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FEMA POLICY: Tribal Mitigation Plan Review 

Guide

FEMA Policy #306-112-1

BACKGROUND

This policy applies to Indian tribal governments (tribal governments) responsible for 

developing, updating, maintaining and implementing hazard mitigation plans and to FEMA 

officials that review and approve tribal mitigation plans for compliance with the mitigation 

planning requirements at 44 Code of Federal Regulations (CFR) Part 201. States, tribes, 

territories, and local governments are required to develop and adopt FEMA-approved hazard 

mitigation plans as a condition for receiving certain types of non-emergency disaster 

assistance including Public Assistance Categories C-G (PA C-G), Fire Management 

Assistance Grants (FMAG), Hazard Mitigation Grant Program (HMGP), Pre-Disaster Mitigation 

(PDM) and Flood Mitigation Assistance (FMA). To maintain this eligibility, Tribal Mitigation 

Plans must be submitted to FEMA and approved every five years.

SUPERSESSION

The Tribal Mitigation Plan Review Guide supersedes the “Tribal Multi-Hazard Mitigation 

Planning Guidance” (March 2010).

PURPOSE

The purpose of the Tribal Mitigation Plan Review Guide (or Guide) is to provide guidance to 

Federal Emergency Management Agency (FEMA) mitigation plan reviewers so that they can 

assess tribal mitigation plans in a fair and consistent manner and to ensure that approved tribal 

mitigation plans meet the requirements at Title 44 CFR Part 201, including 44 CFR, § 201.7, 

Tribal Mitigation Planning. 

PRINCIPLES 

A. In compliance with the FEMA Tribal Policy1 FEMA commits itself to building a stronger and 

lasting partnership with tribal governments to assist them in preparing for the hazards they 

face, to reduce their disaster vulnerabilities, to respond quickly and effectively when 

disasters strike, and to assist in recovering in their aftermath. FEMA recognizes that tribal 

 

1 FEMA Tribal Policy, December 27, 2016, FEMA. https://www.fema.gov/media-library/assets/documents/25324
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governments are not political subdivisions of states, but are recognized by the United 

States as distinct sovereign entities. 

B. Tribal Hazard Mitigation plans should be reviewed fairly and consistently and the results of 

the review should be communicated in a positive and constructive manner to foster 

cooperation and understanding. 

REQUIREMENTS

As a condition of eligibility for certain non-emergency FEMA grant programs, tribal 

governments must have a FEMA approved Tribal Mitigation Plan. Tribal Mitigation Plans 

submitted to FEMA will be reviewed to ensure that the plan meets the requirements at 44 CFR 

Part 201, including 44 CFR Section 201.7, Tribal Mitigation Planning. The Tribal Mitigation 

Plan Review Guide includes:

1. Standard Mitigation Plan Requirements that apply to all tribal mitigation 

plans submitted to FEMA

2. Enhanced Mitigation Plan Requirements that apply only to tribal mitigation 

plans submitted by tribal governments seeking approval of an Enhanced 

Mitigation Plan

In order to maintain eligibility, tribal governments must update and submit a mitigation plan to 

FEMA for approval every five years.

A. STANDARD TRIBAL MITIGATION PLAN REQUIREMENTS

Outcome: FEMA will review Tribal Mitigation Plans using this guidance to ensure plans meet 

Standard Mitigation Plan Requirements in accordance with 44 CFR, Part 201. 

1. The plan must meet Standard Mitigation Plan Requirements in accordance with 44 CFR, 

Part 201, including 44 CFR Section 201.7, Tribal Mitigation Planning. 

a. Planning Process – The planning process involves bringing tribal members, 

such as tribal leaders, tribal elders, and other partners together to discuss 

their knowledge, their perception of risk, and how to meet their needs as part 

of the process. This inclusive process works within the traditions, culture, and 

methods most suitable to a tribal government, so that participants better 

understand the unique vulnerabilities to the tribal planning area and can 

develop relevant mitigation actions. To meet the planning process 

requirements, the plan must document and describe the following: 

i. How the plan was prepared and who was involved in the process.

ii. How the public, as defined by the tribal government, was given an 

opportunity to comment on the plan. 

iii. As appropriate, how neighboring communities other tribal agencies 

involved in hazard mitigation activities, and agencies that have the 
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authority to regulate development and other interested parties were 

given an opportunity to be involved in the planning process.

iv. How existing plans, studies, and reports were reviewed and 

incorporated into the plan.

v. How the planning process was integrated to the extent possible 

with other ongoing tribal planning efforts as well as other FEMA 

programs and initiatives. 

vi. The method and schedule for keeping the plan current (monitoring, 

evaluating and updating the mitigation plan within the plan update 

cycle).

vii. How the tribal government will continue to seek public participation 

after the plan has been approved and during the plan maintenance 

process.

b. Hazard Identification and Risk Assessment - The risk assessment provides 

the factual basis for activities proposed in the strategy that will reduce losses 

from identified hazards that could potentially impact the tribal planning area. 

An effective risk assessment makes a clear connection between the tribal 

government’s vulnerability and the hazard mitigation actions. To meet the 

requirements for the Hazard Identification and Risk Assessment, the plan 

must include the following: 

i. A description of the type, location, and extent of all natural hazards 

that can affect the tribal planning area.

ii. Information on previous occurrences of hazard events and on the 

probability of future hazard events for the tribal planning area.

iii. A description of identified hazard’s impact as well as an overall 

summary of the vulnerability of the tribal planning area.

c. Mitigation Strategy - The mitigation strategy serves as the long-term blueprint 

for action to reduce potential losses due to hazards identified in the risk 

assessment. The Stafford Act requires that tribal mitigation plans describe 

hazard mitigation actions and establish a strategy to implement those actions. 

To meet the mitigation strategy requirements, the plan must include the 

following: 

i. A discussion of the tribal government's pre- and post-disaster 

hazard management policies, programs, and capabilities to mitigate 

the hazards in the area, including an evaluation of tribal laws and 

regulations related to hazard mitigation as well as to development 

in hazard-prone areas.

ii. Include a discussion of tribal funding sources for hazard mitigation 

projects and identify current and potential sources of federal, tribal 

or private funding to implement mitigation activities.
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iii. Goals to reduce or avoid long-term vulnerabilities to the identified 

hazards.

iv. Identification and analysis of a comprehensive range of specific 

mitigation actions and projects being considered to reduce the 

effects of hazards, with emphasis on new and existing buildings 

and infrastructure.

v. An action plan that describes how the actions identified will be 

prioritized, implemented, and administered by the tribal 

government.

vi. A description of the process by which the tribal government will 

incorporate the requirements of the mitigation plan into other 

planning mechanisms, when appropriate.

vii. A description of a system for reviewing progress on achieving goals 

as well as activities and projects identified in the mitigation strategy, 

including monitoring implementation of mitigation measures and 

project closeouts.

d. Plan Updates - In order for the mitigation plan to remain relevant and 

representative of the tribal government’s risk reduction strategy, it is important 

that the plan reflect current conditions as well as conditions that may affect 

the tribe’s hazard risks in the future. This involves an assessment of the 

existing and planned development patterns as well as an evaluation of any 

new hazard information. The plan update is an opportunity for the tribal 

government to assess its previous mitigation strategy, evaluate progress in 

implementing hazard mitigation actions and/or projects, and adjust the plan 

based on changing conditions and new tribal government priorities. To meet 

the requirements for Plan Updates, the plan must include the following:

i. Revisions to reflect changes in development, (description of 

changes in development that have occurred in hazard prone areas 

since the last plan was approved). 

ii. Revisions to reflect progress on mitigation actions. 

iii. Revisions to reflect changes in priorities, (for example, due to 

disaster events or changes in leadership).

e. Assurances and Adoption - The regulation regarding assurances relates to 

the tribal government’s understanding and accountability in complying with 

“Federal statutes and regulations in effect with respect to the periods for 

which it receives grant funding.

Adoption by the tribal government demonstrates the commitment to fulfill the 

hazard mitigation goals and actions outlined in the plan. Adoption legitimizes 

the plan and authorizes responsible agencies to execute their responsibilities. 
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To meet the requirements for Plan Assurances and Adoption, the plan must 

include the following

i. Assurances that the tribal government will comply with all 

applicable federal statutes and regulations in effect with respect to 

the periods for which it receives grant funding, including 2 CFR 

parts 200 and 3002, and will amend its plan whenever necessary to 

reflect changes in tribal or federal laws and statutes.

ii. Documentation that it has been formally adopted by the governing 

body of the tribal government requesting approval

B. ENHANCED TRIBAL MITIGATION PLAN REQUIREMENTS

Outcome: FEMA will review Enhanced Tribal Mitigation Plans using this guidance to ensure 

that these plans meet Enhanced Tribal Mitigation Plan Requirements in accordance with 44 

CFR Part 201. Applicants with a FEMA-approved State or Tribal Enhanced Mitigation Plan are 

eligible for HMGP funding not to exceed 20 percent of the estimated total federal assistance 

under the Stafford Act. 

1. In order to be considered for the increased HMGP funding, the tribal mitigation plan must 

meet the Enhanced State Mitigation Plan criteria identified in 44 CFR § 201.5, Enhanced 

State Mitigation Plans. The Enhanced Mitigation Plan regulations in 44 CFR § 201.5 

include a list of capabilities that build on, and exceed, the standard mitigation plan

requirements. While 44 CFR § 201.5 specifically references a “State,” the requirements are 

applicable to tribal governments. This guidance describes how FEMA interprets the various 

requirements of the regulation for all enhanced tribal mitigation plan reviews. To meet the 

requirements for Plan Updates, the plan must demonstrate the following:

a. Meet Standard Plan Requirements – In order to be considered for enhanced status,

the plan must first contain all of the required elements of a standard tribal mitigation 

plan as outlined in 44 CFR § 201.7.

b. Integrated Planning – the tribal government’s history of integration with agencies and 

partners with mitigation capabilities or shared objectives to reduce risks from natural 

hazards. Integrated planning means embedding mitigation in other tribal planning, 

decision making, and development, as well as enabling planning initiatives from other 

sectors, such as emergency management, economic development, land use, 

housing, health and social services, infrastructure and natural Resources, to inform 

the tribal government’s mitigation strategy. The enhanced plan must also 

demonstrate integration of FEMA mitigation programs and initiatives, including, if 

applicable, but not limited to: Hazard Mitigation Grant Program, (HMGP), PreDisaster Mitigation, (PDM), Flood Mitigation Assistance, (FMA), the National Flood 

Insurance Program, (NFIP), and other FEMA programs that advance mitigation, for 
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example, Threat Hazard Identification and Risk Assessment, (THIRA) and Public 

Assistance, (PA) Categories C-G.

c. Tribal Mitigation Capabilities - Successful implementation of projects, programs, or 

other activities that reduce exposure to hazards using a variety of resources and a 

comprehensive approach. This includes a method or system of ranking mitigation 

measures and assessing the effectiveness of mitigation actions as well as 

demonstrating effective use of FEMA funding and existing tribal government and 

other existing programs to achieve mitigation goals. 

d. Hazard Mitigation Assistance (HMA) Grants Management Performance- existing

capabilities to effectively manage the HMGP as well as other mitigation grant

programs, (44 CFR §§ 201.5(a), 201.5(b)(3), and 201.5(b)(2)(iii)). This includes the 

following: 

i. Capability to meet application timeframes

ii. Capability to prepare and submit accurate environmental reviews and 

benefit cost analyses

iii. Capability to submit complete, accurate and timely quarterly progress 

and financial reports.

iv. Capability to complete HMA projects within established performance 

periods, including financial reconciliation

The Tribal Mitigation Plan Review Guide and additional information on Hazard Mitigation Planning is 

available at https://www.fema.gov/hazard-mitigation-planning.

____________________________________

Roy E. Wright 

Deputy Associate Administrator for

Insurance and Mitigation 

____________________________________

December 5, 2017
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ADDITIONAL INFORMATION

REVIEW CYCLE

FEMA Policy #306-112-1: Tribal Mitigation Plan Review Guide will be reviewed and then 

reissued, revised, or rescinded within four years of the issue date. 

AUTHORITIES

A. Section 322 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act 

(Public Law 93-388), as amended

B. The National Flood Insurance Act of 1968, as amended, 42 U.S.C. 5165, 42 U.S.C. 

4104c

C. Title 44 Code of Federal Regulations, Part 201, Mitigation Planning; and Part 206, 

Subpart N Hazard Mitigation Grant Program, §206.434 Eligibility

DEFINITIONS

Indian Tribal Government: For the purpose of this policy, the term "tribal government," 

sometimes referred to as "tribe," means "Indian tribal government" as defined in 44 CFR § 

201.2." According to 44 CFR § 201.2, Indian tribal government means any Federally recognized 

governing body of an Indian or Alaska Native Tribe, band, nation, pueblo, village, or community 

that the Secretary of Interior acknowledges to exist as an Indian Tribe under the Federally 

Recognized Indian Tribe List Act of 1994, 25 U.S.C. 479a. This does not include Alaska Native 

corporations, the ownership of which is vested in private individuals. 

Tribal Planning Area: The tribal planning area includes the lands upon which the tribal 

government is authorized to govern, develop, or regulate. These lands may include, but are not 

limited to, lands within the Reservation and off-Reservation lands owned by, managed by, or 

held in trust for the tribal government, allotted trust land, and fee land. These lands may be 

either contiguous or non-contiguous and for multi-jurisdictional planning may include other 

tribes or non-tribal jurisdictions.

MONITORING AND EVALUATION

FEMA Mitigation Planning staff will monitor and evaluate this policy based on stakeholder 

feedback and any potential regulatory updates. 

