gov/government/grant/fma/fma_fy08_articles.shtm or from the FEMA 
Regional Offices. 


 

Performance periods for subgrants begin on the date that the subgrant is awarded to the Grantee 
by FEMA. A performance period is assigned to every subgrant and the Grantee is responsible to 
monitor progress of each subgrant to ensure timely progress and closeout. Requests for 
extensions to the performance period will be considered but will not be approved automatically. 

 

Performance periods for FMA Planning subgrants are limited by statute to a period not to exceed 
three years. Planning subapplications that exceed three years will not be approved for FMA 
funding (See 44 CFR Part 78). Mitigation Plans shall be reviewed, adopted, and FEMA-
approved before the end of the performance period (See Section 3.3, Mitigation Plan 
Requirements). Performance periods for FMA project subgrants are limited to a performance 
period not to exceed three years. Project subapplications that propose a work schedule in excess 
of three years will not be accepted. 

 

The Grantee has up to 90 days following the expiration of the performance period to liquidate 
valid expenditures incurred during the performance period. Cost under-runs remaining after the 
performance period expiration date must be reported to FEMA for de-obligation. 

 
1.10 EXTENSIONS 
Requests for extensions to the performance period will be considered but will not be approved 
automatically. In accordance with FEMAs Financial and Acquisition Management Division 
Extension Policy, the Regional Office may extend the performance period up to one year. 
Requests for a period of performance extension must be submitted in writing to the Regional 
Administrator and must be supported by adequate justification in order to be processed. This 
justification is a written explanation of the reason or reasons for an extension and must 
demonstrate that work is in progress and will be completed within the extended period of 
performance. The justification must address the following areas to enable the review of 
extension request: 
.. Submission Date: The request must be submitted at least 60 calendar days prior to the 
expiration date of the performance period; 
.. Reason for Delay: Identify the status of the activity, including the original approved period 
of performance, and give a brief description for the delay (i.e., weather conditions); 
.. Budget: Identify the remaining funds, both FEMA share and cost share match, available for 
the extended period and outline how the funds will be used. Identify sources of additional 
funding if remaining FEMA funds and cost share will not support the extension request; 

.. Plan for Completion: Identify the objectives necessary to complete the activity, completion 
date for each objective, and list the position/person responsible for oversight of completion of 
the activity; 

.. Completion Date: Identify the projected completion date (new period of performance end 
date) for the activity; and 

.. No change of scope: Provide a certification that the activity will be completed within the 
extended period without any modification to the original Scope of Work approved by FEMA. 

If a second performance period extension becomes necessary, then the Grantee must submit an 
additional formal written request to the FEMA Regional Administrator. As with the first request, 


the second extension request must be made at least 60 calendar days prior to the expiration of 
the period of performance and must include a justification for the extension that addresses the 
items noted above. The Regional Office will make a recommendation and submit the second 
request to the Senior Procurement Executive at FEMA Headquarters, who will review the 
request in coordination with the Headquarters Mitigation Directorate. 

 

Should any subgrant performance period be extended past the grant performance period, the 
grant performance period would be extended as well. This grant extension would be established 
so that all completed subgrants are closed out within their individual performance periods. The 
total extended period of performance for planning subgrants shall not exceed three years. The 
total extended period of performance for project subgrants shall not exceed five years. 

 

1.11 REPORTING REQUIREMENTS 

The following reports are required from Grantees: 

 

1.11.1 FEDERAL CASH TRANSACTION REPORTS 

If the Grantee uses the Department of Health and Human Services (DHHS), Division of 
Payment Management, Payment Management System-SMARTLINK, the Grantee shall 
submit to FEMA a copy of the SF 272, Federal Cash Transaction Report submitted to the 
Department of Health and Human Services (DHHS).

 

1.11.2 FINANCIAL STATUS REPORTS 

The Grantee shall submit Financial Status Reports, FF 20-10, to the FEMA Regional Office 
within 30 days from the end of the first Federal quarter following the initial grant award. The 
Regional Administrator may waive the initial report. The Grantee shall submit Quarterly 
Financial Status Reports thereafter until the grant ends. Reports are due on January 30, April 
30, July 30, and October 30. 

 

Quarterly Financial Status Reports will be available for completion using the eGrants system. 
Financial reports must include the activity name or other identification, expenditures, and 
payment-to-date information (reference 44 CFR Part 13.40, Monitoring and Reporting for 
additional information). 

 

The Regional Administrator may suspend drawdowns from the HHS/Payment Management 
System-SMARTLINK if quarterly financial reports are not submitted on time. 

 
1.11.3 PERFORMANCE REPORTS 
The Grantee shall submit performance reports for each grant award to the FEMA Regional 
Office within 30 days from the end of the first Federal quarter following the initial grant 
award. The Regional Administrator may waive the initial report. The Grantee shall submit 
quarterly performance reports thereafter until the grant ends. Reports are due on January 30, 
April 30, July 30, and October 30. Quarterly Performance Reports will be available for 
completion using the eGrants system. Performance reports must include the activity name or 
other identification as well as information to: 

.. Describe significant activities and developments that have occurred that show progress 
during the quarter, including a comparison of actual accomplishments to the work 
schedule objectives established in the subapplication; 


.. Indicate whether completion of work is anticipated within the performance period. If not, 
describe any problems, delays, or adverse conditions that will impair the ability to meet 
the stated objectives in the subapplication; and 

.. Indicate whether cost under-run/cost overrun, change of scope request, or request for 
extension of performance period are anticipated. 

1.11.4 FINAL REPORTS 

The Grantee shall submit a Final Financial Status Report and Performance Report within 90 
days from Grant Award Performance Period expiration date as required under 44 CFR Part 
13.50. Final Financial and Performance Reports must be submitted using the eGrants 
system. 

 

1.12 CLOSEOUT 

The Grantee has up to 90 days following the expiration of the grant performance period to 
liquidate valid expenditures incurred during the performance period. Cost under-runs remaining 
after the performance period expiration date must be reported to FEMA for de-obligation. 

 

1.13 REGIONAL CONTACT INFORMATION 

Contact information for FEMA Regional Offices is provided on the FEMA website: 
http://www.fema.gov/about/contact/regions.shtm and also is listed here for your information. 

 

FEMA Region I - Serving Connecticut, Maine, Massachusetts, New Hampshire, Rhode 
Island, and Vermont: 99 High Street, 6th Floor, Boston, MA 02110-2356. (617) 956-7506 

 

FEMA Region II - Serving New York, New Jersey, Puerto Rico, and the US Virgin Islands: 
26 Federal Plaza, Suite 1337, New York, NY 10278-0001. (212) 680-3600 

 

FEMA Region III - Serving the District of Columbia, Delaware, Maryland, Pennsylvania, 
Virginia, and West Virginia: 615 Chestnut Street, One Independence Mall, Sixth Floor, 
Philadelphia, PA 19106-4404. (215) 931-5608 

 

FEMA Region IV - Serving Alabama, Florida, Georgia, Kentucky, Mississippi, North 
Carolina, South Carolina, and Tennessee: 3003 Chamblee Tucker Road, Atlanta, GA 30341-
4112. (770) 220-5200 

 

FEMA Region V - Serving Illinois, Indiana, Michigan, Minnesota, Ohio, and Wisconsin: 
536 South Clark Street, 6th Floor, Chicago, IL 60605-1523. (312) 408-5500 

 

FEMA Region VI - Serving Arkansas, Louisiana, New Mexico, Oklahoma, and Texas: 800 
North Loop 288, Denton, TX 76209-3698. (940) 898-5399 

 

FEMA Region VII - Serving Iowa, Kansas, Missouri, and Nebraska: 9221 Ward Parkway, 
Suite 300, Kansas City, MO 64114-3372. (816) 283-7002 

 

FEMA Region VIII - Serving Colorado, Montana, North Dakota, South Dakota, Utah, and 
Wyoming: Denver Federal Center, Building 710, Box 25267, Denver, CO 80255-0267. 
(303) 235-4800 


 

FEMA Region IX - Serving Arizona, California, Hawaii, Nevada, the Territory of American 
Samoa, the Territory of Guam, and the Commonwealth of the Northern Mariana Islands: 
1111 Broadway Street, Suite 1200, Oakland, CA 94607-4052. (510) 627-7100 

 

FEMA Region X - Serving Alaska, Idaho, Oregon, and Washington: Federal Regional 
Center, 130 228th Street, SW, Bothell, WA 98021-9796. (425) 487-4600 

 


SECTION 2 APPLICANT TECHNICAL ASSISTANCE 

Applicants may apply for a maximum of 10% of the total funds requested in their FMA grant 
application budget (Federal and non-Federal shares) for technical assistance to support the 
planning and project subapplications included as part of their FMA grant application. Applicants 
requesting Applicant technical assistance must submit a separate Technical Assistance Subgrant 
application in eGrants and include the technical assistance subgrant application in their grant 
application or the request will not be considered. Applicants may not request subapplicant 
technical assistance in their own planning or project subapplications under any circumstance. 

 
2.1 ELIGIBLE TECHNICAL ASSISTANCE ACTIVITIES 
Eligible technical assistance activities include: 
.. The solicitation, review, and processing of FMA planning and project subapplications and 
subgrant awards; 
.. Providing technical assistance to subapplicants regarding BCA and Environmental/Historic 
Preservation documentation; 
.. Geocoding mitigation projects selected for further review; 
.. Delivery of technical assistance (e.g., plan reviews, planning workshops) intended to support 
the implementation of planning and project activities; 

.. Managing grants (e.g., quarterly reporting and close-out); 

.. Technical monitoring (e.g., site visits, technical meetings); and 

.. Hiring staff to perform the above activities. 

Technical assistance activities must be consistent with Office of Management and Budget 
Circular 

A-87, Cost Principles for State and Local Governments. 

 

Indirect costs, if requested, must be included as part of the Cost Estimate for the Applicant 
technical assistance subapplication, not to exceed 10% of the total cost of the grant application. 

 

Indirect costs are included as part of the total project cost; however, indirect costs in excess of 
the 10% technical assistance limit may not be used as part of the non-Federal cost share. There 
will be no exception to permit the increase in Applicant technical assistance. Indirect costs must 
be supported with a current Indirect Cost Rate approved by a Federal Cognizant Agency. 

 

2.2 PRE-AWARD TECHNICAL ASSISTANCE 

Eligible technical assistance incurred prior to the grant award, but after the FMA application 
period has opened, are identified as pre-award technical assistance. FEMA may fund eligible 
pre-award technical assistance at its discretion and as funds are available. In most cases, 
Grantees may be reimbursed for eligible pre-award technical assistance incurred prior to award 
but after the FMA application period has opened. Eligible pre-award technical assistance 


must be included as separate line items in the Cost Estimate for the technical assistance 
subapplication. Pre-Award technical assistance will not be reimbursed for pre-award activities 
associated with project implementation, project initiation, or projects completed prior to award 

 

2.3 COST SHARE 

FEMA may contribute up to 75% of the eligible cost of activities for grants approved for 
funding. In-kind contributions cannot be greater than 50% of the required non-Federal cost 
share. 

