How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

i 

TABLE OF CONTENTS 

Acronyms ........................................................................................v

Introduction ....................................................................................1

The Relationship between Hazard Mitigation Planning and Projects.....1

Background and Resources.................................................................1

Purpose of this Guide..........................................................................3

Audience.............................................................................................3

Organization of this Guide...................................................................4

What Is a Mitigation Project?...............................................................4

Moving from Hazard Mitigation Actions to Mitigation Projects..............6

Step 1: Review the Mitigation Plan for Mitigation Project 

Opportunities ..................................................................................9

Step 2: Specify the Problem to be Addressed and Identify 

Alternative Solutions .....................................................................11

Problem Statement............................................................................11

Alternatives.......................................................................................12

Step 3: Conduct a Feasibility Review to Evaluate Alternatives .......15

STAPLEE...........................................................................................15

Review Environmental Policies ..........................................................19

Example............................................................................................20

Step 4: Select the Project and Develop the Project Scope of 

Work..............................................................................................25

Preparing to Develop the Scope of Work.............................................25

Example............................................................................................26

The Scope of Work.............................................................................29
Table of Contents 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

ii

Step 5: Obtain Sufficient Funding Based on the Well Developed 

Scope of Work................................................................................39

First: Identify an Appropriate Source of Funding ...............................39

FEMA Mitigation Grant Programs...................................................41

Second: Complete an Eligibility Review..............................................46

Leverage the Mitigation Planning Process .......................................46

Leveraging Funds in the Post-Disaster Environment.......................48

Third: Complete and Submit the Application .....................................51

FEMA Grant Applications...............................................................51

Grant Applications Components.....................................................52

Using the Hazard Mitigation Plan to Support the Application..........54

FEMA Review of Applications for Grant Funding.............................58

Mistakes to Avoid...........................................................................61

Step 6: Implement and Manage the Mitigation Project ...................65

Implement the Project .......................................................................65

Monitor the Mitigation Project ...........................................................66

Evaluate the Project ..........................................................................67

Step 7: Update the Plan .................................................................69

Conclusion ....................................................................................71

Appendices ....................................................................................73
Table of Contents 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

iii

Tables 

Table 1: Seven Steps for Developing a Mitigation Project...................................6

Table 2: Using the STAPLEE Criteria to Assess the Feasibility of an 

Alternative .................................................................................... 16

Table 3: FEMA Hazard Mitigation Assistance Grant Programs Cost Share ...... 32

Table 4: Potential Consulting Entities by Type of Project ................................ 36

Table 5: Information included in Appendix D ................................................. 40

Table 6: FEMA Mitigation Grant Programs ..................................................... 43

Table 7: Eligible Mitigation Project Types ....................................................... 45

Table 8: Partnered Mitigation Project ............................................................. 50

Table 9: Community Floodplain Management Information.............................. 53

Table 10: Community Hazard Mitigation Plan Information.............................. 54

Figures 

Figure 1: This graphic illustrates the seven steps in the mitigation project 

lifecycle after a plan is completed. ...................................................4

Figure 2: This elevated Louisiana home, which was undamaged by 

Hurricane Katrina’s severe flooding, illustrates one type of 

mitigation project. (FEMA Photo Library) .........................................5

Figure 3: This tornado shelter also serves as a multi-purpose room at the 

Iowa State Fairgrounds. (FEMA Photo Library)............................... 10

Figure 4: Hurricane clips, shown circled above, help anchor roofs to the 

main structure to prevent detachment due to severe wind. 

(FEMA Photo Library) .................................................................... 10

Figure 5: Unbonded steel braces are used as part of the seismic 

rehabilitation of the Library on the University of Utah campus. 

(Courtesy of Kelly Peterson, University of Utah).............................. 13

Figure 6: Mitigation straps secure a file cabinet to the wall in case of 

earthquake. (FEMA Photo Library)................................................. 13

Figure 7: Water stands in a former residential area that State and local 

officials included in a floodplain buyout program after the 1993 

floods in Crystal City, MO. (FEMA Photo Library)........................... 19
Table of Contents 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

iv

Figure 8: Lewisburg, PA Fire Station. (Courtesy Shubha Shrivastava)............. 20

Figure 9: FEMA grant application process...................................................... 52

Figure 10: Beauvoir, the National Landmark home of Jefferson Davis, 

suffered extensive water damage from Hurricane Katrina. 