QUESTIONS

Direct questions to FEMA-Mitigation-Planning@fema.dhs.gov.
Tribal Mitigation Plan 

Review Guide 

Released December 5, 2017 

Effective December 5, 2018 

FP 306-112-1 

OMB Collection Number: 1660-0062 
This page is intentionally blank. 
Tribal Mitigation Plan Review Guide 2017

Table of Contents

List of Acronyms and Abbreviations............................................................................................ ii 

SECTION 1: Introduction ..............................................................................................................1 

1.1 PURPOSE ..........................................................................................................................1 

1.2 MULTI-JURISDICTIONAL PLANS................................................................................2 

1.3 GUIDING PRINCIPLES ...................................................................................................2 

1.4 TRIBAL COORDINATION AND TECHNICAL ASSISTANCE ...................................3 

1.5 ELIGIBILITY FOR FEMA ASSISTANCE ......................................................................4 

1.6 ORGANIZATION..............................................................................................................5 

SECTION 2: Standard Tribal Mitigation Plan Requirements ...................................................6 

2.1 ELEMENT A: PLANNING PROCESS.............................................................................7 

2.2 ELEMENT B. HAZARD IDENTIFICATION AND RISK ASSESSMENT..................11 

2.3 ELEMENT C. MITIGATION STRATEGY....................................................................14 

2.4 ELEMENT D. PLAN UPDATES ....................................................................................17 

2.5 ELEMENT E. ASSURANCES AND PLAN ADOPTION .............................................18 

SECTION 3: Enhanced Tribal Mitigation Plan Requirements ................................................20 

3.1 ENHANCED ELEMENT F: MEET REQUIRED STANDARD PLAN 

ELEMENTS .....................................................................................................................21 

3.2 ENHANCED ELEMENT G: INTEGRATED PLANNING............................................21 

3.3 ENHANCED ELEMENT H: TRIBAL MITIGATION CAPABILITIES .......................22 

3.4 ENHANCED ELEMENT I: HAZARD MITIGATION ASSISTANCE (HMA) 

GRANTS MANAGEMENT PERFORMANCE..............................................................24 

Appendix A: Tribal Mitigation Plan Review Tool .....................................................................27 

Appendix B: Tribal Mitigation Plan Submittal and Review Procedures.................................34 

Appendix C: Tribal Mitigation Plan Approval Letter Template .............................................43 

Appendix D: Mitigation Plans and Eligibility for FEMA Assistance.......................................45 

Appendix E: Title 44 Code of Federal Regulations (CFR) §§ 201.7, 201.5, and 201.3 ...........46 

Figures and Tables

Figure 1. Comparison of Tribal Mitigation Plan Submittal and Review Process Options ........... 35 

Table B-1. Summary of Enhanced Plan Status, Review Panel Types, and Review Panel 

Composition ................................................................................................................................... 38 

Table B-2. Summary of Enhanced Plan Review Procedures ......................................................... 41 

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Tribal Mitigation Plan Review Guide 2017

List of Acronyms and Abbreviations

APA Approvable Pending Adoption 

CFR Code of Federal Regulations 

FEMA Federal Emergency Management Agency 

FFR Federal Financial Report 

FMA Flood Mitigation Assistance 

FMAG Fire Management Assistance Grants 

HMA Hazard Mitigation Assistance 

HMGP Hazard Mitigation Grant Program 

NEMIS National Emergency Management Information System 

NFIP National Flood Insurance Program 

PA C-G Public Assistance Categories C-G 

PDM Pre-Disaster Mitigation Program 

RTL Regional Tribal Liaison 

Risk MAP Risk Mapping, Assessment, and Planning Program 

SF Standard Form 

SHMO State Hazard Mitigation Officer 

THIRA Threat and Hazard Identification and Risk Assessment 

U.S.C. United States Code 

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SECTION 1: Introduction

1.1 PURPOSE 

Mitigation Planning is the process used by tribal, state, and local government leaders to 

understand risks from natural hazards and to develop long-term strategies to reduce the impacts 

of future events on people, property, and the environment. The purpose of this Tribal Mitigation 

Plan Review Guide (or Guide) is to help the Federal Emergency Management Agency (FEMA) 

assess tribal governments’ mitigation plans in a fair and consistent manner and to ensure that 

approved tribal mitigation plans meet the requirements of the Stafford Act and Title 44 of the 

Code of Federal Regulations (CFR).1 Specifically, the Stafford Act requires states, tribes, 

territories, and local governments to develop and adopt FEMA-approved hazard mitigation 

plans as a condition for receiving certain types of non-emergency disaster assistance. (See 

Section 1.5, Eligibility for FEMA Assistance). 

Through the National Mitigation Planning Program, FEMA provides guidance, training, and 

technical assistance to support Indian tribal governments (tribal governments)2 in developing 

and implementing mitigation plans. This Guide interprets and explains the Mitigation Planning 

regulation at 44 CFR Part 201 and is FEMA’s official source for describing the requirements for 

developing and updating tribal mitigation plans. The Guide represents FEMA’s interpretation of

a statutory or regulatory requirement and sets forth a standard operating procedure or agency 

practice that FEMA employees follow to consistently, fairly, and equitably implement the 

agency’s authorities. The Guide includes references to specific language in 44 CFR Part 201 and 

descriptions of the relevant requirements to meet the Mitigation Planning regulations. This 

Guide supersedes the “Tribal Multi-Hazard Mitigation Planning Guidance” (March 2010).

1 The specific statutory and regulatory references are Section 322 of the Robert T. Stafford Disaster Relief and Emergency 

Assistance Act (Stafford Act), as amended, 42 U.S.C. 5165; the National Flood Insurance Act of 1968, as amended, 42 U.S.C. 

4104c, and 44 CFR 201.7 (Tribal Mitigation Plans). A tribal government may submit a mitigation plan directly to FEMA for 

review, or may choose to coordinate with a state, in which case state officials would use this Guide to review the plan prior to 

FEMA’s review.

2 For the purpose of this Guide, the term "tribal government," sometimes referred to as "tribe," means "Indian tribal government" 

as defined in 44 CFR § 201.2." According to 44 CFR § 201.2, Indian tribal government means any Federally recognized 

governing body of an Indian or Alaska Native Tribe, band, nation, pueblo, village, or community that the Secretary of Interior 

acknowledges to exist as an Indian Tribe under the Federally Recognized Indian Tribe List Act of 1994, 25 U.S.C. 479a. This 

does not include Alaska Native corporations, the ownership of which is vested in private individuals. 

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1.2 MULTI-JURISDICTIONAL PLANS 

The tribal mitigation planning requirements under 44 CFR § 201.7(a)(4) specifically allow tribal 

governments to participate in multi-jurisdictional mitigation plans. Tribal governments may 

elect to participate in multi-jurisdictional plans as either of the following: 

1. Participants in a Tribal Multi-Jurisdictional Plan, where all participating entities are tribal 

governments; or 

2. Participants in a Local/Tribal Multi-Jurisdictional Plan, where the tribal government 

participates in a planning process with local governments. 

In either case, each participating tribal government must meet the requirements for tribal 

mitigation planning specified in 44 CFR § 201.7. Tribes and local governments that are not 

federally recognized must meet the local mitigation planning requirements specified in 44 CFR 

§ 201.6. In order to be considered for the increased HMGP funding the tribal mitigation plan 

must meet the Enhanced State Mitigation Plan Criteria in 44 CFR § 201.5. See Section 3, 

Enhanced Tribal Mitigation Plan Requirements. 

State-recognized tribes and tribes that are still in the process of requesting and/or receiving 

federal recognition do not fall under the definition of a federally recognized tribe and will be 

reviewed against the Local Mitigation Plan requirements under 44 CFR § 201.6. 

1.3 GUIDING PRINCIPLES 

The purpose of hazard mitigation is to reduce potential losses from future disasters. The intent 

of mitigation planning, therefore, is to maintain a process that leads to hazard mitigation 

actions. Tribal mitigation plans identify the natural hazards that affect the tribal government, 

identify actions to reduce losses from those hazards, and establish a coordinated process to 

implement the plan (44 CFR § 201.1(b)). 

FEMA reviews mitigation plans with a performance-based approach, rather than a prescriptive 

approach. This means that the requirements identify, generally, what should be done in the 

process and documented in the plan, rather than specifying or prescribing exactly how it should 

be done. 

The following Guiding Principles will be applied to all tribal mitigation plan reviews: 

• Nation to Nation. In compliance with the FEMA Tribal Policy3 FEMA commits itself to 

building a stronger and lasting partnership with tribal governments to assist them in 

preparing for the hazards they face, to reduce their disaster vulnerabilities, to respond 

quickly and effectively when disasters strike, and to assist in recovering in their 

aftermath. FEMA recognizes that the tribal right of self-governance flows from the 

inherent sovereignty of American Indian and Alaska Native tribal governments and that 

federally recognized tribal governments have a unique and direct relationship with the 

3 FEMA Tribal Policy, December 27, 2016, FEMA. https://www.fema.gov/media-library/assets/documents/25324 

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United States government. Tribal governments are not political subdivisions of states, 

but they are recognized by the United States as distinct sovereign entities. 

• Foster cooperation and understanding. FEMA is committed to communicating plan 

reviews in a constructive and positive manner. Communicating plan reviews in a 

constructive manner that enhances tribal government capabilities is an important goal 

of the mitigation planning program and will always be considered by FEMA when 

communicating with a tribal government. 

• Focus on mitigation strategy. Plan reviews will emphasize actions and implementation 

of the hazard mitigation strategy. All other sections of the plan contribute to and result 

in the hazard mitigation strategy and specific hazard mitigation actions. For example, a 

sound hazard identification and risk assessment is an important part of the plan and 

serves as the basis for the strategy, which is the primary focus of the tribal mitigation 

plan. 

• Consider intent while reviewing the plan. FEMA will review and consider the plan as a 

whole (Planning Process, Hazard Identification and Risk Assessment, Mitigation Strategy, 

etc.), as well as the individual requirements. A comprehensive review of the plan helps 

FEMA validate that the plan meets the overall purpose of mitigation planning. 

• Process is as important as the plan itself. FEMA will accept the planning process as 

defined by the tribal government. In mitigation planning, as with most other planning 

efforts, the actual planning process is as important as the plan itself. One of the most 

critical elements of a successful mitigation plan is participation by a wide range of tribal 

members or other affected parties who play a role in setting mitigation goals and 

identifying and implementing mitigation actions. Therefore, it is important to have a 

clear description of what and who were involved in the planning process and of how the 

process met the needs of the tribal government. 

• This is the tribe’s plan. Plan reviews will recognize the efforts, interests, and cultural 

beliefs of each tribal government that develops a mitigation plan. For example, FEMA 

recognizes that some resources vulnerable to hazards, including those having religious 

and cultural significance (such as sacred sites), may not be identified specifically or 

shown on maps included in publicly available plans. 

1.4 TRIBAL COORDINATION AND TECHNICAL ASSISTANCE 

FEMA encourages an ongoing dialogue with the tribal government through the lifecycle of the 

tribal mitigation plan. If desired, the tribal government may request regular coordination 

touchpoints from FEMA mitigation program staff to provide technical assistance and review the 

tribal government’s mitigation activities.4 This may take place in person or virtually, such as by 

phone or webinar, if the capabilities exist. Many tribal governments and the corresponding 

4 44 CFR § 201.3(b)(2) 

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FEMA Regional staff already coordinate regularly on the status of the tribal government’s 

mitigation program and, in particular, the status of FEMA’s Hazard Mitigation Assistance (HMA) 

grants or other FEMA assistance. 

The benefits of mitigation program coordination meetings with the tribal government include, 

but are not limited to, the following: 

• Promoting dialogue between FEMA and the tribal government on the means to achieve, 

support, and maintain effective tribal mitigation programs; 

• Identifying the status of the tribal government’s mitigation program, including strengths 

and challenges, as well as specific needs and opportunities; and 

• Ensuring feedback to the tribal government on maintaining continuous HMA grants 

management performance, particularly for tribal governments interested in developing 

an enhanced mitigation plan. 

If a mitigation program coordination meeting is desired, the tribal government may contact the 

FEMA Regional mitigation planning staff (https://www.fema.gov/hazard-mitigation-planningcontacts) and/or Regional Tribal Liaison (RTL) (https://www.fema.gov/tribal-contacts). 

1.5 ELIGIBILITY FOR FEMA ASSISTANCE 

In accordance with 44 CFR § 201.7(a)(1), a tribal government applying to FEMA as a grantee 

must have an approved tribal mitigation plan meeting the requirements in 44 CFR § 201.7 as a 

condition of receiving non-emergency Stafford Act assistance and FEMA mitigation grants, 

including the following programs: 

• Public Assistance Categories C-G (PA C-G) 

• Fire Management Assistance Grants (FMAG) 

• Hazard Mitigation Grant Program (HMGP) 

• Pre-Disaster Mitigation (PDM) 

• Flood Mitigation Assistance (FMA) 

Mitigation planning grants provided through the PDM program will continue to be available. 

Tribal mitigation plans must be submitted to FEMA for approval every five years in order to 

remain eligible for the programs listed above. Additional information regarding FEMA 

assistance programs that require a FEMA-approved mitigation plan as a condition of eligibility 

can be found in Appendix D: Mitigation Plans and Eligibility for FEMA Assistance. 

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1.6 ORGANIZATION 

This Guide has eight sections: 

• Section 1: Introduction 

• Section 2: Standard Tribal Mitigation Plan Requirements 

• Section 3: Enhanced Tribal Mitigation Plan Requirements 

• Appendix A: Tribal Mitigation Plan Review Tool 

• Appendix B: Tribal Mitigation Plan Submittal and Review Procedure 

• Appendix C: Tribal Mitigation Plan Approval Letter Template 

• Appendix D: Mitigation Plans and Eligibility for FEMA Assistance 

• Appendix E: Title 44 Code of Federal Regulations (CFR) §§ 201.7, 201.5, and 201.3 

Section 1 describes the purpose of the Tribal Mitigation Plan Review Guide and describes the 

overall guiding principles for tribal mitigation plan reviews. Section 2 provides detailed 

guidance on how FEMA interprets the regulation for standard tribal mitigation plans. Section 3 

interprets the Enhanced Mitigation Plan requirements in 44 CFR § 201.5 for tribal governments. 

Appendix A includes the Tribal Mitigation Plan Review Tool, which is used to document the 

review of a tribal mitigation plan. Appendix B describes the Plan Review Procedure, including 

methods of communication between FEMA, tribal, and state entities, as applicable. Appendix C 

includes a tribal mitigation plan approval letter template. Appendix D provides information 

pertaining to the mitigation plan requirement and eligibility for certain FEMA grant programs. 

Appendix E includes the specific language on tribal mitigation planning requirements from the 

CFR. 

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Tribal Mitigation Plan Review Guide 2017

SECTION 2: Standard Tribal Mitigation Plan Requirements

This section provides detailed guidance on how FEMA interprets the regulation for all standard 

tribal mitigation plan (tribal plan) reviews. For the purposes of this Guide, the terms “standard 

tribal mitigation plan” and “tribal mitigation plan” are synonymous. The guidance is limited only 

to the minimum requirements of what must or shall be in a tribal mitigation plan.5 The guidance 

does not prescribe how the tribal government shall develop a plan. Additional plan 

development resources are available from the FEMA Mitigation Planning website, 

https://www.fema.gov/hazard-mitigation-planning. 

Each “element” links to a specific regulation, and citations are provided for reference. This 

section is organized as follows: 

• Element A: Planning Process 

• Element B: Hazard Identification and Risk Assessment 

• Element C: Mitigation Strategy 

• Element D: Plan Updates 

• Element E: Assurances and Plan Adoption 

Many requirements in this section call for the plan to “document” or “describe” information. 

FEMA does not require a specific format for the plan. Required information can be provided in 

the plan through a variety of formats, such as narratives, tables, lists, maps, etc. FEMA 

recognizes that many formats and types of documentation may meet a particular requirement. 