 
2.4 APPLICANT TECHNICAL ASSISTANCE CHECKLIST 
Applicants must provide the following in their technical assistance subapplication in order to be 
eligible for consideration: 
.. Applicant Information: Provide name, type, and State of the Applicant, State and Federal 
tax numbers, and Federal Employer Identification Number; 
.. Contact Information: Provide the name, agency, and address for the point of contact for 
the Technical Assistance subapplication; 
.. Community Information: Indicate the entity that will benefit from the subapplication (use 
Statewide); 
.. Mitigation Plan Information: Indicate whether the Applicant is covered by a FEMA 
approved State/tribal Standard or Enhanced hazard mitigation plan; 
.. Mitigation Activity Information: Indicate the type, intent and title of the proposed activity; 
.. Scope of Work: Describe the goals and objectives of the activity and how they will be 
implemented, including timeline/schedule/milestones; 
.. Cost Estimate: Provide all anticipated and potential costs for each activity, including 
Federal and non-Federal shares, including an Approved Indirect Cost Agreement, if 
applicable. Indicate all pre-award costs as separate line items; 

.. Match Sources: Provide the non-Federal cost share for the proposed activity; 

.. Cost-Effectiveness Information: Technical assistance are exempt from a BCA; and 

.. Assurances and Certifications: Complete the Summary Sheet for Assurances and 
Certification, FEMA Form 20-16; Assurances-Non-Construction Programs, FEMA Form 20-
16A; Assurances-Construction Programs, FEMA Form 20-16B; Certification Regarding 
Lobbying; Debarment, Suspension and Other Responsible Matters; Drug-Free Workplace 
Requirements, FEMA Form 20-16C; and Disclosure of Lobbying Activities, Standard Form 
LLL, if applicable. 

2.5 SELECTION AND AWARD 

Applicant technical assistance will be approved for 10% of the total amount awarded (Federal 
and non-Federal shares) for the Applicants planning and project subgrants, or the amount of 
technical assistance requested by the Applicant, whichever is less. There are no exceptions. 
FEMA may award technical assistance with the initial planning/project award and then amend an 
Applicants grant to increase technical assistance if and when additional planning/project 
subapplications are awarded, or decrease technical assistance if any planning or project 


subapplications are not awarded. As part of the pre-award review process, the FEMA Regional 
Office will review all open FMA grants to ensure that all required reports have been submitted in 
a timely manner (See Section 1.11, Reporting Requirements). Applicants who are not awarded 
FMA funds for plans and or projects will not receive reimbursement for technical assistance. 

 

2.6 PERFORMANCE PERIOD 

The performance period for the grant shall begin on the date that the grant is awarded and end on 
the last day of the performance period of the longest subgrant awarded to the Grantee. (See 
Section 1.9, Performance Period). 

 

Should any planning or project grant performance period be extended past the management grant 
performance period, the management grant performance period will be extended.


SECTION 3 MITIGATION PLANNING SUBAPPLICATION 
GUIDANCE 

Mitigation Plans are the foundation for effective hazard mitigation. The Mitigation Plan is a 
demonstration of the commitment to reduce risks from natural hazards and serves as a guide for 
decision makers as they commit resources. A Flood Mitigation Plan will articulate a 
comprehensive strategy for implementing technically feasible flood mitigation activities for the 
area affected by the Plan. To be eligible for Project Grants, an eligible State or community must 
develop, and have approved by the FEMA Regional Administrator, a Flood Mitigation Plan in 
accordance with 44 CFR Part 78. 

 

3.1 ELIGIBLE PLANNING ACTIVITIES 

Planning activities that develop State, Indian tribal, and local Flood Mitigation Plans that meet 
the planning requirements in 44 CFR Part 78 are eligible for FMA Planning funds. The Planning 
grant deliverable is limited to those activities necessary to develop or update the flood portion of 
any mitigation plan. Plans may be either single or multi-jurisdictional. 

 

There are limits on the frequency and the amount of funding that can be allocated to a State or 
community in any 5-year period for FMA Planning grants (See Section 1.3.4.4, Funding Limits). 
The outcome of an FMA Planning grant award must result in a FEMA-approved Plan 
within three years of award (See Section 1.9, Performance Period). Therefore, it is essential 
that the Scope of Work include sufficient time and resources for FEMA plan review, revisions, 
plan adoption, and FEMA approval. 

 

For either new or updated plans, FMA Planning grants may fund the flood hazard portion of 
State or local multi-hazard mitigation plans to also meet the criteria specified in 44 CFR Part 
201, Hazard Mitigation Planning. The benefit is that communities with mitigations plans that 
meet these broader criteria may be eligible for other types of grant assistance to fund mitigation 
activities (HMGP and PDM) in addition to FMA assistance. These multi-hazard mitigation 
criteria are more stringent than the FMA planning regulations in 44 CFR Part 78; however a few 
notable differences continue to exist between the plan requirements. For example, to be 
approved under FMA, plans must 1) describe repetitive loss properties in the risk assessment 
and/or vulnerability analysis; and 2) present a strategy for continued compliance with the NFIP. 
FEMA has developed a Combined Crosswalk for use by States and communities to demonstrate 
how the single plan can meet both the FMA requirements under Part 78 and the multi-hazard 
requirements under Part 201. This Combined Crosswalk is available from the Regional Offices 
(See Section 1.13, Regional Contact Information). States should discuss with their FEMA 
Regional Office the review procedure for the flood portion of a multi-hazard mitigation plan. 

 

Since 44 CFR Part 201 regulates multi-hazard plans, FMA Planning grants will not fund all of 
the requirements outlined in 44 CFR Part 201, only the flood portion. In order for communities 
to meet both the FMA planning requirements as well as the multi-hazard planning requirements 
under 44 CFR Part 201, communities must identify other resources to complete mitigation 
planning activities for the non-flood hazards, and identify these resources in an FMA planning 


application. This will streamline the planning process and eliminate duplication of efforts, while 
clearly identifying costs attributable to the Flood Mitigation Planning grant. 

 

3.1.1 NEW FLOOD MITIGATION PLAN  SINGLE- OR MULTI-
JURISDICTIONAL 

FMA Planning grants are available to States and communities to prepare Flood Mitigation 
Plans or the flood portion of a multi-hazard mitigation plan. Countywide or multi-
jurisdictional flood mitigation plan requests may be submitted for funding, as many 
mitigation issues are better resolved by evaluating hazards in a more comprehensive fashion. 
FMA funds shall only be used to support planning activities for communities participating in 
the NFIP (See Section 1.3.3.1, National Flood Insurance Program (NFIP)). Further, the 
flood mitigation plan must meet the planning criteria outlined in 44 CFR Part 78, at a 
minimum, for each participating jurisdiction to receive credit for having a FEMA-approved 
FMA plan. 

 
3.1.2 COMPREHENSIVE REVIEW AND UPDATE 
Plan updates may be necessary for States, Tribal governments or communities with existing 
hazard mitigation plans. FMA Planning grants may only be awarded to a State or community 
once every five (5) years. Eligible activities may include: 

.. Incorporate more extensive risk assessment data, where the updated mitigation plan also 
includes an updated mitigation strategy that addresses these revisions; 

.. Update from an existing CRS or FMA plan to a multi-hazard mitigation plan, where the 
FMA planning grant funds only the flood portion of the total planning effort; or 

.. Modify actions and strategy in a previously approved hazard mitigation plan. 

 
3.2 INELIGIBLE PLANNING ACTIVITIES AND COSTS 
Certain planning activities and their associated costs are not eligible. In addition to the specific 
ineligible planning activities listed below, any planning effort that duplicates benefits received 
for the same purpose (See Section 1.3.4.2, Duplication of Benefits) or is within the primary 
authority of another Federal program will be considered ineligible (See Section 1.3.4.1, 
Duplication of Programs). The following planning activities are not eligible for the FMA grant 
program: 
.. Flood studies or flood mapping (general hydrologic and hydraulic studies/analyses or Map 
Modernization activities); 
.. Risk assessments, technical assistance, information dissemination or workshops not resulting 
in a FEMA-approved Flood Mitigation Plan; 

.. Any ground disturbing activity that would initiate the Environmental/Historic Preservation 
review and compliance process; 

.. Pre-award activities not directly related to the development of the planning subapplication or 
implementing the proposed planning activity; and 

.. Planning activities that contribute to the non-flood portion of a multi-hazard mitigation plan. 


3.3 MITIGATION PLAN REQUIREMENTS 
Mitigation Plans must be developed to meet the requirements of 44 CFR Part 78. In 
addition, planning activities must meet the following criteria: 
.. The outcome of an FMA Planning grant award MUST be a FEMA-approved and adopted 
Flood Mitigation Plan that complies with the requirements of 44 CFR Part 78. Mitigation 
Plans must be reviewed, adopted by the jurisdiction, and FEMA-approved before the end of 
the performance period (See Section 1.9, Performance Period); 
.. For communities developing a mitigation plan to meet both Part 78 and 201.6 requirements, a 
completed Combined Crosswalk for Local Plan Review Worksheet, which is available from 
the Regional Offices (See Section 1.13, Regional Contact Information) must be submitted to 
FEMA with the hazard mitigation plan, demonstration that all criteria required for approval 
have been addressed within the hazard migration plan; 

.. Countywide or multi-jurisdictional Flood Mitigation Plans may be submitted for funding, as 
many mitigation issues are better resolved by evaluating hazards in a more comprehensive 
fashion. However, each jurisdiction to be covered by a multi-jurisdictional plan must 
participate in the planning effort and adopt the plan in order to receive credit for the plan 
when applying for FMA grants; 

.. Planning activities must be unique to Flood Mitigation Planning and not primarily associated 
with programs for which another Federal program has the primary authority (See Section 
1.3.4.1, Duplication of Programs) [i.e., the Natural Resources and Conservation Service has 
primary responsibility for funding watershed management plans]; and 

.. Planning activities must meet the requirements of Federal, State, tribal, local laws, and 
Executive Orders. 

3.4 SCOPE OF WORK 

The Scope of Work (SOW) describes the objectives, methodology, feasibility, outcomes, 
timeline, milestones, resources, deliverables, and benefits of, as well as reasons for, the proposed 
planning activity. 

 

The mitigation planning subapplication SOW must describe the development of a flood 
mitigation plan that complies with FEMAs regulatory requirements in 44 CFR Part 78. The 
SOW must state whether the flood mitigation plan will be a new FMA plan, the flood portion of 
a multi-hazard mitigation plan, or comprehensive review and update of an existing flood 
mitigation plan. If the latter, specifically describe the reason(s) for the update (e.g. acquisition of 
better data, recent flood activity, meeting 44 Part 201 requirements, etc.). It must also identify 
whether the plan is single or multi-jurisdictional plan, and if multi-jurisdictional, which 
jurisdictions are expected to be covered by the plan and which organization or community will 
assume the lead role. 

 

The mitigation planning SOW must consist of two main elements: a description of the planning 
process and a work schedule for plan development. To assist in developing the description of the 
planning process and work schedule, a sample outline and content for a Planning Scope of Work 
is available on FEMAs Mitigation Planning web page at 
http://www.fema.gov/about/divisions/mitigation/mitigation.shtm or from the Regional Offices 
(See Section 1.13, Regional Contact Information). In addition, guidance on the planning process 


is described in FEMAs series of Mitigation Planning How-To guides, which are available at 
http://www.fema.gov/plan/mitplanning/planning_resources.shtm#1. 