Planning to repair the structure and mitigate future damages 

will involve consideration of the NHPA. (FEMA Photo Library).........60

Figure 11: FEMA Post-Award Process.............................................................65
How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

v 

Acronyms 

BCA Benefit-Cost Analysis 

BCR Benefit-Cost Ratio 

BFE Base Flood Elevation 

CBRA Coastal Barrier 

Resources Act 

CDBG Community Development 

Block Grant 

CERCLA Comprehensive 

Environmental Response, 

Compensation, and 

Liability Act 

CFDA Catalog of Federal 

Domestic Assistance 

CFR Code of Federal 

Regulations 

CID Community Identification 

Number 

CRS Community Rating 

System 

DHS U.S. Department of 

Homeland Security 

DMA Disaster Mitigation Act of 

2000 

DOC U.S. Department of 

Commerce 

DOD U.S. Department of 

Defense 

DOI U.S. Department of the 

Interior 

DOL U.S. Department of Labor 

DOT U.S. Department of 

Transportation 

EDA Economic Development 

Administration 

EHP Environmental Planning 

and Historic Preservation 

EPA U.S. Environmental 

Protection Agency 

FAA Federal Aviation 

Administration 

FEMA Federal Emergency 

Management Agency 

FHWA Federal Highway 

Administration 

FIRA Flood Insurance Reform 

Act of 2004 

FIRM Flood Insurance Rate 

Map 

FMA Flood Mitigation 

Assistance 

FTA Federal Transit 

Administration 

FWS U.S. Fish and Wildlife 

Service 

GIS Geographic Information 

System 

HAZUS-MH Hazards U.S. – MultiHazard 

HMGP Hazard Mitigation Grant 

Program 

HUD U.S. Department of 

Housing and Urban 

Development 

ICC Increased Cost of 

Compliance 

MEMA Mississippi Emergency 

Management Agency 

NEPA National Environmental 

Policy Act 

NFIP National Flood Insurance 

Program 

NHPA National Historic 

Preservation Act 

NOAA National Oceanic and 

Atmospheric 

Administration 

NWS National Weather Service 

PA Public Assistance 

PDM Pre-Disaster Mitigation 

RCRA Resource Conservation 

and Recovery Act 

REC Record of Environmental 

Consideration 

RFC Repetitive Flood Claims 

SBA U.S. Small Business 

Administration 

SPC Structural Performance 

Category 

SRL Severe Repetitive Loss 

STAPLEE Social, Technical, 

Administrative, Political, 

Legal, Economic, 

Environmental 

USACE U.S. Army Corps of 

Engineers 

U.S.C. United States Code 

USDA U.S. Department of 

Agriculture 

USTREAS U.S. Department of the 

Treasury 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

1 

Introduction 

The Relationship between Hazard Mitigation Planning and 

Projects 

Hazard mitigation means any sustained action taken to reduce or 

eliminate the long-term risk to life and property from hazards. 

Experience has demonstrated that hazard mitigation is most effective 

when based on an inclusive, comprehensive, long-term plan. 

The primary purpose of mitigation planning is to identify community 

policies, actions, and tools for implementation that will result in a 

community-wide reduction in risk of future losses. This is accomplished 

by understanding the risks and vulnerabilities of the community, setting 

clear goals, and following through with an effective mitigation strategy. 

The strategy proposes actions that the community will implement 

making optimal use of limited resources. 

The mitigation strategy section of the plan assigns responsibility for 

implementing the various actions, defines the implementation time 

period for each action, and identifies potential sources of funding 

(Federal, State, local, or private) to support each action. Project-specific 

details, such as location, design, and costs are generally not included in 

the hazard mitigation plan. The detailed explanation of exactly how a 

project will be accomplished is presented in the project scope of work, 

which is the key component of an application for grant funding. 

Background and Resources 

The Disaster Mitigation Act of 2000 (DMA 2000) (Public Law 106-390) 

mandates that States, Tribal governments, and local jurisdictions 

develop a hazard mitigation plan to be eligible to receive certain funding 

for mitigation activities. The Federal Emergency Management Agency 

(FEMA) reviews each mitigation plan to verify that it is compliant with 

DMA 2000 planning criteria. When a FEMA-approved plan has been 

adopted, communities are eligible to receive a variety of pre-disaster and 

post-disaster Federal hazard mitigation funds authorized by the Robert 

T. Stafford Disaster Assistance and Emergency Relief Act (Stafford Act) 

(Public Law 93-288). 