5 For the purpose of this Guide, and in interpreting the applicable regulations, “must” and “shall” are used interchangeably, and 

each means that the referenced action “is required.”

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2.1 ELEMENT A: PLANNING PROCESS 

Overall Intent: A successful planning process involves bringing tribal members, such as tribal 

leaders, tribal elders, and other partners together to discuss their knowledge, their perception 

of risk, and how to meet their needs as part of the process. This inclusive process works within 

the traditions, culture, and methods most suitable to a tribal government, so that participants 

better understand the unique vulnerabilities to the tribal planning area6 and can develop 

relevant mitigation actions. 

FEMA recognizes that public participation may be different for each tribal government. 

Leadership (including elders and cultural leaders), staffing, and in-house expertise in the tribal 

government may fluctuate over time. The planning process description serves as a permanent 

record that explains how decisions were reached. This planning process description documents 

that the plan was developed with input from tribal members and other partners. Leaders can 

rely on this documentation to continue to make decisions in a pre- and post-disaster 

environment to decrease vulnerability to hazards. Documentation of the current planning 

process is required for both new and updated plans. 

6 The tribal planning area includes the lands upon which the tribal government is authorized to govern, develop, or regulate. 

These lands may include, but are not limited to, lands within the Reservation and off-Reservation lands owned by, managed by, 

or held in trust for the tribal government, allotted trust land, and fee land. These lands may be either contiguous or noncontiguous and for multi-jurisdictional planning may include other tribes or non-tribal jurisdictions. 

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ELEMENT REQUIREMENTS 

A1. Does the plan document the 

planning process, including how it was 

prepared and who was involved in the 

process? 

44 CFR § 201.7(c)(1) 

Intent: To inform tribal members about 

the overall approach to the plan’s

development and serve as a permanent 

record of how decisions were made and 

who was involved. This record is also 

useful for the next plan update. 

a. The plan shall document how the plan was prepared, including 

the schedule or timeframe and the activities that made up the 

plan’s development. 

Document means to provide the factual evidence for how the 

tribal government developed the plan. 

The documentation requirement typically is met with a 

narrative description and other records, such as meeting 

minutes, sign-in sheets, or newspaper articles. Examples of 

activities that may be documented include, but are not limited 

to, planning team meetings, information exchanges at 

gatherings, meetings between tribal offices or departments or 

with external agencies, open houses at libraries or school 

events, radio broadcasts, development of interactive web 

pages, and posting and distribution of printed materials. 

b. The plan shall document who was involved on the planning 

team, including each person’s position or title and

department/agency. 

Involved in the process means engaged as participants and 

given the chance to provide input to affect the plan’s content.

This is more than simply being invited or adopting the plan. 

Evidence of planning team participation may include 

documentation of meetings attended, data provided, or other 

activities by individuals or departments/agencies. 

A2. Does the plan document an 

opportunity for public comment during 

the drafting stage and prior to plan 

approval, including a description of how 

the tribal government defined “public”?

44 CFR § 201.7(c)(1)(i) 

Intent: To ensure that tribal members 

understand what the tribal government 

is doing on their behalf and to provide a 

chance for input. 

a. The plan shall describe how the tribal government defined 

“public.” 

For example, “public” is sometimes defined as including only 

tribal membership, or tribal citizens. It might also be identified 

as those living on tribal land or in the tribal service area. Tribal 

members/citizens who do not live on the tribal lands may also 

want to provide input or comment on the plan. 

b. The plan shall describe how the public was given the 

opportunity to be involved in the planning process and how 

their feedback was incorporated into the plan. Examples of 

public involvement include, but are not limited to, interactive 

websites with drafts for public review and comment, 

questionnaires or surveys, or booths at community events. 

An opportunity to be involved in the planning process means 

that the public is engaged or invited as participants and given 

the chance to provide input that may affect the plan’s content.

c. The opportunity for participation shall occur during plan 

development, which is prior to the comment period on the final 

plan and prior to plan adoption/approval. 

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ELEMENT REQUIREMENTS 

A3. Does the plan document, as 

appropriate, an opportunity for 

neighboring communities, tribal and 

regional agencies involved in hazard 

mitigation activities, agencies that have 

the authority to regulate development, 

as well as other interests to be involved 

in the planning process? 

44 CFR § 201.7(c)(1)(ii) 

Intent: To demonstrate a deliberative 

planning process that involves the 

appropriate tribal members and partners 

for the tribal planning area that have the 

experience and information needed to 

develop the plan, as well as the 

responsibility or authority to make 

decisions and implement hazard 

mitigation activities. 

a. The plan shall identify all tribal members/citizens, and partners 

who were given an opportunity to be involved in the planning 

process. During plan review, it is important for the reviewer to 

consider that variations in tribal capability and/or cultural 

practice may influence participation. 

b. The plan shall identify how tribal members/citizens and 

partners were invited to participate in the process. 

A4. Does the plan describe the review 

and incorporation of existing plans, 

studies, and reports? 

44 CFR § 201.7(c)(1)(iii) 

Intent: To identify existing data and 

information, shared objectives, and past 

and ongoing activities that can help 

inform the mitigation plan. 

a. The plan shall describe what existing plans, studies, and reports 

were reviewed. 

Examples of the types of existing sources reviewed may include, 

but are not limited to, natural resources plans; housing plans; 

analyses or studies from tribal departments, neighboring tribes, 

colleges, universities, and academic institutions; socioeconomic 

or building information from tribal comprehensive plans; results 

from hazard-specific studies, plans for sacred sites, or hazard 

data or plans from tribal, federal, regional, state, or local 

agencies. 

b. The plan shall document how relevant information was 

incorporated into the mitigation plan. 

Incorporate means to reference or include information from 

other existing sources to develop the content of the mitigation 

plan. 

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ELEMENT 

A5. Does the plan include a discussion 

on how the planning process was 

integrated, to the extent possible, with 

other ongoing tribal planning efforts as 

well as other FEMA programs and 

initiatives? 

44 CFR § 201.7(c)(1)(iv) 

Intent: To identify how the tribal 

government leveraged any other 

planning activities or FEMA programs to 

accomplish hazard mitigation and reduce 

risk. 

a. 

REQUIREMENTS 

The plan shall describe how the tribal government integrated 

the current planning process and/or findings with other 

ongoing tribal planning efforts. 

Planning efforts means governance structures that are used to 

manage land use and development and other tribal 

government decision-making, such as tribal master plans, 

capital improvement plans, natural and/or cultural resource 

plans, plans for sacred sites, emergency operations plans, 

and/or other long-range plans. 

b. The plan shall describe how the tribal government integrated 

the current planning process with other FEMA programs and 

initiatives. 

Examples of other FEMA programs and initiatives include, but 

are not limited to, the National Flood Insurance Program (NFIP), 

HMA grant programs, Threat and Hazard Identification and Risk 

Assessment (THIRA), and recovery programs. 

To the extent possible means that consideration will be given 

to the inherent differences in governance and capabilities 

among tribal governments. 

A6. Does the plan include a description 

of the method and schedule for keeping 

the plan current (monitoring, evaluating 

and updating the mitigation plan within 

the plan update cycle)? 

44 CFR § 201.7(c)(4)(i) 

Intent: To establish a process for the 

tribal government to track the progress 

of the plan’s implementation and ensure 

the plan remains current and viable. 

a. The plan shall identify how, when, and by whom the plan will 

be monitored. Monitoring means tracking the relevance and 

implementation of the plan over time and includes all elements 

of the plan. 

b. The plan shall identify how, when, and by whom the plan will 

be evaluated. Evaluating means assessing the effectiveness of 

the plan at achieving its stated purpose and goals. 

c. The plan shall identify how, when, and by whom the plan will 

be updated. Updating means reviewing and revising the plan at 

least once every 5 years. 

d. The plan shall include the title of the individual or name of the 

department/agency responsible for leading these efforts. 

A7. Does the plan include a discussion 

of how the tribal government will 

continue public participation in the plan 

maintenance process? 

44 CFR § 201.7(c)(4)(iv) 

Intent: To identify how the public will 

continue to have an opportunity to 

participate in the plan’s maintenance

and implementation over time. 

a. The plan shall describe how the tribal government will continue 

to seek public participation after the plan has been approved 

and during the plan’s maintenance process. 

Examples include, but are not limited to, periodic presentations 

on the plan’s progress to tribal officials, schools, or other tribal 

groups; annual questionnaires or surveys; tribal gatherings; 

and/or postings on social media and websites. 

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2.2 ELEMENT B. HAZARD IDENTIFICATION AND RISK ASSESSMENT 

Overall Intent: The risk assessment provides the factual basis for activities proposed in the 

strategy that will reduce losses from identified hazards that could potentially impact the tribal 

planning area. An effective risk assessment makes a clear connection between the tribal 

government’s vulnerability and the hazard mitigation actions. In other words, it provides 

sufficient information to enable the tribal government to identify and prioritize appropriate 

hazard mitigation actions for the tribal planning area. 

Past occurrences are important and contribute to the development of hazard probability; 

however, the challenges posed by changing future conditions, such as more intense storms, 

frequent heavy precipitation, heat waves, drought, extreme flooding, and higher sea levels, 

could significantly alter the types and magnitudes of hazards affecting tribes in the future. The 

mitigation planning regulation (44 CFR Part 201) requires consideration of the probability of 

future hazard events as part of the risk assessment in order to reduce risks and potential 

damage. 

Risk assessments do not need to be based on the most sophisticated technology, but they do 

need to be accurate, current, and relevant. During a plan update, tribal governments assess 

current and expected future vulnerability to all hazards and integrate new hazard data such as 

recent hazard events and new studies. In the mitigation plan review, FEMA considers the 

quality of the information in the risk assessment in helping tribal governments make risk-based 

decisions over the quantity of the information. 

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ELEMENT REQUIREMENTS 

B1. Does the plan include a description 

of the type, location, and extent of all 

natural hazards that can affect the tribal 

planning area? 

44 CFR § 201.7(c)(2)(i) 

Intent: To understand the natural 

hazards affecting the tribal planning area 

in order to identify which hazard risks are 

most significant and which locations are 

most adversely affected. 

a. The plan shall include a description of the tribal planning area 

(See footnote 6 on page 7). 

b. The plan shall include a description of the natural hazards that 

can affect the tribal planning area. (Note: There is no 

requirement to include manmade hazards in the mitigation 

plan. FEMA will not require removal of this information, but if 

these hazards are included, they will not be reviewed to meet 

the requirements). 

c. The plan shall provide the rationale for the omission of any 

natural hazards that are commonly recognized to affect the 

tribal planning area. 

d. The description shall include information on the location and 

the extent of each identified hazard. 

Location means the geographic areas in the tribal planning area 

that are affected by the hazard. For many hazards, maps are 

the best way to illustrate location. However, location may be 

described in other formats. For example, if a geographicallyspecific location cannot be identified for a hazard, such as 

tornadoes, the plan may state that the entire tribal planning 

area is equally at risk to that hazard. 

Extent means the strength or magnitude of the hazard. For 

example, extent could be described in terms of the specific 

measurement of an occurrence based on a scientific scale (e.g., 

Enhanced Fujita Scale, Saffir-Simpson Hurricane Scale, Richter 

Scale, flood depth grids) and/or other hazard factors, such as 

the duration and/or speed of onset. Extent is not the same as 

impacts, which are described in sub-element B3. 

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ELEMENT REQUIREMENTS 

B2. Does the plan include information 

on previous occurrences of hazard 

events and on the probability of future 

hazard events for the tribal planning 

area? 

44 CFR § 201.7(c)(2)(i) 

Intent: To understand potential impacts 

to the tribal planning area based on 

information on the hazard events that 

have occurred in the past and the 

likelihood of those will occur in the 

future. 

a. The plan shall include the history of previous events for each of 

the identified hazards. 

b. The plan shall include the probability of future events for each 

identified hazard. Probability must include considerations of 

future conditions, including the effects of long-term changes in 

weather patterns on identified hazards. 

Probability may be defined in terms of general descriptors (for 

example, unlikely, likely, highly likely), historical frequencies, 

statistical probabilities (for example a 1-percent chance of 

occurring within any given year), and/or hazard probability 

maps. 

If general descriptors are used, then they shall be defined in the 

plan. For example, “highly likely” could be defined as equal to 

or near 100 percent chance of occurring next year or happens 

every year. 

Probability of future events and considerations of changing 

future conditions may be described using qualitative and/or 

quantitative information: 

• Qualitative information (e.g., transcribed oral history) 

about changing weather patterns and potential effects 

on identified hazards. 

• Quantitative information that describes predicted 

changes in temperature and precipitation and 

potential effects on identified hazards. 

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ELEMENT REQUIREMENTS 

B3. Does the plan include a description 

of [each] identified hazard’s impact, as 

well as an overall summary of the 

vulnerability of the tribal planning area? 

44 CFR § 201.7(c)(2)(ii) 

Intent: For the tribal government to 

consider their tribal planning area as a 

whole and analyze the potential impacts 

of future hazard events and the 

vulnerabilities that could be reduced 

through hazard mitigation actions. 

a. The plan shall describe the potential impacts of each of the 

identified hazards on the tribal planning area. 

Impact means the consequence or effect of the hazard on the 

tribal government and its assets. Assets are determined by the 

tribal government and may include, for example, people, 

structures, facilities, systems, and populations that are 

susceptible to damage and loss from hazard events. Assets may 

also include cultural sites, sacred sites, capabilities and/or 

activities that have value to the tribal government. Impacts 

could be described by referencing historical disaster impacts 

and/or an estimate of potential future losses (such as percent 

damage of total exposure). 

b. The plan shall provide an overall summary of the vulnerability 

of the tribal planning area to the identified hazards. An overall 

summary of vulnerability identifies structures, systems, 

populations, and other assets as defined by the tribal 

government. 

Vulnerable assets and potential losses are more than a list of 

the total exposure of population, structures, and critical 

facilities in the tribal planning area. An example of an overall 

summary is a list of key issues or problem statements that 

clearly describes the tribal government’s greatest vulnerabilities

and that will be addressed in the mitigation strategy. 

2.3 ELEMENT C. MITIGATION STRATEGY 

Overall Intent: The mitigation strategy serves as the long-term blueprint for action to reduce 

potential losses due to hazards identified in the risk assessment. The Stafford Act requires that 

tribal mitigation plans describe hazard mitigation actions and establish a strategy to implement 

those actions. 

The mitigation strategy includes the development of goals and prioritized hazard mitigation 

actions. Goals are long-term policy statements that must be consistent with the hazards 

identified in the plan and must support the mitigation strategy. 

A critical step in the development of specific hazard mitigation actions and projects is assessing 

the tribal government’s existing authorities, policies, programs, and resources and its capability 

to use or modify these tools to reduce vulnerability from profiled hazards. 