 

The SOW must thoroughly document the activities the jurisdiction will complete to accomplish 
all of the planning steps, including the planning process, hazard identification and risk 
assessment, mitigation goals and strategy, and process for plan implementation as well as plan 
adoption. The SOW must include what will be done, and how it will be done, and who will be 
responsible for the completion of each step (e.g., contract personnel or in-house staff). It must 
also explain how the public and other interested jurisdictions, agencies, and organizations will be 
involved throughout (e.g., workshops, community outreach). Finally, the SOW must describe 
the plan adoption process for the particular the jurisdiction to ensure sufficient time for 
completion of the plan as well. 

 

The work schedule must provide the anticipated timeline for each step of the planning process 
and significant milestones throughout the entire performance period (See Section 1.9, 
Performance Period), including when a draft plan or other deliverables will be submitted to 
FEMA for review. The work schedule should allow for sufficient time for State and FEMA 
review, preparation of any required revisions, formal plan adoption and FEMA approval. 

 

3.5 COST ESTIMATE 

The Cost Estimate describes all anticipated costs associated with the proposed planning activity 
and represents the subapplicants best estimate of the total value of the proposed activity. 
Sufficient detail must be provided regarding various cost item categories such as labor, materials, 
equipment, subcontract costs, etc, and include anticipated cash and in-kind non-Federal cost 
share. In particular, the labor cost line item must estimate anticipated donated in-kind labor from 
various community agencies and/or other participating jurisdictions that will count toward the 
non-Federal cost share (See Section 1.7, Cost Share Requirements). 
The Cost Estimate must include: 

.. All costs that may be incurred prior to grant award but subsequent to the FMA application 
period opening. These should be identified as separate line items (See Section 1.3.4.6, Pre-
award Costs); 

.. Subapplicant technical assistance: These should be identified as a separate line item to ensure 
cost threshold for this activity is not exceeded. Subapplicants may include a maximum of 
five percent of the total funds requested in their subapplication for technical assistance (See 
44 CFR Part 78, Allowable Costs); and 

.. Indicate any item for which a cost has been over-estimated. (For example, if the cost 
estimate received from a contractor increases due to changes in labor and material costs, this 
cost may be over-estimated.) 

Applicants/subapplicants shall submit detailed budgets and shall avoid lump sum items and 
provide references for all sources of the Cost Estimate (e.g., RS Means, Marshall and Swift, 
etc.). Back-up documentation for all costs, including the basis for each, must be provided (e.g., 
salary and fringe benefit rates for personnel involved in the project, bids from qualified 
professionals, nationally published or local cost estimating guides). 

 


3.5.1 COST ESTIMATE CHANGES 

Revisions to the approved budget may be considered after award as long as the approved 
deliverable is not adversely impacted. In accordance with 44 CFR Part 13, adjustments may 
be made among cost line items in the approved budget up to a cumulative threshold of 10% 
of the total budget without seeking formal approval from FEMA. Adjustments exceeding 
this threshold must be approved in advance by FEMA. As with Scope of Work changes, 
requests for a budget revision must be supported by adequate justification from the Applicant 
in order to be processed (See Section 1.3.4.5, Cost Overruns and Cost Under-runs). 

 
3.6 PLANNING SUBAPPLICATION CHECKLIST 
Mitigation planning subapplications must include all of the following or it will be removed for 
further consideration under the FMA grant program: 
.. Applicant Information: Provide name, type, and State of subapplicant, State and Federal 
tax numbers, and Federal Employer Identification Number; 
.. Contact Information: Provide the name, agency, and address of the point of contact (POC) 
for the subapplicant. The POC must be an official within the subapplicants organization; 
.. Subapplication Name: Applicants must verify that the subapplication name includes the 
location of the proposed activity and the activity type; 
.. Community Information: Select the community or entity (i.e., Tribe, college, university) 
that will benefit from the subapplication. If the community or entity is not listed, please 
advise the FEMA Regional Office (See Section 1.13, Regional Contact Information). 
Provide a Community Profile with a brief description of the community to include 
population, location, any geographic areas of interest, description of critical facilities of a 
national, Statewide, or regional significance. Multi-jurisdictional planning subapplications, 
both an overall Community Profile, and a brief profile for each potential participating 
jurisdiction must be provided to ensure NFIP participation compliance, as well as 
information on how the multi-jurisdictional planning effort will be coordinated; 
.. Mitigation Plan Information: Indicate whether the entity(ies) that will benefit from the 
subapplication and is/are covered by a FEMA-approved State/Tribe hazard mitigation plan 
and identify any previous planning grants received; 
.. Mitigation Activity Information: Indicate the type, intent and title of the proposed 
planning activity. If the proposed planning activity is a comprehensive update to an existing 
FEMA approved hazard mitigation plan, indicate how it will address any identified 
deficiencies. The updated hazard mitigation plan must include a modified mitigation strategy 
and corresponding action items; 
.. Hazard Information: Describe the area to be covered by the planning activity and identify 
the source of the hazards to be addressed in the planning activity. Include a synopsis and 
history of hazards affecting the community or entity, and other applicable information that 
will clarify the need for the mitigation planning effort. Attach a map with the planning area 
identified; 
.. Scope of Work: Describe the goals and objectives of the planning activity and how it will 
be implemented. For multi-jurisdictional planning subapplications, provide information on 
how the multi-jurisdictional planning effort will be coordinated; 


.. Cost Estimate: Provide all anticipated and potential costs for each proposed planning 
activity, including Federal and non-Federal shares. Provide an Approved Indirect Cost 
Agreement, if applicable; 

.. Match Sources: Provide the non-Federal cost share for the proposed activity, including 
documentation to support the non-Federal cost share. (See Section 1.7, Cost Share 
Requirements); 

.. Cost-Effectiveness Information: All planning grants are exempt from a BCA; therefore, a 
BCA is not required to be submitted with planning subapplications; and 

.. Assurances and Certifications: If applicable for your Applicant State/Tribe, complete the 
Summary Sheet for Assurances and Certification, FEMA Form 20-16; Assurances - Non-
Construction Programs, FEMA Form 20-16A; Assurances-Construction Programs, FEMA 
Form 20-16B; Certification Regarding Lobbying; Debarment, Suspension and Other 
Responsible Matters; and Drug-Free Workplace Requirements, FEMA Form 20-16C; and 
Disclosure of Lobbying Activities, Standard Form LLL. 

Incomplete subapplications will be removed from further consideration. 

 

FEMA has determined that planning activities are Categorically Excluded (CATEX) from the 
preparation of an Environmental Assessment or Environmental Impact Statement under NEPA 
pursuant to 44 CFR Part 10.8(d)(2)(iii). Therefore, Environmental/Historic Preservation 
documentation is not required to be submitted with mitigation planning subapplications. 
Applicants must select No for the CATEX questions in the Environmental Historic 
Preservation Information Section in eGrants for planning subapplications during their review 
process (See Section 1.6.3, Applicant Review of Subapplications). 

 

3.7 FEMA PRE-AWARD ACTIVITIES 

FEMA Regional Offices will work with Applicants who have approved Planning subapplications 
to implement required pre-award activities prior to grant award (See Section 1.8.5, FEMA Pre-
award Activities). FEMA may, at its discretion, request information or documentation from 
Applicants to resolve outstanding administrative or procedural requirements as part of its pre-
award activities. 

 

In accordance with 44 CFR Part 10.8d(2)(iii), FEMA has determined that mitigation planning 
activities have no impact on the environment and will require no further Environmental/Historic 
Preservation review. Additionally, Benefit-Cost Analysis documentation is not required for 
mitigation planning subapplications. 


SECTION 4 MITIGATION PROJECT SUBAPPLICATION GUIDANCE 

The priority for FMA Project Grants continues to be saving lives and protecting property by 
mitigating NFIP insured properties through acquisition, elevation, relocation and minor structural 
flood control projects. These activities will reduce flood insurance claim payments, as well as 
disaster housing and emergency response expenses. In addition, as a result of effective 
mitigation, fewer families will lose wages and fewer businesses will suffer reduced profits from 
displacement due to flooding. In the case of property acquisition, there will be increased 
recreational opportunities and an enhancement of the environment through the creation of open 
space along rivers and streams. Most importantly, communities and their residents will be safer 
from flood hazards. 

 
4.1 ELIGIBLE PROJECT ACTIVITIES 
Only the following mitigation activities are eligible for the FMA program. To be eligible for 
funding, properties must be currently insured by the NFIP at the time of application and the 
insurance must be maintained through the completion of the project. For acquisition projects, 
insurance must be maintained by the property owner until the transfer of ownership. The Special 
Flood Hazard Area (SFHA) is defined as the land in the floodplain within a community subject 
to a 1% or greater chance of flooding in any given year. 
.. Acquisitions/Relocations: The voluntary acquisition of structures and underlying real 
property for the purpose of creating open space, demolition or relocation of the structure, and 
conversion of the property to deed restricted open space uses in perpetuity. The relocation of 
existing residential structures must be to areas outside of the SFHA or local regulatory 
floodplain, outside of any regulatory erosion zones, and in conformance with any other 
applicable State or local land-use regulations; 
.. Elevations: The elevation of existing structures and elevation to at least the BFE or an 
ABFE or higher if required by any State or local ordinance, and in accordance with criteria 
established in this Guidance. The techniques used for elevating structures in accordance with 
FEMA requirements can be found at: 
http://www.fema.gov/government/grant/mitmeasures/elevate.shtm; 

.. Dry Floodproofing: Floodproofing of existing non-residential structures in accordance with 
the requirements of the NFIP or higher standards if required by FEMA or if required by any 
State or local ordinance, and in accordance with criteria established by the Administrator. 
.. Minor Localized Flood Control Projects: These projects may include the installation or 
modification of culverts and floodgates; the creation of small retention and detention basins; 
and the upgrade of culverts to bridges. Minor localized flood control projects must not 
duplicate the flood prevention activities of other Federal agencies. 
At least 50% of the structures directly benefiting from the mitigation activity must be NFIP 
insured properties. Documentation must be provided in the subapplication that identifies all 
properties that will benefit from this activity and specifically identifies the NFIP insured 
properties; 


.. Beach Nourishment Activities: Natural dune replenishment through the planting of native 
dune vegetation and/or the installation of sand-fencing; and 

.. Other Project Activities: The other activities that bring an NFIP-insured structure into 
compliance with the statutorily authorized floodplain management requirements of 44 CFR 
Part 60.3 including, but not limited to demolition. 

