FP 204-078-112-1 

MITIGATION POLICY 

I. TITLE: 

Eligibility of Flood Risk Reduction Measures under the Hazard Mitigation Assistance 

(HMA) Programs

II. DATE OF ISSUANCE: 

June 27, 2014 

III. POLICY STATEMENT: 

This policy updates FEMA’s HMA Unified Guidance (Guidance) concerning the 

eligibility of flood risk reduction measures under the Hazard Mitigation Grant 

Program (HMGP), the Pre-Disaster Mitigation (PDM) program and the Flood 

Mitigation Assistance (FMA) program. 

Guidance preceding this policy prohibited the funding of major “flood 

control”(flood risk reduction) projects such as dikes, levees, floodwalls, seawalls, 

groins, jetties, dams and large-scale waterway channelization and erosion projects 

related to beach nourishment or re-nourishment, under all HMA programs. While 

these project types continue to be ineligible under the FMA program, they are 

eligible for consideration under the HMGP and PDM program.

Other flood risk reduction measures, such as property acquisition, structure

elevation, and minor localized flood reduction measures, remain eligible activities 

under all HMA programs. 

Under all HMA programs, approval of an eligible project must not result in a 

duplication of programs (DOP) with other federal agencies. The DOP issue is of 

particular concern in determining eligibility for flood risk reduction projects 

because other federal agencies (most commonly the U.S. Army Corps of Engineers 

(USACE) and the Natural Resources Conservation Service (NRCS)) may be 

engaged in funding similar flood risk reduction measures under more specific 

authorities. Examples of potential DOPs regarding major flood risk reduction 

measures are described later in this document. 

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IV. PURPOSE: 

The purpose of this policy is to revise FEMA guidance concerning eligible and 

ineligible flood risk reduction measures under the HMA programs.

V. SCOPE AND EXTERNAL AUDIENCE: 

This policy applies to Federal, State, Tribal and local officials involved in the 

administration of HMA programs. 

VI. AUTHORITY: 

HMA programs are established by Sections 203 (PDM) and 404 (HMGP) of the 

Robert T. Stafford Disaster and Emergency Assistance Act, 42 U.S.C. §§ 5133, 5170c-

(b)(2) and by Section 1366 (FMA) of the National Flood Insurance Act of 1968 

(NFIA), as amended by the Biggert-Waters Flood Insurance Reform Act of 2012, 42 

U.S.C. § 4104c. The HMA programs are also governed by Title 44 Code of Federal 

Regulations (C.F.R.) Part 9, Part 10, Part 13, Part 59, Part 65, Part 79 (FMA), Part 80 

and Part 206, Subpart N (HMGP).

VII. DEFINITIONS, ABBREVIATIONS, AND FORMATTING: 

Definitions

Dam means an artificial barrier that has the ability to impound water, wastewater, 

or any liquid-borne material, for the purpose of storage or control of water. 

Dike – see definition for Levee.

Floodwall means a concrete and/or steel wall, built on top of a levee, or in place of a 

levee, to retain floodwater for the purposes of reducing flood risk.

 

Groin means a shore protection structure built to trap and retain sand. Groins are 

usually perpendicular or nearly at right angles to the shoreline and relatively short 

when compared to navigation jetties at tidal inlets.

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Jetty means a structure built at the mouth of a river or tidal inlet to help deepen and 

stabilize a channel. A jetty is a structure extending into a body of water, designed to 

reduce erosion and to direct and confine the stream or tidal flow.

Levee means an earthen embankment that is designed and constructed in 

accordance with sound engineering practices to contain, reduce or divert the flow of 

water so as to provide protection from temporary flooding. 

Seawall means a structure separating land and water areas and is primarily 

designed to prevent erosion and other damage from wave actions.

Abbreviations

C.F.R. Code of Federal Regulations

FEMA Federal Emergency Management Agency

FIMA Federal Insurance and Mitigation Administration

FMA Flood Mitigation Assistance program

Guidance Hazard Mitigation Assistance Unified Guidance

HMA Hazard Mitigation Assistance 

HMGP Hazard Mitigation Grant Program 

PDM Pre-Disaster Mitigation program

USACE U.S. Army Corps of Engineers

NRCS Natural Resources Conservation Service

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VIII. POLICY DETAILS: 

Eligibility

Guidance states, and this policy maintains, that minor localized flood reduction 

projects are eligible for funding under the HMGP, PDM, and FMA programs. 

Eligible minor physical mitigation efforts include measures that reduce flood losses 

for single structures or facilities, groups of structures or whole neighborhoods. 

Examples of such minor physical flood mitigation efforts include but are not limited 

to: 

• Stormwater management projects including the construction, installation or 

improvement of culverts, drain pipes, pumping stations, floodgates, and 

detention or retention basins;

• Flood protection measures for water and sanitary sewer systems or other 

utility systems;

• Slope stabilization or grading to direct flood waters away from homes, 

schools, businesses, utilities or governmental facilities; 

• Vegetation management for shoreline stabilization (coastal, riverine, riparian 

and other littoral zones); and 

• Flood protection and stabilization measures for roads and bridges.