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ELEMENT REQUIREMENTS 

C1. Does the plan include a discussion 

of the tribal government's pre- and 

post-disaster hazard management 

policies, programs, and capabilities to 

mitigate the hazards in the area, 

including an evaluation of tribal laws 

and regulations related to hazard 

mitigation as well as to development 

in hazard-prone areas? 

44 CFR §§ 201.7(c)(3) and 

201.7(c)(3)(iv) 

Intent: To ensure that the tribal 

government evaluates its capabilities to 

accomplish hazard mitigation actions 

through existing tribal planning tools, 

programs, and other resources. 

a. The plan shall describe the tribal government’s existing 

capabilities to mitigate hazards in the tribal planning area, 

including pre-disaster and post-disaster hazard management 

policies and programs. 

Pre-disaster mitigation capabilities may include laws and 

regulations related to development in hazard-prone areas, such 

as natural or cultural resource conservation plans, floodplain 

management ordinances (including the tribal government’s

existing capabilities to participate in or administer the NFIP), 

and building codes. Post-disaster mitigation capabilities may 

include grants management staff and long-term recovery plans, 

policies, and procedures. 

b. The plan shall include an evaluation of the tribal laws, 

regulations, policies, programs, and resources related to hazard 

mitigation and development in hazard-prone areas. The 

evaluation shall address the opportunities, as well as the 

challenges, of existing capabilities. 

C2. Does the plan include a discussion 

of tribal funding sources for hazard 

mitigation projects and identify 

current and potential sources of 

Federal, tribal or private funding to 

implement mitigation activities? 

44 CFR §§ 201.7(c)(3)(iv) and 

201.7(c)(3)(v) 

Intent: To demonstrate that the tribal 

government is aware of viable funding 

sources to support the implementation 

of mitigation actions and/or projects. 

a. The plan shall describe the tribal government’s existing funding 

sources for hazard mitigation actions and/or projects, 

including: 

1. A general discussion of how the tribal government has 

used non-FEMA (tribal, private or other federal) funds for 

hazard mitigation projects; and 

2. A general discussion of how the tribal government has 

used FEMA mitigation funding, including HMGP, PDM, 

FMA, PA (C-G), and FMAG. 

b. The plan shall identify potential sources of funding to 

implement mitigation actions and/or projects. These shall 

include federal, tribal, and private sources. 

C3. Does the Mitigation Strategy 

include goals to reduce or avoid longterm vulnerabilities to the identified 

hazards? 

44 CFR § 201.7(c)(3)(i) 

Intent: To guide the development and 

implementation of hazard mitigation 

actions and/or projects. 

a. The plan shall include hazard mitigation goals that represent 

what the tribal government seeks to accomplish to reduce or 

avoid the vulnerabilities identified in the risk assessment. 

Goals are broad policy statements that explain what is to be 

achieved. Goals guide the development and implementation of 

supporting actions. 

b. The goals shall be consistent with the risk assessment. 

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ELEMENT REQUIREMENTS 

C4. Does the plan identify and analyze 

a comprehensive range of specific 

mitigation actions and projects being 

considered to reduce the effects of 

hazards, with emphasis on new and 

existing buildings and infrastructure? 

44 CFR § 201.7(c)(3)(ii) 

Intent: To ensure the hazard mitigation 

actions are based on identified 

vulnerabilities and that they are 

focused on reducing or avoiding future 

losses. This is the heart of the 

mitigation plan and is essential for risk 

reduction. 

a. The plan shall include a mitigation strategy that 1) analyzes 

actions and/or projects that the tribal government considered 

to reduce the impacts of hazards identified in the risk 

assessment, and 2) identifies the actions and/or projects that 

the tribal government intends to implement. 

Mitigation actions and projects means a hazard mitigation 

action, activity, or process that is designed to reduce or 

eliminate the vulnerabilities identified in the risk assessment. 

Examples include elevating structures, adopting a building code 

and taking steps to improve the tribal government’s mitigation

capabilities. 

A comprehensive range consists of different mitigation 

alternatives to address the vulnerabilities identified in the risk 

assessment (for example, restoring the natural floodplain 

versus restricting flooding with a structural solution). 

b. The plan shall include actions and/or projects that reduce risk 

to existing buildings and infrastructure as well as to new 

buildings and infrastructure. 

C5. Does the plan contain an action 

plan that describes how the actions 

identified will be prioritized, 

implemented, and administered by the 

tribal government? 

44 CFR § 201.7(c)(3)(iii) 

Intent: To identify how the plan will 

directly lead to implementation of the 

hazard mitigation actions. 

a. The plan shall describe the criteria used for prioritizing 

implementation of the actions. 

b. The plan shall identify the position, office, department, or 

agency responsible for implementing and administering each 

action. 

C6. Does the plan describe a process 

by which the tribal government will 

incorporate the requirements of the 

mitigation plan into other planning 

mechanisms, when appropriate? 

44 CFR § 201.7(c)(4)(iii) 

Intent: To assist tribal governments in 

leveraging all available planning 

mechanisms that would allow the tribe 

to accomplish hazard mitigation and 

reduce risk. 

a. The plan shall describe the process the tribal government will 

use to incorporate the data, information, and hazard mitigation 

goals and/or actions from the mitigation plan into other 

planning mechanisms. 

Planning mechanism means a governance structure used to 

manage land use, development, and other tribal government 

decision-making, such as a tribal master plan, a capital 

improvement plan, an emergency operations plan, or other 

long-range plans. 

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ELEMENT REQUIREMENTS 

C7. Does the plan describe a system 

for reviewing progress on achieving 

goals as well as activities and projects 

identified in the mitigation strategy, 

including monitoring implementation 

of mitigation measures and project 

closeouts? 

44 CFR §§ 201.7(c)(4)(ii) and 201.7 

(c)(4)(v) 

Intent: To establish a standardized 

system to review activities and projects 

and follow through on project 

implementation and completion. 

a. The plan shall describe the system for tracking the 

implementation of the mitigation activities and projects 

identified in the mitigation strategy. This includes all mitigation 

activities, not just those funded by FEMA. 

b. The system shall include the following: 

1. A schedule; 

2. Tribal department or tribal office responsible for 

coordination (or non-tribal entity or agency, if the tribe 

allows); 

3. Role of the agencies/offices identified in the mitigation 

strategy as responsible for implementation of actions; and 

4. Project closeout procedures. 

An example of a system could include submittal of periodic reports, 

site visits, and invoices submitted by tribal offices responsible for 

implementing mitigation actions and/or project closeouts. 

2.4 ELEMENT D. PLAN UPDATES 

Overall Intent: In order for the mitigation plan to remain relevant and representative of the 

tribal government’s risk reduction strategy, it is important that the plan reflect current

conditions as well as conditions that may affect the tribe’s hazard risks in the future. This 

involves an assessment of the existing and planned development patterns, as well as an 

evaluation of any new hazard information. The plan update is an opportunity for the tribal 

government to assess its previous mitigation strategy, evaluate progress in implementing 

hazard mitigation actions and/or projects, and adjust the plan based on changing conditions 

and new tribal government priorities. 

ELEMENT REQUIREMENTS 

D1. Was the plan revised to reflect 

changes in development? 

44 CFR § 201.7(d)(3) 

Intent: To ensure that the mitigation 

strategy continues to address the risk 

and vulnerabilities to existing and 

potential development. 

The plan shall describe changes in development that have occurred 

in hazard prone areas since the last plan was approved. 

Not all development will affect a tribal government’s vulnerability. 

If no changes are identified, plan updates shall validate the 

information in the previously approved plan. 

Changes in development means recent development (for example, 

construction completed since the last plan was approved), potential 

development (for example, development planned or under 

consideration by the tribal government) or conditions that may 

affect the risks and vulnerabilities of the tribal planning area (for 

example, climate variability and/or declining populations or 

projected increases), and new data regarding the type, location, 

occurrence, and extent of hazards that has become available since 

the last plan was developed or as a result of disaster events. 

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ELEMENT REQUIREMENTS 

D2. Was the plan revised to reflect 

progress in tribal mitigation efforts? 

44 CFR §§ 201.7(d)(3) and 201.7(c)(4)(iii) 

Intent: To evaluate and demonstrate 

progress made in the past 5 years in 

achieving goals and implementing 

actions outlined in the mitigation 

strategy. 

a. The plan shall describe the status of each mitigation action 

and/or project identified in the previous plan. For those actions 

not completed, the plan shall provide a narrative describing the 

status (for example, a description of why the action is no longer 

relevant). 

b. The plan shall describe how the tribal government incorporated 

the previous mitigation plan into other planning mechanisms, 

as applicable. 

D3. Was the plan revised to reflect 

changes in priorities? 

44 CFR § 201.7(d)(3) 

Intent: To ensure the plan reflects 

current conditions, including financial, 

legal, and political realities as well as 

post-disaster conditions. 

The plan shall describe if and how any priorities changed (for 

example, due to disaster events or changes in leadership) since the 

plan was previously approved. 

If no changes in priorities are necessary, plan updates shall validate 

the information in the previously approved plan. 

2.5 ELEMENT E. ASSURANCES AND PLAN ADOPTION 

Overall Intent: The regulation regarding assurances relates to the tribal government’s 

understanding and accountability in complying with “Federal statutes and regulations in effect 

with respect to the periods for which it receives grant funding, including 2 CFR Parts 200 and 

3002.”7 

Adoption by the tribal government demonstrates the commitment to fulfill the hazard 

mitigation goals and actions outlined in the plan. Adoption legitimizes the plan and authorizes 

responsible agencies to execute their responsibilities. (See Appendix B, Section B 3.2 for more 

information regarding Approval Pending Adoption). 

ELEMENT REQUIREMENTS 

E1. Does the plan include assurances 

that the tribal government will comply 

with all applicable Federal statutes and 

regulations in effect with respect to the 

periods for which it receives grant 

funding, including 2 CFR Parts 200 and 

3002, and will amend its plan whenever 

necessary to reflect changes in tribal or 

Federal laws and statutes? 

44 CFR § 201.7(c)(6) 

The plan shall include assurances which state that the tribal 

government will comply with all applicable federal statutes and 

regulations in effect with respect to the periods for which it 

receives grant funding including 2 CFR Parts 200 and 3002. The 

tribal government will amend its mitigation plan whenever 

necessary to reflect changes in tribal or federal laws and statutes. 

7 44 CFR § 201.7(c)(6); see 80 Fed. Reg. 59549 (Oct. 2, 2015). 

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ELEMENT REQUIREMENTS 

E2. Does the plan include 

documentation that it has been formally 

adopted by the governing body of the 

tribal government requesting approval? 

44 CFR § 201.7(c)(5) 

Intent: To demonstrate the tribal 

government’s commitment to fulfilling

the hazard mitigation goals outlined in 

the plan and to authorize responsible 

agencies to execute their responsibilities. 

The tribal government’s governing body shall submit 

documentation that the plan was adopted. 

An example of documentation may include a tribal resolution, tribal 

executive order, tribal notice of action, or other official 

documentation of adoption. 

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SECTION 3: Enhanced Tribal Mitigation Plan Requirements

An enhanced tribal mitigation plan documents a sustained and proven commitment to hazard 

mitigation. This designation recognizes current or ongoing efforts to proactively implement a 

comprehensive mitigation program. The enhanced status acknowledges the coordinated effort 

a tribal government is currently taking to reduce losses, protect life and property, and create 

safer communities. Approval of an enhanced tribal mitigation plan results in eligibility for 

increased HMGP funding of up to 20 percent of the estimated eligible Stafford Act assistance. 

The regulations in 44 CFR § 201.3(e)(3) state that “in order to be considered for the increased 

HMGP funding, the tribal mitigation plan must meet the Enhanced State Mitigation Plan criteria 

identified in § 201.5.” The Enhanced Mitigation Plan regulations in 44 CFR § 201.5 include a list 

of capabilities that build on, and exceed, the standard mitigation plan requirements. While 

44 CFR § 201.5 specifically references a “State,” the requirements are applicable to tribal 

governments. 

Tribal governments seeking enhanced status must “demonstrate” through a narrative and 

examples, that the tribal government is already clearly engaged in processes, activities, or 

initiatives that advance risk reduction. FEMA expects that information on the tribal processes, 

activities, or initiatives are already incorporated into the plan or can be independently validated. 

This section provides detailed guidance on how FEMA interprets the various requirements of 

the regulation for all enhanced tribal mitigation plan reviews. The guidance is limited only to 

the minimum requirements of what must be in an enhanced tribal mitigation plan, but does not 

prescribe how the tribal government shall develop an enhanced plan. Each requirement links to 

a specific regulation, and citations are provided for reference in Appendix E. Tribal governments 

seeking enhanced status may have either a standalone tribal mitigation plan or be part of a 

multi-jurisdictional plan. 

This section is organized as follows: 

• Enhanced Element F: Meet Required Standard Plan Elements 

• Enhanced Element G: Integrated Planning 

• Enhanced Element H: Tribal Mitigation Capabilities 

• Enhanced Element I: HMA Grants Management Performance 

For additional information on enhanced tribal mitigation plan approvals, please see Appendix B, 

Section B.5, Submittal and Review Procedures. 

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3.1 ENHANCED ELEMENT F: MEET REQUIRED STANDARD PLAN 

ELEMENTS 

In order to be considered for enhanced status, the plan must first contain all of the required 

elements of a standard tribal mitigation plan as outlined in 44 CFR § 201.7. 

ENHANCED ELEMENT REQUIREMENTS 

F1. Does the enhanced plan include all 

elements of the standard tribal 

mitigation plan? 

44 CFR §§ 201.3(e)(3), 201.5(b), and 

201.7 

Intent: To meet the minimum 

requirements for a tribal mitigation plan 

under 44 CFR § 201.7. 

The enhanced plan must meet all the elements of the standard 

tribal mitigation plan. 

3.2 ENHANCED ELEMENT G: INTEGRATED PLANNING 

Overall Intent: Tribal governments that are considered “enhanced” can demonstrate a history of

integration with agencies and partners with mitigation capabilities or shared objectives to 

reduce risks from natural hazards. The National Mitigation Framework describes integration in 

terms of “Coordinating Structures,” which include the organizations, agencies, groups,

committees, and teams that carry out activities in support of building resiliency. It also includes 

other programs, procedures, or initiatives carried out by a cross-section of mitigation partners 

that work together to identify and implement effective, long-term mitigation solutions. 

Integrated planning means embedding mitigation in other tribal planning, decision making, and 

development, as well as enabling planning initiatives from other sectors (see requirement H1.a 

below) to inform the tribal government’s mitigation strategy. Collaboration among tribal 

members and partners with the authority, interest, and expertise to implement mitigation 

measures will enable the tribal government to leverage resources to reduce risk and increase 

resilience. 

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ENHANCED ELEMENT REQUIREMENTS 

G1. Does the plan demonstrate 

integration to the extent practicable 

with other tribal and/or regional 

planning initiatives and FEMA 

mitigation programs and initiatives? 