To assist State, Tribal, and local jurisdictions in preparing plans and in 

enhancing their mitigation planning capabilities, FEMA has developed a 

series of guides, called the Mitigation Planning How-To Guides. These 

guides can be used by States, Tribes, and local jurisdictions of various 

sizes and with varied ranges of financial and technical resources. The 
Introduction 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

2

guides can be ordered free of cost by calling 1-800-480-2520, or they can 

be downloaded from 

http://www.fema.gov/plan/mitplanning/planning_resources.shtm. 

The How-To series is not intended to be the last word on any of the 

subject matter covered but to provide easy to understand guidance for 

the practitioner. 

The first four How-To Guides provide instructions for preparing a natural 

hazards mitigation plan. These are: 

 “How-to Guide #1” Getting Started: Building Support for Mitigation 

Planning (FEMA 386-1) 

 “How-to Guide #2” Understanding Your Risks: Identifying Hazards 

and Estimating Losses (FEMA 386-2) 

 “How-to Guide #3” Developing the Mitigation Plan: Identifying 

Mitigation Actions and Implementation Strategies (FEMA 386-3) 

 “How-to Guide #4” Bringing the Plan to Life: Implementing the 

Hazard Mitigation Plan (FEMA 386-4) 

The next four How-To Guides provide information on specific mitigation 

planning approaches. These are: 

 “How-to Guide #5” Using Benefit-Cost Review in Mitigation Planning 

(FEMA 386-5) 

 “How-to Guide #6” Integrating Historic Property and Cultural 

Resource Considerations into Hazard Mitigation Planning (FEMA 

386-6) 

 “How-to Guide #7” Integrating Manmade Hazards into Mitigation 

Planning (FEMA 386-7) 

 “How-to Guide #8” Multi-Jurisdictional Approaches to Hazard 

Mitigation Planning (FEMA 386-8) 

How-to Guide #3 (FEMA 386-3) describes the process of proposing 

mitigation actions in the hazard mitigation plan; How-to Guide #4 (FEMA 

386-4) describes the process of implementing proposed actions and 

discusses, somewhat generally, how to find financial support for them. 

How-To Guide #9, FEMA 386-9, complements these existing How-To 

Guides by providing more specific guidance on developing a mitigation 

project and securing financial support to implement it. 
Introduction 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

3

Purpose of this Guide 

The purpose of this guide is to help a community move from the hazard 

mitigation plan to fully developing those mitigation projects that may be 

implemented using FEMA Hazard Mitigation Assistance as appropriate. 

This guide explains the process of developing the scope of a project and 

identifies the key components of a successful mitigation project funding 

application. It also describes how to identify funding available through 

FEMA and other agencies, and discusses the process of preparing an 

application for FEMA grant funding. This How-To Guide shows how 

valuable information contained in the hazard mitigation plan can be 

used to fully develop the project scope of work and apply for grant 

funding, as well as how to use lessons learned through the 

implementation of mitigation projects to improve the hazard mitigation 

plan when it is updated. 

Mitigation plans typically identify a broad range of mitigation actions. Not 

all mitigation actions, such as developing of zoning regulations, adopting 

building codes, or providing public education about protecting lives and 

property during natural hazard events, are appropriate for funding 

through FEMA Hazard Mitigation Assistance. Yet, such actions can be 

very effective in reducing losses. While this guide focuses on securing 

funding through FEMA Hazard Mitigation Assistance programs, 

communities are encouraged to continue to develop plans that propose a 

comprehensive range of hazard mitigation actions. 

Audience 

This guide is intended for a variety of stakeholders, including grant 

writers, project developers, planners, emergency managers, and 

community leaders. It is particularly helpful for State, Tribal, and local, 

government officials, department heads, nonprofit organizations, and 

other parties who are identified in the hazard mitigation plan as being 

responsible for implementing the proposed hazard mitigation actions. 
Introduction 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

4

Organization of this Guide 

The introductory section of this guide 

provides a brief synopsis of mitigation 

planning expectations and defines 

“mitigation project.” The guide then 

describes a seven-step process for 

funding mitigation projects and using 

the experience of implementing the 

projects to update the mitigation 

plan. It explains the work involved in 

developing the mitigation actions 

proposed in the hazard mitigation 

plan into actual projects. The guide 

emphasizes that there is a great deal 

of work to be done between planning 

the mitigation strategy and 

developing the proposed mitigation 

actions into actual projects. 