There are limits on the amount of FMA Project grant funding that can be allocated to a State 
or community over any 5-year period. (See Section 1.3.4.4, Funding Limits). 
4.2 INELIGIBLE PROJECT ACTIVITIES AND COSTS 
In addition to the specific ineligible project activities listed below, any activity that duplicates 
benefits received for the same purpose (See Section 1.3.4.2, Duplication of Benefits) or is within 
the primary authority of another Federal program will be considered ineligible (See Section 
1.3.4.1, Duplication of Programs). Projects already in progress will also be considered 
ineligible. Certain project activities and their associated costs are not eligible. The following 
project activities are not eligible for the FMA grant program: 
.. Major flood control projects related to the construction, demolition, or repair of dams, dikes, 
levees, floodwalls, seawalls, groins, jetties, breakwaters, waterway channelization, and 
erosion projects related to beach nourishment or renourishment; 
.. Dry floodproofing of any residential structures; 
.. Phased or partial project that is dependent on another phase or part to be effective and/or 
feasible; 
.. Mitigation reconstruction - any mitigation activities involving demolishing of an existing 
structure (i.e., commercial or residential building, publicly or privately owned) and building a 
new structure (formerly known as demolition/rebuild); 
.. Applications involving any activities for which implementation has already been initiated or 
completed are not eligible for funding, and will not be considered; 
.. Studies that do not result in a completed mitigation project (e.g., engineering designs, 
feasibility studies, or drainage studies that are not integral to the proposed project); 
.. Flood studies or flood mapping (i.e., general hydrologic and hydraulic studies/analyses not 
integral or necessary for project design or feasibility determination); 
.. Projects that solely address maintenance or repairs of existing structures, facilities or 
infrastructure (e.g., debris removal, dredging); 
.. Generators, and related equipment, such as generator hook-ups, for non-critical facilities or 
as a stand-alone activity; 
.. Warning and alert notification systems (e.g., NOAA weather radios); 
.. Response and communication equipment; 

.. Projects that solely address operation, maintenance, or repairs of existing structures, 
facilities, or infrastructure (e.g., dredging, debris removal, bridges and dam 
repair/rehabilitation); 

.. Properties that are subject to pending litigation; and 


.. Legal procedures related to litigation for an approved application or subapplication. 

Projects and applications that propose ineligible activities will be removed from consideration. 
FEMA will not separate eligible activities from ineligible projects and applications for funding 
consideration. 

 

4.3 MITIGATION PROJECT REQUIREMENTS 

 

4.3.1 PLAN REQUIREMENT 

Subapplicants must have a FEMA-approved local mitigation plan in accordance with 44 CFR 
Part 78.5, by the application deadline that, at a minimum, addresses flood hazards to be 
eligible to receive project grant funding. 

 

A local government hazard mitigation plan that expires prior to the award of a grant or 
subgrant must provide a FEMA-approved hazard mitigation plan in accordance with 44 CFR 
Part 78 in order to receive grant funding. 

 

 

4.3.2 FEASIBILITY AND EFFECTIVENESS REQUIREMENT 

Mitigation projects funded by the FMA program must be both feasible and effective at 
mitigating the hazard(s) for which the project was designed. To determine both feasibility 
and effectiveness, FEMA will use the information provided in the project subapplication, 
including the SOW and Cost Estimate sections, as well as any supporting documentation to 
review the engineering feasibility of the proposed project. If applicable, proposed schematic 
or detailed engineering drawings, or engineering designs for projects that demonstrate the 
design parameters and how the project will achieve the stated objectives must be included to 
allow FEMA to assess the effectiveness and feasibility of the proposed project. 

Project subapplications must address the level of protection provided by the proposed project 
as well as any residual risk to the structure after project implementation. Upon request, 
FEMA will provide technical assistance regarding engineering documentation and cost 
estimation, Section 5.2.1, Engineering Feasibility Technical Assistance. Project 
subapplications that do not include appropriate documentation to support the determination 
of feasibility and effectiveness may be removed from consideration. 

 
4.3.3 ELIGIBILITY CRITERIA 
Proposed mitigation projects must meet all requirements referenced in 44 CFR Part 78, 
Minimum Project Eligibility Criteria. The project subapplication must: 
.. Be cost-effective and able to substantially reduce the risk of future damage, hardship, 
loss, or suffering resulting from a major disaster, consistent with 44 CFR Part 
206.434(c)(5) and related guidance, and have a BCA using a FEMA-approved 
methodology that results in a benefit-cost ratio (BCR) of 1.0 or greater. Only mitigation 
projects with a BCR of 1.0 or greater will be considered for the FMA program; 

.. Conform with 44 CFR Part 9, Floodplain Management and Protection of Wetlands, and 
44 CFR Part 10, and any applicable environmental laws and regulations; 


.. Not duplicate benefits available from another source for the same purpose or assistance 
that another Federal agency or program has the primary authority to provide, Section 
1.3.4.1, Duplication of Programs; 
.. Be technically feasible and have the ability to be implemented. The project Cost 
Estimate must reflect the engineering design, including all anticipated costs; 
. Be NFIP insured at the time of project application and maintained at least through 
completion of the mitigation activity or, for acquisition projects, until the transfer of 
ownership. For structures that remain in the SFHA, flood insurance must be maintained 
for the life of the structure. Minor physical flood mitigation projects that reduce 
localized flooding problems must reduce or eliminate the risk of flood damage to 
buildings, manufactured homes, and other structures insured under the NFIP; 
.. Ensure that any improvements on the property shall be in accordance with the standards 
of the NFIP Floodplain Management Regulations. Structures on the property shall be 
floodproofed or elevated to at least the BFE or an ABFE or higher if required by any 
State or local ordinance, and in accordance with criteria established in this Guidance; 
.. Conform with the FEMA-approved Flood Mitigation Plan pursuant to 44 CFR Part 78, or 
flood hazard component of the communitys 44 CFR Part 201 compliant multi-hazard 
mitigation plan, (the type of project being proposed must be identified in the plan), where 
the plan is approved by FEMA by the application deadline; 

.. Be physically located in a community that is participating in the NFIP where the 
community is not on probation, suspended or withdrawn from the NFIP; 

.. Solve a problem independently or constituting a functional portion of a solution where 
there is assurance that the project as a whole will be completed; and 

.. Meet the requirements of applicable Federal, State, Indian tribal, and local laws, 
implementing regulations, and executive orders. 

4.3.4 PROPERTY ACQUISITION AND RELOCATION REQUIREMENTS 

For property acquisition and relocation projects, Applicants and subapplicants must comply 
with the following requirements, 44 CFR Part 206.434(e) and related guidance. A project 
may not be framed in a manner that has the effect of circumventing these requirements. 

 

4.3.4.1 ELIGIBILITY FOR PROPERTY ACQUISITION PROJECTS: 
Eligible Properties 
Properties eligible for acquisition include those where: 
.. The property will be acquired from a willing, voluntary seller; 
.. The property contains a structure that may or may not have been damaged or 
destroyed due to an event; 
.. All incompatible easements or encumbrances can be extinguished; 
.. The property cannot be contaminated with hazardous materials at the time of 
acquisition, other than incidental demolition or household waste; 


.. Any relocated structure must be placed on a site located outside of the SFHA, outside 
of any regulatory erosion zones, and in conformance with any other applicable State 
or local land use regulations; 

.. The property cannot be part of an intended, planned, or designated project area for 
which the land is to be acquired by a certain date, and/or where there is an intention to 
use the property for any public or private future use inconsistent with the open space 
deed restrictions and FEMA acquisition requirements (examples include roads and 
flood control levees); and 

.. The property will not be subdivided prior to acquisition, except for portions outside 
the identified hazard area, such as the SFHA or any risk zone identified by FEMA. 

Hazardous Materials 

Subapplicants considering the purchase of property (or land adjacent to property) with 
past or present commercial or industrial use must ensure that the owner provides 
information identifying what, if any, hazardous materials are on the property. To be 
considered an eligible property, before purchasing commercial or industrial properties, 
the subapplicant must require the owner to remove hazardous materials and containers. 
The owner must provide a clean-site certification from the appropriate State agency 
before the subapplicant can purchase any interest in the property, including easements for 
development rights. Clean-up costs associated with hazardous materials are not 
eligible project costs. 

 

The presence of non-leaking underground storage tanks, septic systems, home heating oil 
tanks, and normal quantities of lead, asbestos, and hazardous material associated with 
residential/household use does not preclude the use of mitigation funds for acquisition. 
However, local permitting ordinances, State laws, as well as Federal laws, regulations 
and Executive Orders, must be followed. The costs of removing these typical 
residential/household items must be addressed in the project Cost Estimate. 
Eligible costs 

.. Value of the land to be acquired, and either value of structure and demolition cost of 
that structure or relocation of the structure; 

.. Cost of appraisals, cost of title insurance and any additional escrow costs, such as 
recordation of the deed and deed restrictions, and other costs necessary for the real 
estate transaction; and 
.. Other necessary and appropriate costs for implementation of the project. 
Ineligible costs 
.. Compensation for land that is already held by an eligible entity is not an allowable 
cost, but compensation for development rights (open space easement) may be 
allowable; 

.. Cleanup or remediation of contaminated properties, except for permitted disposal of 
incidental demolition and household hazardous wastes; 

.. Pre-Award costs may not be reimbursed for pre-award activities associated with 
implementation of the project; and 


.. FEMA acquisition funds are not available when an Applicant, subapplicant, other 
project participant or third partys negligence or intentional actions contributed to the 
conditions needing mitigation. 

4.3.4.2 REQUIREMENT TO APPLY DEED RESTRICTIONS 

Subapplicants requesting assistance for a real property acquisition or building relocation 
must apply specific deed restriction language to all acquired properties. See the Model 
Deed Restriction language on FEMAs mitigation website at 
http://www.fema.gov/government/grant/resources/index.shtm or from the Regional 
Office (See Section 1.13, Regional Contact Information). Any modifications to the 
model deed restriction can only be made with prior approval from FEMAs Office of 
Chief Counsel. 

 

4.3.4.3 SUBAPPLICATIONS FOR PROPERTY ACQUISITION 

Subapplicants for property acquisition and relocation projects must include the following 
in their application: 

1) Statement of Assurances; 

As part of the project application, subapplicants must attach a Statement of 
Assurances, signed by the subapplicants authorized agent, acknowledging the 
requirements as identified below that will apply to the acquisition of the property. 
See FEMAs website for this Statement of Assurances that must be submitted with 
the project application http://www.fema.gov/government/grant/resources/index.shtm. 
Open space acquisition projects without these formal assurances will not be funded 
by FEMA. 
The following conditions apply to the grant and must be included in the Statement of 
Assurances: 
.. Participation by property owners is voluntary. The prospective participants were 
informed in writing that participation in the program is voluntary, that the 
subapplicant will not use its eminent domain authority to acquire their property 
for the project purposes should negotiations fail; 
.. Each property owner will be informed, in writing, of what the subapplicant 
considers to be the fair market value of the property. The subapplicant will use 
the model Statement of Voluntary Participation to document this and will provide 
a copy for each property after award. This model is available on FEMAs web 
page: http://www.fema.gov/government/grant/resources/index.shtm or from the 
Regional Office (See Section 1.13, Regional Contact Information); 
.. The subapplicant accepts all of the requirements of the FEMA grant and the deed 
restriction governing the use of the land, as restricted in perpetuity to open space 
uses. The subapplicant must apply and record a deed restriction on each property 
in accordance with the language in the FEMA model deed. The community will 
seek FEMA approval for any changes in language differing from the model deed; 
.. The subapplicant understands that the land will be unavailable for the 
construction of flood damage reduction levees and other incompatible purposes, 


and is not part of an intended, planned, or designated project area for which the 
land is to be acquired by a certain date; 
.. The subapplicant will demonstrate that it has consulted with the US Army Corps 
of Engineers regarding the subject lands potential future use for the construction 
of a levee system, and will reject future consideration of such use if it accepts 
FEMA assistance to convert the property to permanent open space; 
.. The subapplicant will demonstrate that it has coordinated with its State 
Department of Transportation to ensure that no future, planned improvements or 
enhancements to the Federal aid systems are under consideration that will affect 
the subject property; 
.. Existing buildings will be removed within 90 days of settlement; 