44 CFR §§ 201.3(e)(3) and 201.5(b)(1) 

Intent: To demonstrate that the tribal 

mitigation plan has been integrated with 

other tribal planning initiatives, 

programs, and other ongoing activities 

that achieve risk reduction and resilience. 

a. The enhanced plan must demonstrate integration with 

other tribal and/or regional planning initiatives (and tribal 

organizations) including, at a minimum, the following 

sectors: 

• Emergency management; 

• Economic development; 

• Land use development; 

• Housing; 

• Health and social services; 

• Infrastructure; and 

• Natural and cultural resources (may include sacred 

site planning or initiatives) 

Where integration with other tribal and/or regional planning 

initiatives representing these sectors is not practicable, the 

plan must describe the limitations. 

b. The enhanced plan must demonstrate integration of FEMA 

mitigation programs and initiatives, including, if applicable, 

but not limited to: HMGP, PDM, FMA, NFIP, and Risk MAP, 

as well as other FEMA programs that advance mitigation, 

for example, THIRA and PA C-G. 

Special Consideration: In evaluating integration, consideration 

will be given to the inherent differences in governance and 

capabilities among tribal governments. 

3.3 ENHANCED ELEMENT H: TRIBAL MITIGATION CAPABILITIES 

Overall Intent: Tribal governments with enhanced tribal mitigation plans are able to 

demonstrate that projects, programs, or other activities that reduce exposure to hazards have 

been successfully implemented. Where the standard tribal mitigation plan requires the 

evaluation of capabilities (see Element C1), enhanced tribal governments must demonstrate 

that they are taking a comprehensive approach and that the tribal government is capable of 

coordinating a variety of resources toward successful hazard mitigation. 

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Tribal Mitigation Plan Review Guide 2017

ENHANCED ELEMENT REQUIREMENTS 

H1. Does the tribal government 

demonstrate commitment to a 

comprehensive mitigation program? 

44 CFR §§ 201.3(e)(3) and 201.5(b)(4) 

Intent: To demonstrate commitment to 

advancing risk reduction and resilience 

using a wide range of resources. 

The plan must describe an existing comprehensive tribal 

mitigation program. 

Comprehensive tribal mitigation program means a broad range 

of tribal-supported initiatives and activities that: 

a. Target risk reduction for each of the identified hazards in the 

tribal planning area; 

b. Is inclusive of various agencies and sectors with 

mitigation capabilities and resources; and 

c. Is coordinated to increase resilience from the adverse impacts 

of future hazard events in the tribal planning area. 

Initiatives and activities that demonstrate commitment might 

include, but are not limited to: 

• A commitment to workshops, training, and capability 

development of staff and leaders 

• A tribal-wide program of hazard mitigation through the 

development of mitigation council(s), formation of 

tribal/private partnerships, and/or other executive actions 

that promote hazard mitigation 

• The tribal government provides a portion of the non-federal 

match for HMGP and/or other mitigation projects 

• To the extent allowed by law, the tribal government adopts 

a nationally applicable model building code or standard that 

addresses natural hazards as a basis for design and 

construction of mitigation projects 

• A comprehensive, multi-year plan to mitigate the risks posed 

to existing buildings that have been identified as necessary 

for post-disaster response and recovery operations 

• A comprehensive description of how the tribal government 

integrates mitigation into its post-disaster recovery 

operations 

H2. Does the enhanced plan document 

capability to implement mitigation 

actions? 

44 CFR §§ 201.3(e)(3), 201.5(b)(2)(i), 

201.5(b)(2)(ii), and 201.5(b)(2)(iv) 

Intent: To exhibit successful application 

of a tribal government’s mitigation 

program to advance risk reduction and 

resilience toward mitigation goals. 

a. The enhanced plan must describe the system to rank the 

mitigation measures according to established eligibility 

criteria, including a process to prioritize between funding 

programs and proposals that address different or multiple 

hazards. 

b. The enhanced plan must describe how the tribal government 

will assess the effectiveness of mitigation actions, including 

the role of the departments that are involved as well as the 

timeline, and use the results to inform the mitigation 

strategy. Effectiveness may be based on cost factors but may 

also include other beneficial functions. 

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ENHANCED ELEMENT REQUIREMENTS 

H3. Is the tribal government using 

existing mitigation programs to achieve 

mitigation goals? 

44 CFR §§ 201.3(e)(3), 201.5(a) and 

201.5(b)(3) 

Intent: To exhibit successful application 

of tribal government mitigation 

programs to advance risk reduction and 

resilience toward mitigation goals. Also 

to demonstrate the effective use of the 

additional HMGP funds for which the 

enhanced tribe is eligible. 

a. The enhanced plan must document how the tribal 

government has made full use of the funding available 

through the FEMA assistance programs (for example, PA C-G, 

HMGP, PDM, and FMA). If the tribal government has not 

made full use of available funding, the enhanced plan must 

document the reasons why funding was not used and explain 

the process to improve this capability. 

b. The enhanced plan must document how the tribal 

government uses existing programs to achieve its mitigation 

goals. 

Special Consideration: Citing limited staff resources is not 

considered an acceptable reason for not making full use of funding. 

Further, citing limited staff resources would document the inability 

to meet the requirement at 201.5(b)(2)(iii), which requires the 

tribal government to demonstrate HMA grants management 

capability. 

3.4 ENHANCED ELEMENT I: HAZARD MITIGATION ASSISTANCE (HMA) 

GRANTS MANAGEMENT PERFORMANCE 

Overall Intent: Approval of an enhanced tribal mitigation plan results in eligibility for increased 

HMGP funding. Therefore, the mitigation planning regulation requires tribal governments to 

demonstrate existing capabilities to effectively manage the HMGP as well as other mitigation 

grant programs (44 CFR §§ 201.5(a), 201.5(b)(3), and 201.5(b)(2)(iii)). 

At the time of plan submittal and review, and annually during the approval period, FEMA will 

review the tribal government’s last four quarters of grants management performance data for 

all FEMA HMA programs. For reviews of new enhanced tribal mitigation plans, FEMA may 

extend the timeframe when sufficient data is not available for the last four quarters. FEMA will 

supplement the review with any additional necessary grants management data or may request 

additional data from the tribal government, if necessary. 

For additional information on the requirements to make use of the funding available through 

the FEMA assistance programs, refer to Element H - Tribal Mitigation Capabilities. For 

additional information on how to maintain HMA grants management performance capabilities 

over the plan approval period, refer to Appendix B, Section B.5, Submittal and Review 

Procedures. 

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ENHANCED ELEMENT REQUIREMENTS 

I1. With regard to HMA, is the tribal 

government maintaining the 

capability to meet application 

timeframes and submitting complete 

project applications? 

44 CFR §§ 201.3(e)(3) and 

201.5(b)(2)(iii)(A) 

a. All applications and amendments are submitted by the end of 

each program’s respective application period.

b. All applications are entered into FEMA’s electronic data 

systems (such as NEMIS and/or eGrants). 

c. An Eligibility and Completeness Checklist is prepared for all 

applications. 

d. All applications are determined to be complete by FEMA 

within 90 days of submittal or selection for further review. 

Required environmental and historic preservation reviews 

and consultations will not be included in the 90-day review 

timeframe calculation. 

I2. With regard to HMA, is the tribal 

government maintaining the 

capability to prepare and submit 

accurate environmental reviews and 

benefit-cost analyses? 

44 CFR §§ 201.3(e)(3) and 

201.5(b)(2)(iii)(B) 

All applications and amendments are determined to be complete 

by FEMA within 90 days of submittal or selection for further 

review, including all data requested by FEMA to support Cost 

Effectiveness determinations and environmental/historic 

preservation compliance reviews. Required environmental and 

historic preservation reviews and consultations will not be 

included in the 90-day review timeframe calculation. 

I3. With regard to HMA, is the tribal 

government maintaining the 

capability to submit complete and 

accurate quarterly progress and 

financial reports on time? 

44 CFR §§ 201.3(e)(3) and 

201.5(b)(2)(iii)(C) 

a. All progress reports must be complete and submitted on 

time. Information in reports must accurately describe grant 

activities, including data related to the completion of 

individual property acquisitions. Incomplete progress reports 

that do not provide information on all open awards8 (or 

grants) and sub awards (or sub grants) or include all 

information required by the HMA Guidance are not 

considered on time. 

b. All federal financial reports (FFR), Standard Form (SF) SF-425 

are submitted on time. Information in reports shall accurately 

describe grant activities, as described in the HMA Guidance. 

c. The tribal government consistently complies with the 

Standards for Financial and Program Management 

requirements described in 2 CFR §§ 200.300 to 200.309. 

8 2 CFR § 200.328 

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ENHANCED ELEMENT REQUIREMENTS 

I4. With regard to HMA, is the tribal 

government maintaining the capability 

to complete HMA projects within 

established performance periods, 

including financial reconciliation? 

44 CFR §§ 201.3(e)(3) and 

201.5(b)(2)(iii)(D) 

a. All work as part of HMA sub awards must be completed by 

the end of Period of Performance as described in the FEMA 

Hazard Mitigation Assistance Program Guidance 

(https://www.fema.gov/hazard-mitigation-assistanceprogram-guidance). 

b. There are no major findings on the last single audit 

obtained by the tribal government related to HMA 

programs. For tribal governments without HMA grants, 

FEMA will review other federal grants. 

c. All grant close-out activities, including financial 

reconciliation, are completed within 90 days from the end 

of the performance period including: 

1. Final FFR SF-425 and Performance Reports were 

submitted within 90 days from the end of the 

performance period unless an extension is granted by 

FEMA. 

2. Statement submitted that approved Scope of Work and 

all environmental and historic preservation 

requirements have been satisfied. 

3. SF-270 Request for Advance or Reimbursement or 

request to de-obligate funds is completed, if applicable 

due to cost underruns. 

4. Other documentation as required in the HMA 

Guidance. 

5. No late drawdowns are requested or performed after 

the liquidation period has ended. 

d. Actual expenditures have been documented and are 

consistent with SF-424A or SF-424C (Application for Federal 

Assistance and Budget Information). 

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Tribal Mitigation Plan Review Guide 2017

Appendix A: Tribal Mitigation Plan Review Tool

The Tribal Mitigation Plan Review Tool records how the tribal mitigation plan meets the 

regulations in 44 CFR §§ 201.7 and 201.5 (if applicable) and offers FEMA plan reviewers an 

opportunity to provide feedback to the tribal government. 

• Section 1: The Regulation Checklist documents FEMA’s evaluation of whether the plan 

has addressed all requirements. If plan requirements are not met, FEMA uses each 

Required Revisions section to indicate necessary changes. 

• Section 2: The Strengths and Opportunities for Improvement summary identifies plan’s 

strengths as well as areas for improvement as part of the next plan update. 

The FEMA mitigation planner must reference the Tribal Mitigation Plan Review Guide when 

completing the Tribal Mitigation Plan Review Tool. 

Tribal Jurisdiction: Title of Plan: Date of Plan: 

Tribal Point of Contact: Address: 

Title: 

Agency: 

Phone Number: Email: 

State Reviewer (if applicable): Title: Date: 

FEMA Reviewer: Title: Date: 

Date Received in FEMA Region (insert #) 

Plan Not Approved 

Plan Approvable Pending Adoption 

Plan Approved 

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Tribal Mitigation Plan Review Guide 2017

Section 1: REGULATION CHECKLIST 

1. Standard Regulation Checklist Location in Plan 

(section and/or 

page number) Met 

Not 

Regulation (44 CFR § 201.7 Tribal Mitigation Plans) Met 

ELEMENT A. PLANNING PROCESS 

A1. Does the plan document the planning process, including how it 

was prepared and who was involved in the process? [44 CFR § 

201.7(c)(1)] 

A2. Does the plan document an opportunity for public comment 

during the drafting stage and prior to plan approval, including a 

description of how the tribal government defined “public”? [44 CFR § 

201.7(c)(1)(i)] 

A3. Does the plan document, as appropriate, an opportunity for 

neighboring communities, tribal and regional agencies involved in 

hazard mitigation activities, agencies that have the authority to 

regulate development as well as other interests to be involved in the 

planning process? [44 CFR § 201.7(c)(1)(ii)] 

A4. Does the plan describe the review and incorporation of existing 

plans, studies, and reports? [44 CFR § 201.7(c)(1)(iii)] 

A5. Does the plan include a discussion on how the planning process 

was integrated to the extent possible with other ongoing tribal 

planning efforts as well as other FEMA programs and initiatives? [44 

CFR § 201.7(c)(1)(iv)] 

A6. Does the plan include a description of the method and schedule 

for keeping the plan current (monitoring, evaluating and updating the 

mitigation plan within the plan update cycle)? [44 CFR § 

201.7(c)(4)(i)] 

A7. Does the plan include a discussion of how the tribal government 

will continue public participation in the plan maintenance process? 

[44 CFR § 201.7(c)(4)(iv)] 

ELEMENT A: REQUIRED REVISIONS 

ELEMENT B. HAZARD IDENTIFICATION AND RISK ASSESSMENT 

B1. Does the plan include a description of the type, location, and 

extent of all natural hazards that can affect the tribal planning area? 