It is important to understand that the 

process described in this guide 

begins with having a completed hazard mitigation plan and ends with 

updating that hazard mitigation plan. 

Appendix A contains blank worksheets to help communities employ the 

approaches presented in this guide. Appendix B provides information 

about Environmental and Historic Preservation studies that may be 

required when developing a mitigation project. Appendix C indicates 

circumstances when a proposed mitigation project may necessitate a 

particular environmental or historic preservation assessment. Appendix 

D includes a lengthy, but not exhaustive, list of the types of Federal 

technical assistance and funding programs found in the Catalog of 

Federal Domestic Assistance. Appendix E identifies the States served by 

each of the ten FEMA Regional Offices. 

What Is a Mitigation Project? 

A mitigation project is a specific undertaking by a community to reduce 

or eliminate long-term risk to people and property from hazards. 

Examples of mitigation projects that may be funded using FEMA Hazard 

Mitigation Assistance funds include retrofitting or strengthening a major 

public building to protect it from seismic damage or elevating a structure 

to reduce the likelihood of flooding. 

Figure 1: This graphic illustrates the 

seven steps in the mitigation project 

lifecycle after a plan is completed. 
Introduction 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

5

The mitigation strategy section of a hazard mitigation plan presents 

mitigation goals and proposes mitigation actions to achieve those goals. 

The mitigation strategy should include a wide range of mitigation actions 

that will reduce vulnerabilities to hazard events. Mitigation actions are 

typically presented in general terms without specific project details. 

Developing a mitigation project from these mitigation actions may require 

a great deal of effort. 

For example, a mitigation action proposed in a hazard mitigation plan 

may involve elevating structures in a floodplain above the Base Flood 

Elevation (BFE). See Figure 2 for an example of an elevated structure. 

The plan may include a general implementation strategy including the 

agency responsible for implementing this action, a project schedule of 

two years, and a total cost of approximately $45,000. A mitigation project 

description prepared for an application for funding should be much more 

comprehensive and identify the project location and the problem the 

project will solve, and provide documentation and details about how the 

project will be done, who will do it, when it will be done, and a detailed 

cost estimate. 

Figure 2: This elevated Louisiana home, which was undamaged by Hurricane Katrina’s 

severe flooding, illustrates one type of mitigation project. (FEMA Photo Library) 
Introduction 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

6

Moving from Hazard Mitigation Actions to Mitigation 

Projects 

A seven-step process for developing proposed mitigation actions into 

well-defined mitigation projects is outlined in Table 1. 

Table 1: Seven Steps for Developing a Mitigation Project 

1. Review the mitigation plan for actions specified in the mitigation 

strategy 

2. Specify the problem to be addressed and identify alternative solutions 

3. Conduct a feasibility review to evaluate alternatives 

4. Select the project and develop the project scope of work 

5. Obtain sufficient funding to implement and maintain the mitigation 

project 

6. Implement, manage, and maintain the proposed mitigation project 

7. Use the experience to update the plan 

The first step in the process is a review of the actions specified in the 

mitigation strategy and the information contained in the Risk 

Assessment section of the hazard mitigation plan to identify 

opportunities to develop mitigation projects. 

The second step in the process is to specify the problem and identify 

alternative projects that will solve the problem. 

The third step is to conduct a feasibility review to identify obstacles to 

implementing the project and to determine the best alternative for the 

community. The feasibility review should include a preliminary 

evaluation of mitigation funding opportunities to determine whether 

funding beyond existing community resources might be available. 

Potentially negative environmental impacts of the proposed project 

should be identified at this stage of the process. 

The fourth step is to select a project and to fully develop the project 

scope of work by establishing the exact specifications and costs of the 

project. 

The fifth step is to obtain sufficient funding to implement and maintain 

the proposed mitigation project. This step may entail completing and 

submitting an application for funding to FEMA or another agency. 
Introduction 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

7

The sixth step is to implement, manage, and maintain the mitigation 

project. Communities receiving FEMA Hazard Mitigation Assistance must 

also comply with all reporting and administrative requirements. 

The seventh and final step is to update the community’s hazard 

mitigation plan. 