.. Post grant award, the subgrantee may convey a property interest only with the 
prior approval of the FEMA Regional Administrator and only to another public 
entity or to a qualified conservation organization pursuant to 26 CFR 1.170A-14; 

.. Every three years, the subgrantee must submit to the Grantee, who will submit to 
the FEMA Regional Administrator a report certifying that it has inspected the 
subject property within the month preceding the report, and that the property 
continues to be maintained consistent with the provisions of the grant. If the 
subject property is not maintained according to the terms of the grant, the Grantee 
and FEMA, its representatives, designated authorities, and assigns are responsible 
for taking measures to bring the property back into compliance; and 
.. After settlement, no disaster assistance for any purpose from any Federal entity 
may be sought or provided with respect to the property, and FEMA will not 
distribute flood insurance benefits for that property for claims related to damage 
occurring after the date of the property settlement. 
2) Property Information for each property in the SOW; and 
.. Notice of Voluntary Interest Documentation: In a specific format chosen by the 
subapplicant (such as a letter of interest, intent to participate form, project signup 
sheet or similar format) the subapplicant must record the name and signature of 
interested property owners associated with each property and must also clearly 
show each property owner acknowledging the following language: The 
property owner has been informed that this project for open space 
acquisition is voluntary and that neither the [Applicant] or the 
[subapplicant] will use its eminent domain authority to acquire the property 
for open space purposes should negotiations fail. This documentation of 
voluntary interest for each property owner must be submitted with the project 
application. It is the communitys discretion how this documentation is integrated 
into the project development process; however, it should be accomplished as early 
in the project development process as is feasible. An example is available on 
FEMAs mitigation web page: 
http://www.fema.gov/government/grant/resources/index.shtm; 
.. Market value documentation for each parcel and include it in the cost estimate. 
The market value must be derived using a reasonable methodology that has been 


consistently applied throughout the community, such as independent appraisals, 
opinions of value, or a formula based on tax assessments; 
.. Net present value of the project benefits for each property to be acquired; 

.. The Uniform Relocation Assistance and Real Property Acquisition Act of 1970 
(URA) mandates that displaced tenants receive relocation assistance in 
accordance with 49 CFR Part 24. The project application should document 
properties occupied by tenants. This must be included in the cost estimate. See 
the FEMA Hazard Mitigation Grant Program Desk Reference for additional 
guidance; 

.. A photograph that represents the appearance of each property at the time of 
application; and 

.. For acquisition projects, changes to the properties in an approved mitigation 
project will be considered by FEMA but not approved automatically. The 
Applicant and subapplicant must have initially identified the alternate properties 
in the project application and must include a BCA for each alternate property in 
order to be considered. However, the alternate properties must not be included in 
the Cost Estimate or the overall project BCA. Eligible properties may be 
substituted as alternatives in the application as long as the substitution does not 
change the overall nature of the project or increase the amount of the Federal 
share and were included as alternatives in the subapplication. 

3) Other information as determined by the Administrator. 

4.3.4.4 PRE-AWARD REQUIREMENTS 

After application, but prior to award, the Applicant must provide FEMA with the 
following: 

.. Documentation that the subapplicant has consulted the US Army Corps of Engineers 
and the State Department of Transportation regarding potential future land use 
conflicts of levee systems and Federal aid systems with open space acquisition and 
has reject future consideration of such use if it accepts FEMA assistance to convert 
the property to permanent open space (see the subapplication assurances for more 
detail). FEMA encourages subapplicants to conduct this consultation as early as 
possible so that incompatible properties can be removed earlier in the process. 
FEMA will not award funds for any property without this documentation; and 

.. Copy of the deed restriction, incorporating the specific language from FEMAs model 
deed restriction, which the local government will record with acquired properties. 
4.3.4.5 POST-AWARD REQUIREMENTS 
Following award of the grant, the subgrantee must adhere to the following requirements: 
.. A property owner who did not own the property at the time of the relevant event, or 
who is not a National of the United States or qualified alien, is not eligible for a 
purchase offer based on pre-event market value of the property, but may receive 
current market value; 


.. Subgrantees shall ask each property owner participating to certify that they are either 
a National of the United States or qualified alien before offering pre-event market 
value for the property. This information should be retained in the project file; 
.. The amount of the purchase offer is based on the current market value of the property 
or on the market value of the property immediately before the relevant event affecting 
the property (pre-event): The relevant event for the Flood Mitigation Assistance 
program and the Repetitive Flood Claims Program is the most recent event resulting 
in a National Flood Insurance Program claim of at least $5000; 
.. The Grantee should coordinate with the subgrantee in determination of whether the 
valuation should be based on pre-event or current market value. Generally the same 
method to determine market value should be used for all participants in the project; 
.. A title insurance policy demonstrating clear title must be obtained for each approved 
property that will be acquired; 
.. All incompatible easements or other encumbrances must be extinguished before 
acquisition; 
.. The property must transfer by a warranty deed; 
.. See Section 4.3.4.3, Subapplications for Property Acquisition and Section 4.3.4.2, 
Requirement to Apply Deed Restrictions regarding limitations on substitution of 
alternate properties; 

.. Incompatible facilities must be removed from acquired property within 90 days of 
settlement; and 

.. Property Reporting Requirements from the subgrantee, through the Grantee, to 
FEMA: 

1) A photo of the property site after project implementation; 

2) Latitude and longitude coordinates of the property; 

3) Signed Statements of Voluntary Participation from the owner of each property 
identified in the SOW. This statement documents more formally the voluntary 
participation notice provided earlier, as well as documenting required property 
valuation notices. A Model Statement of Voluntary Participation is available on 
FEMAs web page: 
http://www.fema.gov/government/grant/vol_participation.shtm or from the 
Regional Office (See Section 1.13, Regional Contact Information); 

4) A copy of the recorded deed and the attached deed restrictions for each acquired 
property must be submitted; 

5) For any property identified on FEMAs Repetitive Loss list, complete and submit 
FEMA http://www.fema.gov/government/grant/resources/aw501ins.shtm, 
documenting the completion of mitigation to those properties that are identified 
by FEMA as Repetitive Loss Properties; and 

6) Every three years following acquisition, submit a report certifying that the 
subgrantee has inspected the property within the month preceding the report, and 
that the property continues to be maintained consistent with the provisions of the 


deed restriction. 

4.3.5 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. For more 
information, property owners should consult their IRS office or a tax advisor. 

 
4.3.6 GEOCODING REQUIREMENTS 

All approved mitigation projects funded by the FMA program must be geo-coded using 
standard datum. Geospatial coordinates, in the form of latitude and longitude with an 
accuracy of +/- 20 meters (64 feet), must be provided for all individual sites contained in the 
mitigation project, including: 

.. Individual property information on properties mitigated, and 

.. Project sites for mitigation activities such as stormwater management, road and bridge 
improvement, and critical facility protection, and flood control projects. 

The specific Guidance for Geo-coding Mitigation Data was provided to the FEMA Regional 
Offices in August, 2004, and provides guidance for collecting and formatting location 
information. This is available on FEMAs FMA web page: 
http://www.fema.gov/library/viewRecord.do?id=1849 or from the Regional Offices (See 
Section 1.13, Regional Contact Information). FEMA will work with Applicants to ensure 
this information is provided prior to award. 

 

4.3.7 PROJECT MAINTENANCE 

FEMA is not responsible for project maintenance. FEMA will not pay for any future 
maintenance, such as dredging or debris removal, mowing open space, or ensuring hurricane 
shutters are operable. Subapplicants must provide a maintenance plan that identifies the 
maintenance tasks and budget and the entity that will perform long-term maintenance and 
include a description of maintenance agreements to be in place for long-term upkeep of the 
proposed project prior to award. Maintenance costs must not be included in the Cost 
Estimate; however, anticipated future maintenance costs must be included in the BCA. 

 
4.4 SCOPE OF WORK 
The Scope of Work (SOW) describes the objectives, methodology, feasibility, outcomes, 
timeline, milestones, resources, deliverables, and benefits of as well as reasons for the proposed 
project. The narrative must establish the who, what, where, when, and how of the proposal 
and timeline. The project subapplication SOW should include the following as well as 
applicable references and supporting documentation: 
.. Purpose of the project (e.g., What is the goal? How does the project meet the intent of the 
Flood Mitigation Plan?); 
.. Clear, concise description of the proposed project and the means to implement and construct 
it (i.e., How will the project be implemented and by whom?); 
.. Outcomes (e.g., What are the expected accomplishments? What members of the community 
population directly or indirectly benefit from the project?); 


.. Identification of the flooding hazards to be addressed; location within the community and/or 
geographical extent of the project (natural, built and socioeconomic environments); 
.. Feasibility and effectiveness provided by the proposed project, including engineering design 
parameters and copies of or references to: Proposed schematic or detailed engineering 
drawings, or engineering design; Applicable building code/edition or engineering standard 
used (e.g., for drainage projects this may be a state or local standard or requirement); Level 
of protection provided by the proposed project (i.e., building code/edition); or Any residual 
risk to the structure from flood risk after project implementation (i.e., adequacy of the 
structural systems); 
.. Include a description of the alternatives considered prior to deciding upon the project; 

.. Describe the maintenance agreements to be in place for long-term upkeep of the proposed 
project; and 

.. Work schedule for all project tasks (e.g., survey, appraisal, permitting, inspection 
requirements, site preparation), and significant milestones throughout the entire performance 
period (See Section 1.9, Performance Period). 

4.4.1 SCOPE OF WORK DOCUMENTATION 

Documentation provided will be used by FEMA to evaluate the SOW to determine eligibility 
of the proposed subapplication. Examples of documentation, where applicable to the project, 
include proposed schematic or detailed engineering drawings, or engineering design; 
photographs, maps, sketches, and/or drawings (e.g., appropriate sections of Flood Insurance 
Studies and Flood Insurance Rate Maps) to document elements of the project and project 
parameters; or data sources, references, citations, and/or notations. 

 

4.4.2 SCOPE OF WORK CHANGES 

FEMA may not consider changes to the SOW between the close of the application period and 
the completion of the selection process. Requests for changes to the SOW after award may 
be permissible as long as they do not change the nature or total project cost of the activity, 
properties identified in the subapplication, the feasibility and effectiveness of the project, 
negate the cost-effectiveness of the project, or make the project ineligible. Requests must be 
supported by adequate justification from the Applicant in order to be processed. The 
justification is a description of the proposed change, a written explanation of the reason or 
reasons for the change; an outline of remaining funds available to support the change; and a 
full description of the work necessary to complete the activity. All approvals will be at 
FEMAs discretion, and there is no guarantee that SOW changes will be approved. 

 

4.5 COST ESTIMATE 

The Cost Estimate describes all anticipated and potential costs associated with the proposed 
activity, and represents the subapplicants best estimate of the total value of the proposed 
activity. Sufficient detail must be provided regarding various cost item categories such as labor, 
materials, equipment, subcontract costs, etc, and include anticipated cash and in-kind non-
Federal match. In particular, the labor cost line item must estimate anticipated donated in-kind 
labor from various agencies and/or other participating jurisdictions that will count toward the 
non-Federal match (See Section 1.7, Cost Share Requirements). 
The Cost Estimate must include: 


.. All anticipated project costs, such as: 
1) Anticipated environmental resource remediation or historic property treatment measures; 
2) Engineering designs/specifications to include Hydrologic and Hydraulic; 

3) Studies/analyses required as an integral part of the project design; 
4) Other related construction/demolition/relocation costs, such as survey, permitting, site 
preparation, material disposal; and 
5) Other related acquisition costs, such as appraisals, legal recordation, displacement costs 
for renters. 
.. Indicate any item for which a cost has been over-estimated. (For example, if the cost 
estimate received from a contractor increases due to changes in labor and material costs, this 
cost may be over-estimated.); and 

.. Maintenance costs are not eligible and should not be included in Cost Estimate but must be 
included in the BCA. 