Guidance also states that major flood risk reduction projects related to the 

construction, demolition, or repair of dams, dikes, levees, floodwalls, seawalls, 

groins, jetties, breakwaters, and erosion projects related to beach nourishment or renourishment are ineligible activities under all HMA programs. This policy maintains 

that major flood risk reduction projects are not eligible under the FMA program 

because such projects are prohibited by FMA authorizing legislation and 

implementing regulations (Section 1366 of the NFIA, 42 U.S.C. §4104c(e)(5)(D) and 

44 C.F.R. §79.6(c)(2)(vi), respectively). However, HMGP and PDM authorities are 

general mitigation authorities that do not restrict the eligibility of specific flood risk 

reduction measures. Therefore, this policy clarifies that any long-term flood hazard 

mitigation measures, including major flood risk reduction projects, which are costeffective, feasible, and designed to substantially reduce risk of future damage and 

loss of life from flooding, are eligible for consideration under the HMGP and PDM 

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(Sections203 and 404 of the Stafford Act, 42 U.S.C. §§ 5133 and 5170c, respectively; 

44 C.F.R. §§ 206.430-440). 

Requirements

All HMA projects must comply with 44 C.F.R. Part 9, Floodplain Management and 

the Protection of Wetlands and Part 10, Environmental Considerations or 

superseding FEMA National Environmental Policy Act implementing procedures. 

Because major flood control projects involve construction in sensitive environmental 

areas, floodplains and/or wetlands, compliance of these projects with the required 

environmental review at 44 C.F.R. Parts 9 and 10 is particularly important. HMA 

eligibility requirements include an 8-step process for projects located in wetlands 

and/or floodplains (44 C.F.R. § 9.6, Decision-making Process). These requirements 

are intended to identify and avoid potential floodplain and environmental impacts 

and necessitate the review of alternative locations and actions to minimize 

floodplain and environmental impacts, including no action. 

For complex flood risk reduction projects, subapplicants are strongly encouraged to 

use a phased project approach (Unified HMA Guidance, Part IX, A.10, Phased 

Projects). 

Clarification Concerning the Prohibition against DOP

Federal law and FEMA HMA regulations prohibit DOP unless, in a post-disaster 

situation, there is an extraordinary threat to lives, public health or safety or 

improved property (44 C.F.R. § 206.434(f), Duplication of Programs). 

For certain major flood risk reduction projects, FEMA’s authority to fund the project 

may overlap with USACE’s or NRCS’s authority to fund a similar project. To avoid 

a DOP concerning a major flood risk reduction project, Applicants and 

subapplicants should consult their local USACE or NRCS office prior to developing 

an HMA application for the project. The following represent the most common 

DOP situations with respect to major flood risk reduction projects:

1. If the USACE or NRCS is authorized to complete a specific structural flood 

risk reduction project, FEMA may not fund a structural flood risk reduction 

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project of a similar nature in the area identified in the USACE or NRCS 

project plan. A DOP exists regardless of whether funds have been 

appropriated for the project. 

2. If the USACE or the NRCS are authorized to perform a flood risk reduction 

study with the goal of exploring options for structural flood protection 

systems in a specified area, FEMA generally may not provide HMA funds for 

projects of a similar nature in the same area. When the other Federal agency 

has completed the study and selected a project alternative – as indicated by a 

public record of decision – the study no longer presents a DOP. At that point, 

generally only the selected project elements indicated in the public record of 

decision represent a DOP.

3. There is generally no DOP presented by FEMA performing property 

acquisition for open space, elevation, or minor localized measures within a 

USACE or NRCS flood risk reduction project or study area. However, FEMA 

regulations require subapplicants to coordinate with USACE to assure that no 

levee projects are planned in areas proposed for HMA property acquisition 

for open space activities (44 C.F.R. §80.13(b), Consultation Regarding Other 

Ongoing Federal Activities). 

 

4. FEMA may not use HMA funds to mitigate a portion of a flood risk reduction 

project owned or operated by another Federal agency. However, if a flood 

protection project is only regulated by another Federal agency for a purpose 

other than flood risk reduction, the structure is still eligible for HMA. For 

example, dams regulated by the Environmental Protection Agency for water 

quality may be eligible for HMGP and PDM program flood protection 

improvements.

5. FEMA may not fund a project where there is a statute stating that another 

Federal agency has exclusive jurisdiction to construct flood risk reduction 

structures in a specified part of the United States.

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IX. ROLES & RESPONSIBILITIES: 

The roles and responsibilities for all Federal, State, Tribal and local parties are 

consistent with those outlined in the Uniform Administrative Requirements (44

C.F.R. Part 13), Hazard Mitigation Grant Program (44 C.F.R. Part 206 Subpart N), 

Flood Mitigation Grants (44 C.F.R. Part 79) and Guidance. 

X. MONITORING AND EVALUATION: 

The grantee must comply with FEMA requirements outlined in the Uniform 

Administrative Requirements (44 C.F.R. Part 13), Hazard Mitigation Grant Program 

(44 C.F.R. Part 206 Subpart N), Flood Mitigation Grants (44 C.F.R. Part 79), and 

Guidance. Grantees must also comply the terms and conditions of the grant award 

agreement.

Projects to be accredited for mapping purposes must meet the requirements 

provided in 44 C.F.R. § 65.10, Mapping of Areas Protected by Levee Systems. 

XI. RESPONSIBLE OFFICE: 

The FIMA Risk Reduction Division Grants Policy Branch is the originating office for 

this policy document, with the overall responsibility for policy updates and 

enforcement.

XII. SUPERSESSION: 

FY 2013 HMA Unified Guidance, Part IV, Eligibility Information, D.2 Ineligible 

Activities.

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________________________________________ 

 

FP 204-078-112-1 

MITIGATION POLICY 

XIII. REVIEW DATE:

FEMA will review this policy 3 years from the date of issuance in accordance with 

Directive 112-12. 

Deputy Associate Administrator 

Federal Insurance and Mitigation Administration 

Federal Emergency Management Agency 

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Roy E. Wright