[44 CFR § 201.7(c)(2)(i)] 

B2. Does the plan include information on previous occurrences of 

hazard events and on the probability of future hazard events for the 

tribal planning area? [44 CFR § 201.7(c)(2)(i)] 

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Tribal Mitigation Plan Review Guide 2017

1. Standard Regulation Checklist Location in Plan 

(section and/or 

page number) Met 

Not 

Regulation (44 CFR § 201.7 Tribal Mitigation Plans) Met 

B3. Does the plan include a description of each identified hazard’s

impact as well as an overall summary of the vulnerability of the tribal 

planning area? [44 CFR § 201.7(c)(2)(ii)] 

ELEMENT B: REQUIRED REVISIONS 

ELEMENT C. MITIGATION STRATEGY 

C1. Does the plan include a discussion of the tribal government's preand post-disaster hazard management policies, programs, and 

capabilities to mitigate the hazards in the area, including an 

evaluation of tribal laws and regulations related to hazard mitigation 

as well as to development in hazard-prone areas? [44 CFR §§ 

201.7(c)(3) and 201.7(c)(3)(iv)] 

C2. Does the plan include a discussion of tribal funding sources for 

hazard mitigation projects and identify current and potential sources 

of Federal, tribal, or private funding to implement mitigation 

activities? [44 CFR §§ 201.7(c)(3)(iv) and 201.7(c)(3)(v)] 

C3. Does the Mitigation Strategy include goals to reduce or avoid 

long-term vulnerabilities to the identified hazards? [44 CFR § 

201.7(c)(3)(i)] 

C4. Does the plan identify and analyze a comprehensive range of 

specific mitigation actions and projects being considered to reduce 

the effects of each hazard, with emphasis on new and existing 

buildings and infrastructure? [44 CFR § 201.7(c)(3)(ii)] 

C5. Does the plan contain an action plan that describes how the 

actions identified will be prioritized, implemented, and administered 

by the tribal government? [44 CFR § 201.7(c)(3)(iii)] 

C6. Does the plan describe a process by which the tribal government 

will incorporate the requirements of the mitigation plan into other 

planning mechanisms, when appropriate? [44 CFR § 201.7(c)(4)(iii)] 

C7. Does the plan describe a system for reviewing progress on 

achieving goals as well as activities and projects identified in the 

mitigation strategy, including monitoring implementation of 

mitigation measures and project closeouts? [44 CFR §§ 201.7(c)(4)(ii) 

and 201.7(c)(4)(v)] 

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Tribal Mitigation Plan Review Guide 2017

1. Standard Regulation Checklist Location in Plan 

(section and/or 

page number) Met 

Not 

Regulation (44 CFR § 201.7 Tribal Mitigation Plans) Met 

ELEMENT C: REQUIRED REVISIONS 

ELEMENT D. PLAN UPDATES 

D1. Was the plan revised to reflect changes in development? [44 CFR 

§ 201.7(d)(3)] 

D2. Was the plan revised to reflect progress in tribal mitigation 

efforts? [44 CFR §§ 201.7(d)(3) and 201.7(c)(4)(iii)] 

D3. Was the plan revised to reflect changes in priorities? [44 CFR § 

201.7(d)(3)] 

ELEMENT D: REQUIRED REVISIONS 

ELEMENT E. ASSURANCES AND PLAN ADOPTION 

E1. Does the plan include assurances that the tribal government will 

comply with all applicable Federal statutes and regulations in effect 

with respect to the periods for which it receives grant funding, 

including 2 CFR Parts 200 and 3002, and will amend its plan whenever 

necessary to reflect changes in tribal or Federal laws and statutes? 

[44 CFR § 201.7(c)(6)] 

E2. Does the plan include documentation that it has been formally 

adopted by the governing body of the tribal government requesting 

approval? [44 CFR § 201.7(c)(5)] 

ELEMENT E: REQUIRED REVISIONS 

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Tribal Mitigation Plan Review Guide 2017

2. Enhanced Regulation Checklist Location in Plan 

(section and/or 

page number) Met 

Not 

Regulation (44 CFR § 201.5 Enhanced Tribal Mitigation Plans) Met 

ENHANCED ELEMENT F. STANDARD PLAN REQUIREMENTS 

F1. Does the enhanced plan include all elements of the standard 

tribal mitigation plan? [44 CFR §§ 201.3(e)(3), 201.5(b), and 201.7] 

ENHANCED ELEMENT F: REQUIRED REVISIONS 

ENHANCED ELEMENT G. INTEGRATED PLANNING 

G1. Does the enhanced plan demonstrate integration to the extent 

practicable with other tribal and/or regional planning initiatives and 

FEMA mitigation programs and initiatives? [44 CFR §§ 201.3(e)(3) and 

201.5(b)(1)] 

ENHANCED ELEMENT G: REQUIRED REVISIONS 

ENHANCED ELEMENT H. TRIBAL MITIGATION CAPABILITIES 

H1. Does the tribal government demonstrate commitment to a 

comprehensive mitigation program? [44 CFR §§ 201.3(e)(3) and 

201.5(b)(4)] 

H2. Does the enhanced plan document capability to implement 

mitigation actions? [44 CFR §§ 201.3(e)(3), 201.5(b)(2)(i), 

201.5(b)(2)(ii), and 201.5(b)(2)(iv)] 

H3. Is the tribal government using existing mitigation programs to 

achieve mitigation goals? [44 CFR §§ 201.3(e)(3), 201.5(a) and 

201.5(b)(3)] 

ENHANCED ELEMENT H: REQUIRED REVISIONS 

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Tribal Mitigation Plan Review Guide 2017

2. Enhanced Regulation Checklist Location in Plan 

(section and/or 

page number) Met 

Not 

Regulation (44 CFR § 201.5 Enhanced Tribal Mitigation Plans) Met 

ENHANCED ELEMENT I. HMA GRANTS MANAGEMENT PERFORMANCE 

I1. With regard to HMA, is the tribal government maintaining the 

capability to meet application timeframes and submitting complete 

project applications? [44 CFR §§ 201.3(e)(3), 201.5(b)(2)(iii)(A)] 

I2. With regard to HMA, is the tribal government maintaining the 

capability to prepare and submit accurate environmental reviews 

and benefit-cost analyses? [44 CFR §§ 201.3(e)(3) and 

201.5(b)(2)(iii)(B)] 

I3. With regard to HMA, is the tribal government maintaining the 

capability to submit complete and accurate quarterly progress and 

financial reports on time? [44 CFR §§ 201.3(e)(3) and 

201.5(b)(2)(iii)(C)] 

I4. With regard to HMA, is the tribal government maintaining the 

capability to complete HMA projects within established 

performance periods, including financial reconciliation? [44 CFR §§ 

201.3(e)(3) and 201.5(b)(2)(iii)(D)] 

ENHANCED ELEMENT I: REQUIRED REVISIONS 

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Tribal Mitigation Plan Review Guide 2017

Section 2: STRENGTHS AND OPPORTUNITIES FOR IMPROVEMENT 

INSTRUCTIONS: The purpose of the Strengths and Opportunities for Improvement section is 

for FEMA to provide more comprehensive feedback on the tribal mitigation plan to help the 

tribal government advance mitigation planning. The intended audience is the tribal staff 

responsible for the mitigation plan update. FEMA will address the following topics: 

1. Plan strengths, including specific sections in the plan that are above and beyond the 

minimum requirements; and 

2. Suggestions for future improvements. 

FEMA will provide feedback and include examples of best practices, when possible, as part of 

the Tribal Mitigation Plan Review Tool, or, if necessary, as a separate document. The tribal 

mitigation plan elements are included below in italics for reference. FEMA is not required to 

provide feedback for each element. 

Required revisions from the Regulation Checklist are not documented in the Strengths and 

Opportunities for Improvement section. Results from the Strengths and Opportunities for 

Improvement section are not required for Plan Approval. 

Describe the mitigation plan strengths areas for future improvements, including areas that 

may exceed minimum requirements. 

• Planning process 

• Hazard identification and risk assessment 

• Mitigation strategy (including Mitigation Capabilities) 

• Plan updates 

• Adoption and assurances 

• Enhanced Plan - Integrated planning 

• Enhanced Plan - Tribal government mitigation capabilities (commitment to a 

comprehensive mitigation program) 

• Enhanced Plan - HMA grants management performance 

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Appendix B: Tribal Mitigation Plan Submittal and Review

Procedures 

This Appendix is organized as follows: 

• Section B.1: Overview 

• Section B.2: Submittal Requirements 

• Section B.3: Plan Review Status 

• Section B.4: Communicating the Review 

• Section B.5: Enhanced Tribal Mitigation Plan Review 

Section B.1 provides an overview of the plan review procedures. Section B.2 reviews the 

submittal requirements for tribal mitigation plan reviews. Section B.3 provides plan review 

status definitions. Section B.4 discusses how the review will be communicated to the tribal 

government. Section B.5 outlines enhanced tribal mitigation plan reviews, including a 

discussion of the enhanced panel procedures. 

OVERVIEW 

Federally recognized tribes with an approved tribal mitigation plan in accordance with 44 CFR § 

201.7 may apply to FEMA directly for assistance. If the tribal government applies to FEMA 

directly, the tribal government is referred to as the applicant. If the grant is awarded, the tribe 

becomes the grant recipient. 

With regard to Hazard Mitigation Assistance and in accordance with 44 CFR § 201.7, “tribal 

governments who would like the option of being a subgrantee under the State must also 

submit their plan to the State Hazard Mitigation Officer for review and coordination.” If the 

tribal government receives an award through the state, the tribal government is the 

subrecipient. Figure 1 illustrates the plan submittal and review procedures for tribal recipients 

and subrecipients, respectively. 

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Tribal Mitigation Plan Review Guide 2017

Figure 1. Comparison of Tribal Mitigation Plan Submittal and Review Process Options 9 

Tribal Government as Recipient 

Tribe Submits Directly to FEMA 

Plan Submittal

Step 1 

Tribal government submits the 

tribal mitigation plan to the FEMA 

Regional office to request a FEMA 

review. 

Step 2 The FEMA Region confirms receipt 

of plan. 

Plan Review 

Step 3 The FEMA Region reviews the plan. 

Step 4 

The FEMA Region contacts the tribal 

government to notify them of the 

review results. 

Required

Revisions

Step 5 

If the plan requires revisions, the 

FEMA Region works with the tribal 

government to resolve the issues. 

Plan Approval and Adoption 

Step 6 

When all elements are met, the 

FEMA Region determines that the 

tribal mitigation plan is Approvable 

Pending Adoption (APA) or 

Approved (if the plan was adopted) 

and notifies the tribal government. 

Step 7 

If the plan has not yet been 

adopted, the tribal government 

adopts the plan. 

Step 8 

The tribal government submits 

documentation of adoption to the 

FEMA Region. 

Step 9 

The FEMA Region sends an official 

plan approval letter to the tribal 

government. The plan approval 

date begins the 5-year approval 

period and sets the expiration date 

for the plan, as described in the 

FEMA approval letter. 

Step 

10 

FEMA coordinates with the State 

for awareness that the tribe’s plan

is approved and the tribe is eligible 

to submit mitigation grant 

applications. 

OR 

Tribal Government as Subrecipient 

Tribe Submits Plan to State 

Plan

Submittal

Step 1 

Tribal government submits the tribal 

mitigation plan to the State Hazard 

Mitigation Officer to request a review. 

Step 2 The State confirms receipt of the plan. 

State Plan

Review

Step 3 The State reviews the plan. 

Step 4 

The State contacts the tribal 

government to notify them of the 

review results. 

State Required

Revisions

Step 5 

If the plan requires revisions, the State 

works with the tribal government to 

resolve the issues. When all 

requirements are met, the State 

forwards the plan to the FEMA Region 

for review. 

FEMA Plan

Review 

Step 6 The FEMA Region reviews the plan. 

Step 7 

The FEMA Region contacts the State to 

notify them of the review results. The 

State notifies the tribal government of 

the review results. 

FEMA 

Required 

Revisions Step 8 

If the plan requires revisions, the FEMA 

Region works with the State and the 

tribal government to resolve the issues. 

Plan Approval and Adoption 

Step 9 

When all elements are met, the FEMA 

Region determines that the tribal 

mitigation plan is Approvable Pending 

Adoption (APA) or Approved (if the 

plan was adopted) and notifies the 

State. The State notifies the tribal 

government of the review results. 

Step 

10 

If the plan has not yet been adopted, 

the tribal government adopts the plan. 

Step 

11 

The tribal government submits 

documentation of adoption to the 

State. The State forwards the 

documentation to the FEMA Region. 

Step 

12 

The FEMA Region sends an official plan 

approval letter to the State. The State 

notifies the tribal government of the 

approval. The plan approval date begins 

the 5-year approval period and sets the 

expiration date for the plan, as 

described in the FEMA approval letter. 

Note: During the review, the tribal government as a 

subrecipient may contact the FEMA Region directly 

regarding the status of the plan or plan reviews. 

9 There may be Regional variations to these submittal and review procedures. Tribes are encouraged to contact their FEMA 

Regional Mitigation Planner or State Hazard Mitigation Officer for more details. 

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Tribal Mitigation Plan Review Guide 2017

SUBMITTAL REQUIREMENTS 

As stated in 44 CFR § 201.7(a)(1), tribal mitigation plans must be submitted to the appropriate 

FEMA Regional office for review and approval. FEMA will work with the tribal government to 

determine mutually agreeable submittal formats. The location of the tribal headquarters 

determines which FEMA Regional office will review each tribal mitigation plan. The submittal 

should include the following: 

a. A transmittal letter or email from the tribal government requesting review and 

approval; 

b. A Tribal Mitigation Plan Review Tool indicating page numbers where the required 

elements can be found; and 

c. The tribal mitigation plan to be reviewed, including any appendices and/or annexes. 

Upon receipt, FEMA shall provide confirmation to the tribal government. 

PLAN REVIEW STATUS 

Upon completion of a plan review, FEMA will provide a copy of a completed Tribal Mitigation 

Plan Review Tool that indicates the outcome, using the following designations: “Requires 

Revisions,” “Approvable Pending Adoption (APA),” or “Approved.”

B.3.1 Requires Revisions 

Tribal mitigation plans not meeting all of the relevant requirements are returned with a 

“Requires Revisions” designation. The required revisions are documented in writing, using the 

Tribal Mitigation Plan Review Tool, for discussion with the tribal government. When a plan 

requires revisions, FEMA will complete subsequent plan reviews as necessary. 

B.3.2 Approvable Pending Adoption 

APA is a recommended and potentially time-saving process by which tribal governments submit 

the final draft tribal mitigation plan for a review prior to formal adoption. If FEMA determines 

the plan is not approvable, the tribal government will be able to address deficiencies before 

adopting the plan. If all requirements are met except adoption, FEMA determines that the plan 

is APA. Once the tribal government receives notice from FEMA that the plan status is APA, the 

tribal government can then proceed with the adoption process, assured that the adopted plan 

will receive FEMA’ s final approval. 

Adoption must take place within one calendar year of receipt of FEMA’s APA notice. If the

plan is not adopted within one calendar year, the tribal government must update the entire 

plan and resubmit it for FEMA review. (See Element E, beginning on page 16.) 

B.3.3 Approved 

Once all requirements are met and the adoption resolution is received by the FEMA 

Regional office, FEMA will send an approval letter to the tribal government signed by the FEMA 

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Tribal Mitigation Plan Review Guide 2017

Regional Administrator or designee. The approval letter will identify, at a minimum, the name 

of the approved plan, the date of plan approval, and the expiration date. An approval letter 

template can be found in Appendix C. 

COMMUNICATING THE REVIEW 

FEMA will work with the tribal government to determine mutually agreeable communication 

methods. FEMA and the tribal government (or tribe-designated) point of contact for hazard 

mitigation planning and mitigation are encouraged to coordinate with each other throughout 

the plan review and approval process. 

FEMA may contact the tribal government to discuss required revisions and offer an opportunity 

for changes prior to sending official results of the review to the tribal government. Official 

communication will take place using formal letters or electronic communication, as agreed to 

by the FEMA Regional office and the tribal government. State officials completing initial reviews 

(for example, if the tribe is a subrecipient) may have their own procedures or preferences for 

communication with the tribal government or with FEMA. However, a clear understanding of 

how information on tribal mitigation plan reviews will be relayed and, where necessary, issues 

will be resolved, will foster positive relationships between all parties. 