.. Subapplicant technical assistance: These should be identified as a separate line item to ensure 
cost threshold for this activity is not exceeded. Subapplicants may include a maximum of 5 
percent of the total funds requested in their subapplication for technical assistance (See 44 
CFR Part 78, Allowable Costs); 

Pre-award costs: Indicate all costs that may be incurred prior to grant award but subsequent 
to the FMA application period opening. These should be identified as separate line items. 

Subapplicants may include a maximum of 5% of the total funds requested (Federal and non-
Federal shares) for their planning subapplication for technical assistance to support the 
planning activities. Subapplicant cost activities must be consistent with the Office of 
Management and Budget Circular A-87, Cost Principles for State and Local Governments. 
Subapplicants requesting technical assistance must provide supporting documentation and 
include these costs as separate line items in the Cost Estimate for the planning 
subapplication. Applicants may not request subapplicant technical assistance in their own 
planning subapplications under any circumstance (See Section 2, Applicant Technical 
Assistances). 

 

4.5.1 COST ESTIMATE DOCUMENTATION 

Documentation provided will be used by FEMA to evaluate the Cost Estimate in order to 
determine eligibility. Applicants/subapplicants shall submit detailed budgets and shall avoid 
lump sum items and provide references for all sources of the Cost Estimate (i.e., RS 
Means). Identify sources of cost items (e.g., documented local cost, bids from qualified 
professionals, published national or local cost estimating guides) and provide documentation 
supporting each source, as appropriate (e.g., salary and fringe benefit rates for personnel 
involved in the project, bids from qualified professionals, published nationally or local cost 
estimating guides). If another project is used as the source of the Cost Estimate, detailed 
documentation showing the related project scope items must be provided. 

 

The project must be identified with enough details so that material, labor and other costs 
associated with the project can be identified. The cost estimating tools used must be 
identified and a detailed Cost Estimate must be provided. Examples of cost estimating tools 


may include: national cost estimating guides; an Applicants own cost estimating guides; an 
estimate based on bids; or an estimate based on awarded contracts for similar work. 

 

4.5.2 COST ESTIMATE CHANGES 

Revisions to the approved budget may be considered after award as long as the approved 
deliverable is not adversely impacted. In accordance with 44 CFR Part 13, adjustments may 
be made among cost line items in the approved budget up to a cumulative threshold of 10% 
of the total budget without seeking formal approval from FEMA. Adjustments exceeding 
this threshold must be approved in advance by FEMA. As with SOW changes, requests for a 
budget revision must be supported by adequate justification from the Applicant in order to be 
processed (See Section 1.3.4.5. Cost Overruns and Cost Under-runs). 

 

4.6 COST EFFECTIVENESS 

The FMA program must fund cost-effective mitigation activities. To ensure this objective is 
met, a FEMA-approved Benefit-Cost Analysis (BCA) will be required for all mitigation projects. 
BCA is a well-established method for quantitatively comparing the benefits and costs of 
mitigation projects. The end result is a Benefit-Cost Ratio (BCR), which is derived from a 
projects total net present value of benefits (i.e., the value of benefits today versus the value of 
future benefits after taking inflation and return into account) divided by the total project cost to 
include all documented project and maintenance costs. 

 

The Applicant or subapplicant is required to perform a BCA for each property, including 
repetitive flood loss properties and substantially damaged properties. For projects that address 
multiple structures (e.g., acquisition or elevation), the BCR must be calculated by totaling the 
anticipated or net present value of benefits for each structure to obtain the projects total net 
present value of benefits and dividing the total project benefits by the total project Cost Estimate. 
Applicants/subapplicants are encouraged to ensure that the BCA includes all benefits associated 
with the proposed mitigation project. Project subapplications with a BCR less than 1.0 will be 
removed from consideration. 

 

FEMA will convene a Benefit-Cost Technical Review panel of subject matter experts to conduct 
a detailed and comprehensive review of the BCAs for mitigation projects. 
The conduct of FEMAs BCAs is governed by the White House Office of Management and 
Budget (OMB) Circular A-94, Guidelines and Discount Rates for BCA of Federal Programs. 
Accordingly, the benefits of mitigation projects are avoided damages, disruptions, losses, and 
casualties. Examples of common benefits include avoided or reduced: 
.. Damages to buildings, contents or infrastructure; 
.. Economic impacts of loss of function of buildings; 
.. Displacement costs for temporary quarters; 
.. Loss of public services; 
.. Loss of net business income; 

.. Economic impacts of loss of function of infrastructure; 

.. Road or bridge closures; and 


.. Loss of utility services. 

The OMB circular excludes indirect benefits or multiplier effects, for example long-term 
changes in regional economic activity, future employment and tourism, which are not directly 
linked to the project. For further details of categories of benefits that may or may not be counted 
see What is a Benefit? - Guidance on BCA of Hazard Mitigation Projects located on the 
Mitigation BCA Toolkit CD (See Section 5, Technical Assistance Resources). This document 
provides standardized benefit categories, approaches, and data inputs for many common 
mitigation projects. 

 

The cost of performing the BCA and providing supporting documentation may be included by 
the subapplicant as part of the project Cost Estimate or by the Applicant as part of the Applicant 
technical assistance (See Section 2, Applicant Technical Assistance). 

 

If the Applicant and/or subapplicant are submitting a project for which FEMA performed the 
BCA in the past, the Applicant and/or subapplicant must certify that they accept the BCA as their 
own before submitting the BCA as part of their project subapplication. Applicants/subapplicants 
submitting projects prepared for other FEMA mitigation programs are strongly encouraged to 
revisit the BCA(s) to ensure complete documentation of mitigation project benefits and costs. 

 

4.6.1 METHODOLOGY 

Applicants and subapplicants must use a FEMA-approved methodology to determine the 
BCA. Applicants and subapplicants are strongly encouraged to use FEMAs BCA software 
for their analyses, which may be obtained from FEMA by contacting the BCA helpline via 
phone: 1(866) 222-3580 or e-mail: bchelpline@dhs.gov (See Section 5.2.2, Benefit-Cost 
Analysis Technical Assistance) or the applicable FEMA Regional Office (See Section 1.13, 
Regional Contact Information). Applicants and subapplicants should submit the completed 
BCA module with their applications. Using FEMA-approved software will ensure that all 
calculations are prepared in accordance with OMB and FEMAs standardized methodologies 
and approaches and will facilitate FEMAs review process. The Flood Very Limited Data 
Module may not be used to demonstrate cost-effectiveness for FMA project 
subapplications, only to screen projects for cost-effectiveness. Projects that use the 
Flood Very Limited Data Module will be removed from consideration. 

 

The OMB-mandated discount rate for the FMA program is seven percent. This discount rate 
is incorporated into all FEMA software programs as a default and must not be modified. 

 

Alternative BCA methodologies will be considered only if the FEMA Regional Office and 
FEMA Headquarters approve the software prior to the Applicants submission of the FMA 
grant application to FEMA. The Applicant must provide verification that FEMA has 
approved the alternative BCA software or methodologies. An e-mail or letter signed and 
dated by FEMA is considered appropriate verification. Applications using BCAs conducted 
with software not approved in advance by FEMA will not be considered for the FMA 
program. 

 

FEMA has developed a simplified, alternative methodology to conduct the BCA, which may 
be used in lieu of a traditional BCA for certain properties insured under the NFIP and 
included in the NFIP Repetitive Loss Properties List. The list of properties and the guidance 


for using this alternative approach was provided to the FEMA Regional Offices under 
separate cover (information on the alternative approach is available on the FEMA website: 
http://www.fema.gov/government/grant/resources/bcarlalt.shtm). The NFIP Repetitive Loss 
properties may be combined in a project with other repetitive flood loss properties and/or 
non-repetitive flood loss properties; however, the alternative cost-effectiveness approach may 
only be used for the NFIP Repetitive Loss properties. 

 

4.6.2 COST-EFFECTIVENESS DOCUMENTATION 

For each BCA, the Applicant/subapplicant must provide a copy of each page of the actual 
analysis used, whether the BCA was performed using FEMA software or a pre-approved 
alternative methodology. An electronic version of the BCA must be provided in Microsoft 
Excel as well. BCA cover pages or summary reports will not constitute submission of a 
complete BCA. Project subapplications without legible or complete BCA information for 
each property may be removed from consideration. 
Project subapplications that do not include appropriate documentation to support the 
submitted BCA may be removed from consideration. Therefore, it is imperative that all 
supporting documentation be included in the application. The documentation must support 
figures, assumptions, data derivation and calculation methods used in the BCA. 
Subapplications must include full and credible documentation, which: 
.. Clearly explains the data used in the analysis, including the source; 

.. Explains reasons and sources of information for the use of non-default values in the 
BCA; 

.. Is well organized; and 

.. Provides references to the appropriate parts of the analysis. 

Project subapplications should include surveys, copies of elevation certificates, copies of 
appropriate sections of Flood Insurance Studies (FIS) and FIRM, copies of relevant 
supporting information from Engineering reports and other documentation to support figures 
used in their BCAs. A good rule of thumb to observe is that a subject matter expert should 
be able to calculate the BCA based upon the information provided in the subapplication 
without any additional explanation. FEMA has prepared Benefit-Cost Analysis Data 
Documentation Templates (DDT) to assist subapplicants in organizing and addressing all 
required documentation in support of the BCA. It is suggested that a DDT be prepared and 
attached with the supporting documentation for each project BCA. The DDT templates are 
found in the FEMA on-line library or can be reached through 
http://www.fema.gov/government/grant/resources/index.shtm. 

 

The credibility of data sources also is extremely important. FEMA recommends obtaining 
information from published technical sources, in particular engineering studies such as FIS's 
and technical web sites such as those operated by the USGS, NOAA, and a range of 
academic organizations and State agencies and including this information with the project 
subapplication. Professional licensure is strongly preferred in all cases. In addition, data 
from FEMA software and default values from FEMA BCA guidance located on the 
Mitigation BCA Toolkit CD (See Section 5, Technical Assistance Resources) will be 


accepted as completely credible, when software is used correctly and documentation is 
provided. 
4.7 ENVIRONMENTAL/HISTORIC PRESERVATION REVIEW 
.. Pre-Award Requirement: Applicants and subapplicants are required to provide information 
to support FEMAs environmental and historic preservation compliance process. Funds will 
not be awarded and the Applicant/subapplicant may not initiate the project until 
FEMA has completed its review; 
.. Authorities: As part of this review process, FEMA will assess compliance with applicable 
requirements including the National Environmental Policy Act (NEPA), the National 
Historic Preservation Act (NHPA), the Endangered Species Act (ESA), and the Executive 
Orders on Wetlands, Floodplains, and Environmental Justice. The application of these laws 
and orders is threefold: 

1) To help a subapplicant understand the compliance requirements for the proposed project 
and how in meeting some of those requirements, the overall design and cost of the project 
may be affected; 
2) To help FEMA determine how well the Applicant/subapplicant understands these issues 
and has addressed them in the project design. In the case of historically significant 
structures, the owner has the option to use dry floodproofing when elevation and 
acquisition would adversely affect the historic characteristics of the property or area; and 

3) To help expedite the actual environmental and historic preservation compliance process 
that FEMA must complete before final approval and of the project. Technical 
Assistance: Applicants and subapplicants are strongly encouraged to request assistance 
from FEMA with their environmental and historic preservation questions by contacting 
the FEMA helpline via phone: (866) 222-3580, via e-mail: ehhelpline@dhs.gov, Section 
5.2.3, Environmental/Historic Preservation Technical Assistance, or from the applicable 
FEMA Regional Office, Section 1.13, Regional Contact Information. 
.. Coordination with State and Federal Agencies: It is recommended that 
Applicants/subapplicants initiate coordination with relevant State or Federal agencies as soon 
as possible in order to identify any environmental or historic preservation compliance issues 
associated with proposed projects. Applicants with project subapplications selected for 
further review will be notified of the date by which all pre-award activities (including 
environmental and historic preservation activities) must be completed that are considered a 
FEMA responsibility. The Applicants and subapplicants cooperation in the EHP process 
will ensure timely completion of this review. 
4.7.1 ENVIRONMENTAL/HISTORIC PRESERVATION DOCUMENTATION 
.. Scope of Work: An accurate and thorough SOW provides crucial information to FEMA 
when undertaking Environmental/Historic Preservation review. In addition to the 
information provided in the SOW, Applicants/subapplicants must answer a series of 
Environmental/Historic Preservation review questions in the project subapplication to 
provide information about potential environmental resources and/or historic properties in 
the project area and potential impacts to those resources. If the potential resources are 
identified, the Applicant/subapplicant must provide the following information in order for 


the project subapplication to be considered complete including the source and date for all 
information provided: 
1) The property address and original date of construction for any buildings or structures 
that are 50-years or more in age; 
2) Any identified Federally listed threatened or endangered species and its designated 
critical habitat in the project area; 

3) Vegetation, including amount (area), type, and extent to be removed or affected; 
4) 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 
5) Description of any adverse effects on low or minority populations in the project area; 
.. Eligibility and Completeness Review: During Eligibility and Completeness Review, 
FEMA will review the completeness of the responses to the questions in the 
Environmental/Historic Preservation review section of the project subapplication and 
supporting documentation. Project subapplications and individual properties that do 
NOT include the required information may result in a delay in identifying outstanding 
environmental or historic preservation compliance measures and may prohibit FEMA 
from awarding FMA grants by deadline; and 
.. Review and Compliance Process: FEMA will use the information provided in the 
SOW, Cost Estimate, and Environmental/Historic Preservation sections of the project 
subapplication to perform the Environmental/Historic Preservation Review of the 
proposed projects. To facilitate the required compliance process, FEMA strongly 
encourages the Applicant/subapplicant to: 
1) Work with Federal and State resource agencies to begin collecting information about 
potential environmental or historic preservation impacts from the proposed project 
and provide any documentation from the resource agency. The 
Applicant/subapplicant should also determine if the mitigation projects will impact 
historically significant properties; 
2) Evaluate how identified environmental or historic preservation impacts could affect 
the overall project feasibility or if project alternatives or changes to the design, scope 
or location of the project may be required to minimize potential adverse impacts; 

3) Determine if potential environmental impact mitigation measures and historic 
preservation measures, or changes to the project to minimize adverse effects to 
environmental resources or historic properties, may affect the overall project costs. 
For example, certain structures may be floodproofed if acquisition, mitigation 
reconstruction, or elevation would diminish the historic value of the property; 
4) Provide supporting documentation at the time of the subapplication submission to 
include clearly labeled maps, diagrams, photographs, letters, or other documentation 
from resource agencies; and 

5) Utilize the eLearning Tool for FEMA Grant available online at: 
http://www.fema.gov/plan/ehp/elearning/index.shtm. The project subapplication 


provides the necessary information for FEMA to determine the eligibility of proposed 
projects under the FMA program, including a thorough evaluation of Environmental 
and Historic Preservation impacts. 

4.7.2 BENEFIT-COST TECHNICAL REVIEW 

FEMA will verify the BCAs for proposed FMA mitigation projects to ensure that projects 
have a BCR of 1.0 or greater. Project subapplications with a BCR of less than 1.0 may be 
removed from consideration. 

 

The benefit-cost review will be based on the documentation provided in the project 
subapplication. Projects where the BCA is inadequately documented or where critical data or 
sources appear unreasonable may be removed from consideration. 

4.7.3 CONDITIONS FOR THE AWARD OF FUNDS 

 

For mitigation project subapplications selected for further review, FEMA will complete the 
Environmental and Historic Preservation review in consultation with appropriate Federal and 
State resource agencies. This review will be conducted with the assistance of both the 
Applicant and the subapplicant as part of its Pre-award Activities. The outcome of this 
review may be the identification of required environmental impact mitigation or historic 
preservation treatment measures necessary to avoid, minimize or compensate for adverse 
effects caused by the project. Depending on the type of property or resource affected and the 
scope of the project, the measures may be minimal or extensive. These required 
environmental impact mitigation or historic preservation treatment measures will be required 
conditions placed on the award of the grant. 

 

FEMA will not consider changes to the SOW between the application deadline and the 
completion of the selection process. It may be possible for the Applicant and subapplicant to 
avoid or minimize adverse effects by revising the SOW during the pre-award process. The 
Applicant and subapplicant must explain in the revised SOW how any identified impacts to 
environmental resources and/or historic properties will be addressed. 

 

The Applicant/subapplicant must ensure to the best of their ability that costs of any treatment 
measures necessary to address potential adverse impacts are realistically reflected in the Cost 
Estimate. Clean-up costs associated with hazardous materials are not eligible project costs. 
The Applicant/subapplicant is encouraged to provide an explanation of how the Cost 
Estimate was developed to include costs associated with anticipated impact mitigation and 
treatment measures. All such costs identified through the review and consultation process 
may be eligible if included as part of the project subapplication Cost Estimate. 

 

The amount of the Federal share may NOT be increased to cover any additional costs 
identified after the application deadline. If the estimated additional costs of these measures 
exceed the Cost Estimate submitted, the Applicant/subapplicant may accept the subgrant 
award and pay the additional costs or decide not to accept the subgrant award. 

 

FEMA may recoup subgrant funds if any conditions of the award are not implemented as 
agreed upon or if the Applicant/subapplicant initiates the project prior to FEMAs completion 


of the Environmental/Historic Preservation review. Within 4 months of selection, the 
Applicant must provide all additional required documentation so that the 
Environmental/Historic Preservation review can be completed or project subapplication may 
not be approved for award. One year extensions of the obligations deadline will be permitted 
on a limited basis. 

 

4.8 PROJECT SUBAPPLICATION CHECKLIST 
The project subapplication must include the following information: 
.. Applicant Information: Provide name, type of subapplicant (e.g., State Agency, Local, 
Indian tribe), address, State and Federal Tax numbers, and Employer Identification Number. 
.. Contact Information: Provide name, agency, and address for the point(s) of contact for the 
subapplication. 
.. Community Information: Provide name of community and brief description of the 
community to include population, location, any geographic areas of interest, a synopsis and 
history of hazards affecting the community, and other applicable information that will clarify 
the need for the mitigation project. 
.. Match Sources: Provide the non-Federal cost share for the proposed activity, including 
documentation to support the non-Federal cost share (See Section 1.7, Cost Share 
Requirements); 
.. Mitigation Plan Information: Indicate whether the State/Indian tribe/territory is covered by 
a FEMA-approved State/Indian Tribal Standard or Enhanced hazard mitigation plan; if 
applicable, indicate whether the local entity in which the project is located is covered by a 
FEMA-approved Indian Tribal/local hazard mitigation plan; and describe how the proposed 
project is consistent with the goals, objectives, and priorities identified in any existing hazard 
mitigation plans. Provide reference to planning documents (i.e., section and page number). 
.. Scope of Work: Describe the objectives, methodology, feasibility, outcomes, resources, 
deliverables, and benefits of the proposed project, including the hazard(s) to be mitigated, 
and location of project (e.g., appropriate sections of FIRM), and engineering design, 
feasibility and effectiveness for relocation projects. 
.. Activity Information: Identify the type of activity proposed (e.g., acquisition and 
demolition or acquisition and relocation). 
.. Properties: Provide a list of properties to be mitigated. For each property, provide the 
address, latitude and longitude, NFIP repetitive loss number, Market Value, and BCA. In 
addition, provide a letter of interest or from the owner of each property identified. 
.. Schedule: Provide timeframes to complete each project task (e.g., survey, appraisal, 
permitting, inspection requirements, site preparation), and significant milestones throughout 
the entire performance period (See Section 1.9, Performance Period); 
.. Cost Estimate: Provide all anticipated and potential costs for each proposed project activity. 
Provide an Approved Indirect Cost Agreement, if applicable. Include URA, if applicable. 


.. Cost-Effectiveness Information: Provide complete BCA and documentation for each 
property, including damage history, methodology used for the event frequency 
determination, and all BCAs to support property Benefit-Cost Ratios. 
.. Environmental & Historic Preservation Review: Provide a description of Environmental/ 
Historic Preservation impacts and the alternatives considered prior to deciding upon the 
project. 

.. Maintenance Schedule and Costs: Provide a maintenance schedule, including cost 
information, and identify the entity that will perform long-term maintenance. 

.. Assurances and Certifications: If applicable in your Applicant State/Tribe/Territory, 
complete the Summary Sheet for Assurances and Certification, FEMA Form 20-16; 
Assurances-Non-Construction Programs, FEMA Form 20-16A; Assurances-Construction 
Programs, FEMA Form 20-16B; Certification Regarding Lobbying; Debarment, Suspension 
and Other Responsible Matters; Drug-Free Workplace Requirements, FEMA Form 20-16C; 
and Disclosure of Lobbying Activities, Standard Form LLL. 

.. Property Acquisition Statement of Assurances: Provide signed statement of agreement 
with certain assurances required for projects involving property acquisition (See FEMAs 
FMA website for a model statement of assurances 
http://www.fema.gov/government/grant/fma/index.shtm). 

4.9 FEMA PRE-AWARD ACTIVITIES 

FEMA Regional Offices will work with Applicants who have approved Project subapplications 
to implement required pre-award activities prior to grant award (See Section 1.8.5, FEMA Pre-
award Activities). 

 

4.9.1 PROPERTY ACQUISITION AND RELOCATION REQUIREMENTS 

For property acquisition and relocation projects, the subapplicant must submit documentation 
that the subapplicant has consulted the US Army Corps of Engineers and the State 
Department of Transportation regarding potential future land use conflicts with open space 
acquisition. Additionally, the subapplicant must submit a copy of the deed restriction, 
incorporating the specific language from FEMAs model deed restriction, which the local 
government will record with acquired properties. 