ENHANCED TRIBAL MITIGATION PLAN REVIEW 

The enhanced plan submittal procedures are the same as the procedures for standard tribal 

mitigation plans. If, upon completion of the FEMA review, required revisions are identified, the 

FEMA Regional mitigation planning staff will coordinate with the tribal government regarding 

the expected revisions to the enhanced plan. Upon satisfactory completion of all enhanced plan 

requirements, the FEMA Regional Administrator or designee will send a notice of approval or 

APA to the tribal government. FEMA will not grant conditional approvals of enhanced tribal 

mitigation plans. All requirements must be met at time of review for the plan to be approved. 

FEMA Regional mitigation planning staff will coordinate with the RTL throughout the enhanced 

plan review process. Note that for new enhanced plans, or expired plans that have been lapsed 

for more than 12 months, FEMA Headquarters will convene a National Review Panel. The 

National Review Panel may also be convened for enhanced plan updates that have not expired 

or for enhanced plans that have been expired for fewer than 12 months upon request by the 

Region. This process is described further in Section B.5.1 below. 

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B.5.1 Enhanced Plan Status 

The status of enhanced plan submittals, the Review Panel Type, and the Review Panel 

composition are shown in Table B-1 below. A new enhanced plan is a plan submitted by a tribal 

government that has never had an approved enhanced plan. If a tribal government submitted 

an enhanced tribal mitigation plan for review, but it was never approved by FEMA, the next 

enhanced tribal mitigation plan submittal will fall under this category as well. 

New enhanced plans will be reviewed by a National Review Panel composed of a minimum of 

one FEMA Regional representative, one FEMA Headquarters representative, and one tribal or 

state representative. FEMA Headquarters will be responsible for convening the panel and will 

decide whether a tribal or state representative will participate based on recommendations 

from the tribal government and the Region. The tribal representative must not also be a 

member of the tribe seeking enhanced status. 

Updated enhanced plans that have not expired or that have been expired for fewer than 

12 months will be reviewed by the FEMA Regional office; whenever possible, FEMA 

Headquarters will perform a parallel review for consistency. A National panel could be 

convened upon request by the Region, but it is not required. 

If a tribal government submits an enhanced tribal mitigation plan and the previously approved 

enhanced plan has been expired for more than 12 months, it will be reviewed as a new 

enhanced plan, and FEMA Headquarters will convene a National Review Panel. 

Table B 1. Summary of Enhanced Plan Status, Review Panel Types, and Review Panel 

Composition 

ENHANCED PLAN STATUS REVIEW PANEL TYPE REVIEW PANEL 

Regional National COMPOSITION 

New enhanced plan 

or 

Updated enhanced plan expired more than 

12 months 

✓

1 Headquarters, 

1 Regional, 

1 Tribal/State 

Updated enhanced plan that has not expired 

or 

Updated enhanced plan expired for less than 

12 months 

✓ Upon 

Request 

Established by 

Region 

Prior to expiration, the tribal government may have submitted and received approval of the 

standard plan, but not an enhanced plan. If the tribal government subsequently receives 

approval of an enhanced plan, the approval date coincides with the approval date of the 

standard plan. 

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In accordance with 44 CFR § 201.5(c)(1), “the Regional review will be completed within 45 days

after receipt from the State, whenever possible.” Plans that are submitted within 45 days of 

expiration are at risk of expiring and losing enhanced status. 

B.5.2 Hazard Mitigation Assistance Grants Management Performance Review 

The FEMA Regional mitigation staff will complete the grant program management review per 

44 CFR § 201.5(b)(2)(iii) within 30 days of receipt of the tribal mitigation plan and before the 

National Review Panel convenes. FEMA will evaluate the HMA grants management 

performance using the criteria provided in Section 3.4, HMA Grants Management Performance. 

FEMA will notify the tribal government of the results of the HMA grants management review 

and provide specific reasons if the tribal government performance is not satisfactory to pass the 

review. The tribal government may not request a National Review Panel to reconsider the 

FEMA HMA grants management performance review. 

If at any time over the plan approval period FEMA determines that the tribal government is not 

complying with all applicable Federal statutes and regulations in effect with respect to the 

periods for which it receives funding or is unable to fulfill mitigation commitments, FEMA may 

take action to correct the noncompliance (2 CFR § 200.338). If the tribal government does not 

comply with HMA award administration requirements, FEMA may consider taking action as 

detailed in the Hazard Mitigation Assistance Program Guidance (Part VI. Award Administration 

Information, D.8 Remedies for Noncompliance). Before taking action, FEMA Regional Mitigation 

staff must coordinate with the respective FEMA Headquarters program offices. 

B.5.3 FEMA Regional Review 

The FEMA Region notifies the tribal government and FEMA Headquarters of the review status 

milestones. The FEMA Region will complete its review of the enhanced plan within 45 days 

after receipt from the tribal government, whenever possible (44 CFR § 201.4(d)). Additional 

reviews may be necessary if required revisions are identified. 

The FEMA Regional mitigation planning staff will complete the internal regional review process 

and, if a consistency review is to take place, send a copy to FEMA Headquarters mitigation 

planning staff. FEMA Headquarters mitigation planning staff will review the plan within the 

same 45-day review period. The FEMA Regional mitigation planning staff will coordinate with 

and incorporate FEMA Headquarters comments into the Regional review. The parallel review by 

FEMA Headquarters will not delay the Regional review. 

If the finding from the Regional review is not satisfactory, the tribal government may request a 

review by the National Review Panel. This secondary review process will follow the same panel 

composition and process as a new enhanced plan. If a review by the National Review Panel is 

requested, the Regional review will be completed within 30 days of the request. 

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B.5.4 National Review Panel 

As mentioned above, if the enhanced plan is new or if the enhanced plan submitted to FEMA 

has been expired for more than 12 months, FEMA will convene a National Review Panel. Prior 

to convening the National Panel, the FEMA Regional mitigation planning staff completes the 

internal Regional review process, including grant program management, and notifies the tribal 

government and FEMA Headquarters mitigation planning staff of the review status. If, upon 

completion of the FEMA Regional review, required revisions are identified, the FEMA Regional 

office sends the completed plan review to the tribal government and coordinates with the tribal 

government to adjust the schedule based on the expected revisions to the enhanced plan. 

Upon satisfaction that all elements of the Regional review process have been met, the FEMA 

Regional mitigation planning staff submits the enhanced tribal mitigation plan to FEMA 

Headquarters mitigation planning staff for a review by the National Review Panel. 

Upon notification from the FEMA Regional office, FEMA Headquarters mitigation planning staff 

will assemble the National Review Panel. Once convened, the National Review Panel will 

complete its review and provide timely feedback through the FEMA Regional mitigation 

planning staff to the submitting tribal government. 

Upon receipt of the plan from the FEMA Regional office, FEMA Headquarters mitigation 

planning staff and FEMA Regional mitigation staff will participate in an initial coordination 

conference call with the National Review panelists to coordinate schedules and ensure all 

materials have been provided to panelists to complete reviews. 

• Each panelist will complete an independent review of the plan and submit a completed 

Tribal Mitigation Plan Review Tool to the FEMA Headquarters mitigation planning staff. 

• FEMA Headquarters mitigation planning staff will consolidate comments into a single 

Tool and distribute to panelists. 

• FEMA Headquarters mitigation planning staff will facilitate a National Review Panel 

discussion (generally held via conference call) to discuss the plan reviews and to reach 

Panel consensus on recommendations for plan approval or required revisions. 

• FEMA Headquarters mitigation planning staff will notify the FEMA Regional mitigation 

planning staff of the panel outcome. 

If revisions are required following the review, the FEMA Regional mitigation planning staff will 

forward the Tribal Mitigation Plan Review Tool reviewed by the National Review Panel to the 

tribal government so that the revisions can be made. 

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B.5.5 Enhanced Plan Review Procedure Summary 

A summary of the enhanced plan procedures is provided in Table B-2. 

Table B 2. Summary of Enhanced Plan Review Procedures 

Enhanced Plan Category Process Summary Timeframe 

New or Updated - expired 

for more than 12 months is 

submitted by tribal 

government and either: 

1. Tribal government 

had not had an 

approved enhanced 

plan before; or 

2. Tribal government 

previously had an 

approved enhanced 

plan and that plan 

expired more than 12 

months prior to 

submittal. 

Plan review is completed within 45 

days of submittal, whenever 

possible. 

The following occurs during the 

review: 

• HQ assembles National 

Review Panel 

• Required revisions may be 

identified 

After Regional review, National 

Review Panel convenes. 

National Panel review of plan will 

not exceed 45 days, whenever 

possible. 

Day 1: Submittal to Region; 

HQ assembles National 

Review Panel. 

Day 30: Region completes its 

review. 

Day 45: National Review Panel 

provides feedback to the tribal 

government. 

Additional review time may be 

necessary for either the 

Region or National Review 

Panel if the plan requires 

revision. 

Updated Enhanced Plan 

is submitted by tribal 

government and either: 

1. Tribal government’s

plan has not yet 

expired; or 

2. Tribal government 

had enhanced plan 

that expired less than 

12 months prior to 

submittal. 

Initial Review: 

Region and HQ will complete joint 

review within 45 days of submittal, 

whenever possible. 

Plan will be either approved or 

returned for revisions in this 

timeframe. 

Optional Secondary Review: 

If the tribal government is not 

satisfied with outcome of the 

Regional review, a National Review 

Panel review can be requested and 

will be completed within 30 days. 

Initial Review: 

Day 1: Submitted to Region 

Day 45: Region and HQ make 

determination 

Optional Secondary Review 

(If tribal government not 

satisfied with outcome of 

Regional review): 

Day 1: HQ begins to assemble 

National Review Panel. 

Day 30: Region shares 

outcome of National Review 

Panel review with tribal 

government. 

Additional review time may be 

necessary either from the 

Regional or National Review 

Panel reviews if required 

revisions are identified. 

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B.5.6 Review of Mitigation Commitments 

A FEMA-approved enhanced tribal mitigation plan documents sustained, proven commitment 

to hazard mitigation and results in eligibility for increased HMGP funding. Annually, FEMA staff 

will validate that tribal governments with enhanced mitigation plans are maintaining a 

comprehensive mitigation program and using available mitigation funding effectively (44 CFR 

§ 201.5(a)). 

Following the validation, FEMA will provide the tribal government with a written summary of 

findings. An important benefit of the annual validation is to show the tribal government that 

the mitigation program is on track and continues to meet grants management performance 

requirements over the 5-year approval period. FEMA will not require a tribal mitigation plan 

update as a result of the annual validation. 

If FEMA determines that the tribal government’s mitigation capabilities have not improved or 

have declined, FEMA will work with the tribal government to identify appropriate activities to 

improve the mitigation capabilities and determine a reasonable timeframe for completing 

these actions. The tribal government will have 30 days after receipt of the summary of findings 

to submit a proposal to FEMA regarding the schedule and action plan for making the 

improvements. 

If the tribal mitigation capabilities do not improve, FEMA may consider withholding funds or 

denying future funding by suspending the tribal government’s enhanced plan status prior to the 

5-year update. If the enhanced plan status is suspended by FEMA, the tribal mitigation plan 

would revert to “Standard” plan status and the tribal government would no longer be eligible to 

receive the increased portion of HMGP funding for future disaster declarations. If the tribal 

government is subsequently able to demonstrate the capability to manage the increased HMGP 

funding consistent with the criteria in the applicable regulations and this Guide, FEMA would 

restore the enhanced plan status. The tribal government would then be eligible to receive 

increased HMGP funding for future disaster declarations. 

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Appendix C: Tribal Mitigation Plan Approval Letter Template

[insert Tribal point of contact name, title] 

[insert Tribal name] 

[insert Tribal address line 1] 

[insert Tribal address line 2] 

Reference: Approval of the [insert name] Tribal Mitigation Plan 

Dear [insert name]: 

The U.S. Department of Homeland Security, Federal Emergency Management Agency 

(FEMA) Region [insert number] Mitigation Division has approved the updated [insert 

name] tribal mitigation plan effective [insert date] through [insert date]. This plan review 

was completed in accordance with the planning requirements of the Robert T. Stafford 

Disaster Relief and Emergency Assistance Act (Stafford Act), as amended, the National 

Flood Insurance Act of 1968, as amended, and Title 44 Code of Federal Regulations (CFR) 

Part 201. 

A FEMA-approved tribal mitigation plan is a condition of receiving certain non-emergency 

Stafford Act assistance and FEMA mitigation grants from the following programs: 

• Public Assistance Categories C-G (PA C-G) 

• Fire Management Assistance Grants (FMAG) 

• Hazard Mitigation Grant Program (HMGP) 

• Pre-Disaster Mitigation (PDM) 

• Flood Mitigation Assistance (FMA) 

Tribal mitigation plans must be updated and resubmitted to FEMA Region [insert number], 

Mitigation Division for approval every five years in order to remain eligible for the 

programs listed above. If the plan is not approved by the date indicated on this letter, the 

plan is considered lapsed and funds cannot be obligated until the mitigation plan is 

approved by FEMA. 

If the approved plan is enhanced, insert: 

FEMA commends the tribal government for the additional effort and commitment to 

mitigation, authorizing the tribal government to receive additional HMGP funds of up to 20 

percent of the estimated eligible Stafford Act assistance. The “enhanced” designation is 

recognition for tribes that are leaders in implementing a comprehensive hazard mitigation 

program that results in safer, more resilient communities. 

FEMA will provide a reminder to the tribal government, at a minimum, 12 months prior to the 

plan expiration date, of the consequences of not having a FEMA-approved mitigation plan with 

respect to eligibility for the FEMA assistance programs. 

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Tribal Mitigation Plan Review Guide 2017

Finally, we look forward to working with you to discuss the status of the tribal mitigation 

planning program as well as providing technical assistance, as requested, over the approval 

period. 

If we can be of assistance, please contact [insert name], at [insert phone # and email address]. 

Sincerely, 

[Insert name] 

[Insert title] 

Enclosure: Tribal Mitigation Plan Review Tool 

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Appendix D: Mitigation Plans and Eligibility for FEMA Assistance

In accordance with 44 CFR Part 201, state, tribal, and local governments must have a FEMAapproved Mitigation Plan before FEMA will obligate funds for certain programs.10 The table below 

illustrates this mitigation plan requirement with respect to FEMA assistance programs.11 

FEMA Assistance Programs and Mitigation Plan Requirement 

FEMA Assistance Program 

Is a Mitigation Plan Required? 