 

4.9.2 SPECIAL FLOOD HAZARD AREA REQUIREMENTS 

For projects related to improved structures sited in SFHAs, FEMA will verify that 
participating property owners obtain flood insurance on the property by application and 
require assurance that flood insurance is maintained for the life of the property. Signed 
notices of the conditions for receiving FEMA grant funds for projects in a SFHA must be 
provided to FEMA at application. Properties that do not meet these requirements will not be 
eligible to receive assistance under the FMA program (See Section 1.3.3, Program 
Requirements). 
The following requirements apply to any project to alter existing structures that are sited 
within a Special Flood Hazard Area (SFHA): 

.. When the project is implemented, all structures that will not be demolished or relocated 
out of the SFHA must be covered by flood insurance 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; and 

.. The subapplicant (or property owner) will legally record with the county or appropriate 
jurisdictions 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 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. Part 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 flood plain management criteria of 

Title 44 of the Code of Federal Regulations Part 60.3 and City/County Ordinance. 

 

Applicants receiving assistance for projects sited in a SFHA will ensure that these 
requirements are met by requesting the participating property owner(s) to sign an 
Acknowledgement of Conditions for Mitigation of Property in a SFHA with FEMA Grant 
Funds form and providing the form to FEMA prior to award. This form is available on the 
FMA web page: http://www.fema.gov/government/grant/resources/pre-award.shtm or from 
FEMA Regional Offices (See Section 1.13, Regional Contact Information). Properties that 
do not meet these requirements will not be eligible to receive assistance under the FMA 
program. 

 
4.9.3 FLOOD ELEVATION DATA 

In the wake of a major flood event, FEMA may issue Advisory Base Flood Elevations 
(ABFE) that more closely reflects post-storm conditions. In areas where ABFEs have not 
been established, existing and effective flood boundaries and elevations must be utilized 
during project development. ABFEs developed following Hurricanes Katrina and Rita are 
currently available for several areas eligible for FMA activities. Applicants should check the 
status of this information during project scoping. 

.. ABFE information is available for the coastal counties in Mississippi from the FEMA 
website at: 
http://www.fema.gov/hazard/flood/recoverydata/katrina/katrina_ms_index.shtm 

.. For the parishes in Louisiana from the FEMA website at: 
http://www.fema.gov/hazard/flood/recoverydata/katrina/katrina_la_index.shtm. 

In addition to the issuance of ABFE data, FEMA periodically updates the flood hazard data 
for a community by issuing a new FIS and FIRM. It is conceivable that while a community 
is implementing an approved mitigation project, a new FIRM with flood elevations different 
from the previous map is adopted for use in administering the NFIP. Under this scenario, the 
mitigation project must be permitted in accordance with the effective FIRM. 

 


During the grant application development process, Applicants are encouraged to contact the 
office of the State NFIP coordinator to assess the potential for FIRM updates in potential 
project areas. 

 
4.9.4 GEOCODING REQUIREMENTS 

The location of all approved mitigation projects funded by the PDM program must be 
geocoded using standard datum. Geospatial coordinates, in the form of latitude and 
longitude with an accuracy of +/- 20 meters (64 feet), must be provided for all individual 
properties contained in the mitigation project, including: 

.. Individual property information on properties mitigated, and 

.. Project sites for mitigation activities such as stormwater management, road and bridge 
improvement, and critical facility protection, and flood control projects. 

The specific Guidance for Geocoding Mitigation Data was provided to the FEMA Regional 
Offices in August, 2004, and provides guidance for collecting and formatting location 
information. This is available on FEMAs web page: 
http://www.fema.gov/government/grant/pdm/index.shtm or from the Regional Offices. 
FEMA will work with Applicants to ensure this information is provided prior to award. 

 

4.9.5 ENVIRONMENTAL AND HISTORIC PRESERVATION COMPLIANCE 
REQUIREMENTS 

FEMA will complete the Environmental/Historic Preservation compliance review for 
projects as part of pre-award activities. Subgrantees shall not initiate grant activities until 
FEMA has completed the Environmental/Historic Preservation review. FEMA may, at its 
discretion, request information or documentation from Applicants to resolve outstanding 
administrative or procedural requirements as part of its pre-award activities. Certain projects 
are of a nature that environmental/historic review can be accomplished with the information 
provided in the subapplication. Other projects may require some additional review, or 
extensive review. FEMA will often request that the Applicant and subapplicant work with 
FEMA in the review process. 

 

4.10 UPDATING REPETITIVE LOSS DATABASE FOR MITIGATED 
PROPERTIES 

In order to maintain accurate, up-to-date records for all repetitive loss properties mitigated as a 
result of FMA Project grants, FEMA requires the submission of Form AW-501, NFIP Repetitive 
Loss Update Worksheet (OMB #1660-0022). Typically, this form is completed by the State or 
community, but it may be completed by a Region with appropriate documentation that shows 
any changes in the status of a property (i.e., elevation certificate). This form, along with the 
transmittal sheet or other document signed by an authorized community official, must be 
submitted for each property mitigated with FMA funds prior to closeout. Form AW-501 and 
instructions for completing and submitting the Form are available on FEMAs FMA web page, 
http://www.fema.gov/government/grant/resources/aw501ins.shtm or from the Regional Offices 
(See Section 1.13, Regional Contact Information). 

 


SECTION 5 TECHNICAL ASSISTANCE RESOURCES 

FEMA will provide technical assistance to both Applicants and subapplicants by answering 
general questions about the FMA program as well as providing general technical assistance 
related to planning and project subapplications. FEMA will also provide technical assistance 
regarding the application process and the eGrants system. FEMA encourages Applicants and 
subapplicants to seek technical assistance early in the application period by contacting their 
FEMA Regional Office (See Section 1.13, Regional Contact Information). 

 

5.1 eGRANTS HELPDESK 

FEMA will provide technical assistance to Applicants and subapplicants specific to the eGrants 
through the eGrants Helpdesk, which can be reached via phone: 1-866-476-0544 or e-mail: 
mtegrants@dhs.gov. Standard hours of operation are 9 a.m. to 5 p.m. Eastern Time. Hours may 
be extended during the application period. 

 

5.2 PROJECT TECHNICAL ASSISTANCE 

FEMA will provide general technical assistance to both Applicants and subapplicants related to 
project Engineering Feasibility, BCA, and Environmental/Historic Preservation compliance. 
However, in no case will technical assistance involve conducting a BCA, or reviewing project-
specific information for completeness or technical feasibility. 

 

5.2.1 ENGINEERING FEASIBILITY TECHNICAL ASSISTANCE 

FEMA may provide technical assistance to Applicants and subapplicants regarding the level 
of documentation and the types of information that FEMA will need to adequately review the 
feasibility and effectiveness of proposed mitigation projects. In addition, FEMA may 
provide technical assistance to Applicants and subapplicants regarding the completeness and 
accuracy of project cost estimating for engineering costs. 

 

To assist Applicants and subapplicants with the documentation of their proposed projects, 
FEMA has prepared Sample Engineering Case Studies. These case studies provide examples 
of the information needed for proposed mitigation projects. The case studies include general 
information that must be included in the application and highlight the importance of the 
SOW and Cost Estimate sections of the project subapplication as they relate to 
documentation for the engineering review. The case studies are not sample applications and 
must only be used as guidance. The case studies are available on FEMAs PDM web page: 
http://www.fema.gov/government/grant/resources/index.shtm#2 or from the Regional Offices 
(See Section 1.13, Regional Contact Information). 

 

FEMA has developed procedures to assist Applicants applying for funding under FEMA's 
mitigation grant programs for several common flood project types. The purpose of these 
documents is to provide guidance to Applicants and subapplicants regarding collection of the 
administrative and technical data that FEMA requires. The Procedures for Developing a 
SOW may be downloaded from the FEMA website: 
http://www.fema.gov/government/grant/resources/index.shtm#3. 


 

In addition, a Help Module will be available to assist Applicants and subapplicants with 
developing the SOW, Work Schedule, and Cost Estimate for project subapplications. The 
Help Module will provide interactive and dynamic, context-sensitive help and resources 
throughout the development of a project application. The Help Module is linked to various 
sections of the project subapplication in the eGrants system and is also available from the 
FEMA Information Resources Library: 
http://www.fema.gov/library/viewRecord.do?id=1860. 

 

5.2.2 BENEFIT-COST ANALYSIS TECHNICAL ASSISTANCE 

FEMA has prepared a Mitigation BCA Toolkit CD. This CD includes all of the FEMA BCA 
software, technical manuals, BCA training courses, and other supporting documentation. 
Applicants and subapplicants may obtain the FEMA Mitigation BCA Toolkit CD free from 
FEMA by contacting the Technical Assistance Helpline or the applicable FEMA Regional 
Office (See Section 1.13, Regional Contact Information.). 
While FEMA will provide technical assistance on the BCA data needs and documentation 
requirements, FEMA will not input data and/or run the BCA modules for Applicants or 
subapplicants. The BCA technical assistance provided to potential Applicants and 
subapplicants may cover: 
.. Use of the FEMA Mitigation BCA Toolkit CD; 
.. Use of the BCA Data Documentation Templates found on the Toolkit CD; 

.. Proper use of the BCA modules, procedures, and methodologies; 

.. How to handle aggregate project BCA for multiple properties and methodologies; and 

.. How to prepare detailed Cost Estimates. 

5.2.3 ENVIRONMENTAL/HISTORIC PRESERVATION TECHNICAL 
ASSISTANCE 

The Applicant and subapplicant may find specific guidance on completing the 
Environmental/Historic Preservation questions in the Environmental/Historic Preservation 
Information section of the project subapplication linked to this section in the eGrants system 
as well as on FEMAs website at http://www.fema.gov/plan/ehp/index.shtm. 

 

In addition, a Help Module is available to assist Applicants and subapplicants with answering 
the Environmental/Historic Preservation questions and provides interactive and dynamic, 
context-sensitive help, instructions, and resources for each of the parts of the 
Environmental/Historic Preservation Information section of the project subapplication. The 
Help Module also highlights Environmental/Historic Preservation considerations that may 
need to be addressed in other parts of the project subapplication, such as the SOW and Cost 
Estimate. The Help Module is linked directly to the Environmental/Historic Preservation 
Information section of the project subapplication in the eGrants system as well as to the FMA 
web page: http://www.fema.gov/plan/ehp/elearning/index.shtm.

 


FEMA also offers training related to Environmental/Historic Preservation online through the 
National Emergency Training Center Virtual Campus. This interactive, computer-based, 
independent study course is designed to provide the user with the basic background and 
practical knowledge needed to participate in FEMAs Environmental/Historic Preservation 
review process; help the user understand how the Environmental/Historic Preservation 
review process applies to various projects proposed under FEMAs programs; and provide 
the resources necessary for the user to accomplish Environmental/Historic Preservation 
responsibilities. The Independent Study course, IS 253, includes interactive knowledge 
checks, case studies, and resource materials. Please visit the FEMA website at 
http://training.fema.gov/EMIWeb/IS/is253.asp for more information about the online course 
or contact your FEMA Regional Office (See Section 1.13, Regional Contact Information). 

 

5.2.4 PROJECT TECHNICAL ASSISTANCE HELPLINES 

FEMA established Technical Assistance Helplines to provide assistance to Applicants and 
subapplicants with engineering feasibility and effectiveness; BCA, including BCA software, 
technical manuals, and other BCA references; and Environmental/Historic Preservation 
compliance for project subapplications. The Helplines can be reached via telephone: 1 (866) 
222-3580 or e-mail: enghelpline@dhs.gov; bchelpline@dhs.gov; and ehhelpline@dhs.gov, 
respectively, and a representative will respond within two-business days.