Tribal Applicant 

to FEMA 

Tribal Sub-applicant 

through State 

Individual Assistance (IA) No No 

Public Assistance (PA) 

Categories A and B (e.g., debris 

removal, emergency protective 

measures) 

No No 

Categories C through G 

(Permanent work – e.g., repairs to 

publicly owned buildings) 

Yes No 

Fire Management Assistance Grants (FMAG) Yes No 

Hazard Mitigation 

Grant Program (HMGP) 

Planning grant Yes No 

Project grant Yes Yes 

Pre-Disaster Mitigation 

(PDM) 

Planning grant No No 

Project grant Yes Yes 

Flood Mitigation 

Assistance (FMA) 

Planning grant Yes No

Project grant Yes Yes 

1044 CFR § 201.7(a)(1) Indian tribal governments applying to FEMA as a grantee must have an approved Tribal Mitigation Plan 

meeting the requirements of this section as a condition of receiving non-emergency Stafford Act assistance and FEMA mitigation 

grants. Emergency assistance provided under 42 U.S.C. 5170a, 5170b, 5173, 5174, 5177, 5179, 5180, 5182, 5183, 5184, 5192 will 

not be affected. Mitigation planning grants provided through the PDM program, authorized under section 203 of the Stafford Act, 42 

U.S.C. 5133, will also continue to be available. 

11 Authorities: Robert T. Stafford Disaster Relief and Emergency Assistance Act, Public Law 93-288, as amended; 42 U.S.C. 

5121 et seq.; Section 1366 of the National Flood Insurance Act of 1968, as amended, 42 U.S.C. 4104c; 44 CFR, Emergency 

Management and Assistance, which includes Part 79, Flood Mitigation Grants; Sections 201.7(a)(1), 201.3(e)(1), Part 204, Fire 

Management Assistance Grant Program, and Part 206, Federal Disaster Assistance. 

Page | 45 
Appendix E: Title 44 Code of Federal Regulations (CFR) §§ 201.7, 

201.5, and 201.3

 

 

Tribal Mitigation Plan Review Guide 2017

STANDARD TRIBAL MITIGATION PLANNING REGULATIONS 

This table presents the regulatory citations for standard tribal mitigation plans. Note: this is not the full regulatory text. 

44 CFR Regulatory Text 

§ 201.7 The Indian Tribal Mitigation Plan is the representation of the Indian tribal 

government's commitment to reduce risks from natural hazards, serving as 

a guide for decision makers as they commit resources to reducing the 

effects of natural hazards. 

§ 201.7(a)(1) Plan requirement. (1) Indian tribal governments applying to FEMA as a 

grantee must have an approved Tribal Mitigation Plan meeting the 

requirements of this section as a condition of receiving non-emergency 

Stafford Act assistance and FEMA mitigation grants. Emergency assistance 

provided under 42 U.S.C. 5170a, 5170b, 5173, 5174, 5177, 5179, 5180, 

5182, 5183, 5184, 5192 will not be affected. Mitigation planning grants 

provided through the PDM program, authorized under section 203 of the 

Stafford Act, 42 U.S.C. 5133, will also continue to be available. 

§ 201.7(a)(3) Indian Tribal governments applying through the State as a subgrantee must 

have an approved Tribal Mitigation Plan meeting the requirements of this 

section in order to receive HMGP project grants and the Administrator, at 

his discretion may require a Tribal Mitigation Plan for the Repetitive Flood 

Claims Program. A Tribe must have an approved Tribal Mitigation Plan in 

order to apply for and receive FEMA mitigation project grants, under all 

other mitigation grant programs. The provisions in §201.6(a)(3) are 

available to Tribes applying as subgrantees. 

Planning Process 

§ 201.7(c)(1) [The plan shall include] Documentation of the planning process used to 

develop the plan, including how it was prepared, who was involved in the 

process, and how the public was involved. This shall include: 

§ 201.7(c)(1)(i) (i) An opportunity for the public to comment on the plan during 

the drafting stage and prior to plan approval, including a 

description of how the Indian tribal government defined 

“public;”

§ 201.7(c)(1)(ii) (ii) As appropriate, an opportunity for neighboring communities, 

tribal and regional agencies involved in hazard mitigation 

activities, and agencies that have the authority to regulate 

development, as well as businesses, academia, and other 

private and nonprofit interests to be involved in the planning 

process; 

§ 201.7(c)(1)(iii) (iii) Review and incorporation, if appropriate, of existing plans, 

studies, and reports; and 

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§ 201.7(c)(1)(iv) (iv) 

 

Tribal Mitigation Plan Review Guide 2017

STANDARD TRIBAL MITIGATION PLANNING REGULATIONS 

This table presents the regulatory citations for standard tribal mitigation plans. Note: this is not the full regulatory text. 

44 CFR Regulatory Text 

§ 201.7(c)(4) [The plan shall include] A plan maintenance process that includes: 

§ 201.7(c)(4)(i) (i) A section describing the method and schedule of monitoring, 

evaluating, and updating the mitigation plan. 

§ 201.7(c)(4)(iv) (iv) Discussion on how the Indian tribal government will continue 

public participation in the plan maintenance process. 

Risk Assessment 

§ 201.7(c)(2) [The plan shall include] A risk assessment that provides the factual basis for 

activities proposed in the strategy to reduce losses from identified hazards. 

Tribal risk assessments must provide sufficient information to enable the 

Indian tribal government to identify and prioritize appropriate mitigation 

actions to reduce losses from identified hazards. The risk assessment shall 

include: 

§ 201.7(c)(2)(i) (i) A description of the type, location, and extent of all natural 

hazards that can affect the tribal planning area. The plan shall 

include information on previous occurrences of hazard events 

and on the probability of future hazard events. 

§ 201.7(c)(2)(ii) (ii) A description of the Indian tribal government's vulnerability to 

the hazards described in paragraph (c)(2)(i) of this section. This 

description shall include an overall summary of each hazard and 

its impact on the tribe. The plan should describe vulnerability in 

terms of: 

(A) The types and numbers of existing and future buildings, 

infrastructure, and critical facilities located in the identified 

hazard areas; 

(B) An estimate of the potential dollar losses to vulnerable 

structures identified in paragraph (c)(2)(ii)(A) of this section 

and a description of the methodology used to prepare the 

estimate; 

(C) A general description of land uses and development trends 

within the tribal planning area so that mitigation options 

can be considered in future land use decisions; and 

(D) Cultural and sacred sites that are significant, even if they 

cannot be valued in monetary terms. 

Page | 47 

Be integrated to the extent possible with other ongoing tribal 

planning efforts as well as other FEMA programs and initiatives.
 

 

Tribal Mitigation Plan Review Guide 2017

STANDARD TRIBAL MITIGATION PLANNING REGULATIONS 

This table presents the regulatory citations for standard tribal mitigation plans. Note: this is not the full regulatory text. 

44 CFR Regulatory Text 

Mitigation Strategy 

§ 201.7(c)(3) [The plan shall include] A mitigation strategy that provides the Indian tribal 

government's blueprint for reducing the potential losses identified in the 

risk assessment, based on existing authorities, policies, programs and 

resources, and its ability to expand on and improve these existing tools. This 

section shall include: 

§ 201.7(c)(3)(i) (i) A description of mitigation goals to reduce or avoid long-term 

vulnerabilities to the identified hazards. 

§ 201.7(c)(3)(ii) (ii) A section that identifies and analyzes a comprehensive range of 

specific mitigation actions and projects being considered to 

reduce the effects of each hazard, with particular emphasis on 

new and existing buildings and infrastructure. 

§ 201.7(c)(3)(iii) (iii) An action plan describing how the actions identified in paragraph 

(c)(3)(ii) of this section will be prioritized, implemented, and 

administered by the Indian Tribal government. 

§ 201.7(c)(3)(iv) (iv) A discussion of the Indian tribal government's pre- and postdisaster hazard management policies, programs, and capabilities 

to mitigate the hazards in the area, including: An evaluation of 

tribal laws, regulations, policies, and programs related to hazard 

mitigation as well as to development in hazard-prone areas; and 

a discussion of tribal funding capabilities for hazard mitigation 

projects. 

§ 201.7(c)(3)(v) (v) Identification of current and potential sources of Federal, tribal, 

or private funding to implement mitigation activities. 

§ 201.7(c)(4)(ii) [The plan maintenance process shall include]: 

(ii) A system for monitoring implementation of mitigation 

measures and project closeouts. 

§ 201.7(c)(4)(iii) (iii) A process by which the Indian tribal government incorporates 

the requirements of the mitigation plan into other planning 

mechanisms such as reservation master plans or capital 

improvement plans, when appropriate. 

§ 201.7(c)(4)(v) (v) A system for reviewing progress on achieving goals as well as 

activities and projects identified in the mitigation strategy. 

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STANDARD TRIBAL MITIGATION PLANNING REGULATIONS 

This table presents the regulatory citations for standard tribal mitigation plans. Note: this is not the full regulatory text. 

44 CFR Regulatory Text 

Plan Updates 

§ 201.7(d)(3) Indian tribal governments must review and revise their plan to reflect 

changes in development, progress in local mitigation efforts, and changes in 

priorities, and resubmit it for approval within 5 years in order to continue to 

be eligible for non-emergency Stafford Act assistance and FEMA mitigation 

grant funding, with the exception of the Repetitive Flood Claims program.12 

§ 201.7(c)(4)(iii) [The plan maintenance process shall include]: 

(iii) A process by which the Indian tribal government incorporates 

the requirements of the mitigation plan into other planning 

mechanisms such as reservation master plans or capital 

improvement plans, when appropriate. 

Adoption and Assurances 

§ 201.7(c)(5) Plan Adoption Process. The plan must be formally adopted by the governing 

body of the Indian tribal government prior to submittal to FEMA for final 

review and approval. 

§ 201.7(c)(6) Assurances. The plan must include assurances that the Indian Tribal 

government will comply with all applicable Federal statutes and regulations 

in effect with respect to the periods for which it receives grant funding, 

including 2 CFR Parts 200 and 3002. The Indian Tribal government will 

amend its plan whenever necessary to reflect changes in Tribal or Federal 

laws and statutes. 

12 Following passage of the Biggert-Waters Flood Insurance Reform Act of 2012, Public Law No. 112-41, the Repetitive Flood 

Claims program is no longer in effect. 

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ENHANCED MITIGATION PLANNING REGULATIONS 

This table presents the requirements for enhanced tribal mitigation plans. The regulations quoted here use the term state”

throughout, but are applicable to tribal governments pursuing enhanced status as described in 44 CFR § 201.3(e)(3). 

44 CFR Regulatory Text 

Meet Required Standard Plan Elements 

§ 201.3(e)(3) In order to be considered for the increased HMGP funding, the Tribal 

Mitigation Plan must meet the Enhanced State Mitigation Plan criteria 

identified in § 201.5. The plan must be reviewed and updated at least every 

5 years from the date of approval of the previous plan. 

§ 201.5(b) Enhanced State Mitigation Plans must include all elements of the Standard 

State Mitigation Plan identified in § 201.4. 

§ 201.7 The Indian Tribal Mitigation Plan is the representation of the Indian tribal 

government's commitment to reduce risks from natural hazards, serving as 

a guide for decision makers as they commit resources to reducing the 

effects of natural hazards. 

Integrated Planning 

§ 201.3(e)(3) In order to be considered for the increased HMGP funding, the Tribal 

Mitigation Plan must meet the Enhanced State Mitigation Plan criteria 

identified in § 201.5. The plan must be reviewed and updated at least every 

5 years from the date of approval of the previous plan. 

§ 201.5(b)(1) [Enhanced Mitigation Plans must document] Demonstration that the plan is 

integrated to the extent practicable with other State and/or regional 

planning initiatives (comprehensive, growth management, economic 

development, capital improvement, land development, and/or emergency 

management plans) and FEMA mitigation programs and initiatives that 

provide guidance to State and regional agencies. 

Tribal Mitigation Capabilities 

§ 201.3(e)(3) In order to be considered for the increased HMGP funding, the Tribal 

Mitigation Plan must meet the Enhanced State Mitigation Plan criteria 

identified in § 201.5. The plan must be reviewed and updated at least every 

5 years from the date of approval of the previous plan. 

§ 201.5(a) A State with a FEMA approved Enhanced State Mitigation Plan at the time 

of a disaster declaration is eligible to receive increased funds under the 

HMGP, based on twenty percent of the total estimated eligible Stafford Act 

disaster assistance. The Enhanced State Mitigation Plan must demonstrate 

that a State has developed a comprehensive mitigation program, that the 

State effectively uses available mitigation funding, and that it is capable of 

managing the increased funding. In order for the State to be eligible for the 

20 percent HMGP funding, FEMA must have approved the plan within 5 

years prior to the disaster declaration. 

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ENHANCED MITIGATION PLANNING REGULATIONS 

This table presents the requirements for enhanced tribal mitigation plans. The regulations quoted here use the term state”

throughout, but are applicable to tribal governments pursuing enhanced status as described in 44 CFR § 201.3(e)(3). 

44 CFR Regulatory Text 

§ 201.5(b)(2)(i) [The plan must include documentation of project implementation 

capability, including:] 

(i) Established eligibility criteria for multi-hazard mitigation 

measures. 

§ 201.5(b)(2)(ii) (ii) A system to determine the cost effectiveness of mitigation 

measures, consistent with OMB Circular A-94, Guidelines and 

Discount Rates for Benefit-Cost Analysis of Federal Programs, 

and to rank the measures according to the State's eligibility 

criteria. 

§ 201.5(b)(2)(iv) (iv) A system and strategy by which the State will conduct an 

assessment of the completed mitigation actions and include a 

record of the effectiveness (actual cost avoidance) of each 

mitigation action. 

§ 201.5(b)(3) [The plan must document] Demonstration that the State effectively uses 

existing mitigation programs to achieve its mitigation goals. 

§ 201.5(b)(4) [The plan must document] Demonstration that the State is committed to a 

comprehensive state mitigation program. 

HMA Grants Management Performance 

§ 201.3(e)(3) In order to be considered for the increased HMGP funding, the Tribal 

Mitigation Plan must meet the Enhanced State Mitigation Plan criteria 

identified in § 201.5. The plan must be reviewed and updated at least every 

5 years from the date of approval of the previous plan. 

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ENHANCED MITIGATION PLANNING REGULATIONS 

This table presents the requirements for enhanced tribal mitigation plans. The regulations quoted here use the term state”

throughout, but are applicable to tribal governments pursuing enhanced status as described in 44 CFR § 201.3(e)(3). 

44 CFR Regulatory Text 

§ 201.5(b)(2)(iii) [The plan must include documentation of project implementation 

capability, including:] 

(iii) Demonstration that the State has the capability to effectively 

manage the HMGP as well as other mitigation grant programs, 

including a record of the following: 

(A) Meeting HMGP and other mitigation grant application 

timeframes and submitting complete, technically feasible, 

and eligible project applications with appropriate 

supporting documentation; 

(B) Preparing and submitting accurate environmental reviews 

and benefit-cost analyses; 

(C) Submitting complete and accurate quarterly progress and 

financial reports on time; and 

(D) Completing HMGP and other mitigation grant projects 

within established performance periods, including financial 

reconciliation. 

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