Too often communities begin with the fifth step and complete and submit 

an application for mitigation grant funding. Without having diligently 

carried out the first four steps, it is highly unlikely that an 

application for funding will contain sufficient documentation and 

detail to receive an award.

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

9 

Step 1: Review the Mitigation Plan for Mitigation 

Project Opportunities 

The mitigation plan provides 

opportunities, through the 

planning process, to establish 

goals and objectives that will 

result in a safer, more 

economically viable community. 

The mitigation plan identifies 

community vulnerabilities to 

hazards and opportunities for 

mitigation. The basis of a useful 

hazard mitigation plan is a 

comprehensive risk 

assessment. A comprehensive 

risk assessment should identify 

hazards, profile and describe 

each hazard, and assess 

vulnerability by identifying 

community assets and 

estimating the degree to which individual assets will be damaged by each 

hazard. Based on the findings of the risk assessment and other 

community priorities, communities develop a mitigation strategy in 

which actions that will reduce the community’s vulnerability to the 

identified hazards are proposed. 

To turn proposed mitigation actions into funded mitigation projects, such 

as building a safe room or installing hurricane clips as illustrated in 

Figures 3 and 4, review the mitigation strategy to determine which 

actions can be readily implemented by the community using existing 

capabilities and resources and which will require additional funding 

outside of the community’s resources. 

Mitigation Plan Update Tip: Not all mitigation actions identified in the 

plan will necessarily become fully developed projects. Some actions may 

be deleted from the mitigation strategy or deferred for implementation 

when the plan is updated. 
Step 1: Review the Mitigation Plan for Mitigation 

Project Opportunities 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

10

For actions that will 

require external 

funding, 

systematically follow 

the steps described in 

this guide to develop 

a fully scoped project. 

As discussed later in this 

guide, all mitigation 

projects submitted for 

FEMA Hazard Mitigation 

Assistance grants must 

be consistent with the 

applicant’s1 State/Tribal 

Standard or Enhanced 

Hazard Mitigation Plan, 

as well as with the subapplicant’s tribal or local 

hazard mitigation plan. 

 

1 See page 51 of this guide for a discussion of the terms “applicant” and “subapplicant.” Generally, the “applicant” is the State or Tribe and the “sub-applicant” is a 

local jurisdiction. 

Figure 3: This tornado shelter also serves as a multipurpose room at the Iowa State Fairgrounds. (FEMA Photo 

Library)

Figure 4: Hurricane clips, shown circled above, help 

anchor roofs to the main structure to prevent 

detachment due to severe wind. (FEMA Photo Library)
How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

11 

Step 2: Specify the Problem to be Addressed and 

Identify Alternative Solutions 

A good mitigation project solves 

or alleviates a specific problem. 

Before developing a project, 

define the problem by writing a 

problem statement. Then based 

on this statement, identify 

alternative solutions. A 

systematic process for 

examining the alternatives is 

presented in step 3; this 

process will facilitate the 

selection of the best alternative 

solution given the existing 

conditions in the community. 

Problem Statement 

The hazard mitigation plan 

identifies hazards and proposes mitigation actions that will reduce the 

potential for damage that each hazard may cause. 

In step 2, before beginning to identify potential solutions, write a problem 

statement based on findings presented in the hazard mitigation plan, 

carefully explaining the specific problem to be solved. 

Suppose, for example, that one hazard your community faces is 

earthquake, and that the problem is that a number of the structures are 

vulnerable to collapse. Then one specific problem statement may be: 

 People who are working or using the University Library, which is 

an un-reinforced masonry public building, are at risk of being hurt 

or killed during an earthquake. 

Other specific problem statements relating to the seismic hazard may, for 

example, address conditions of other public buildings, as well as the 

need for community education, difficulties anticipated in maintaining 

emergency communications, or weaknesses in the water system that will 

be exacerbated should an earthquake occur. Each problem statement 

should address a unique vulnerability. 
Step 2: Specify the Problem to be Addressed and 

Identify Alternative Solutions 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

12

Alternatives 

After a problem is clearly stated, brainstorm to identify alternative 

solutions to the problem. Much of this work may have been done during 

the mitigation planning process. For additional ideas, consider reviewing 

successful mitigation projects in the FEMA “Mitigation Best Practices 

Portfolio” available online at: 

http://www.fema.gov/plan/prevent/bestpractices/index.shtm. 

Alternatives related to the sample problem statement given above may, 

for example, include: 

• Complete a seismic retrofit to improve the Structural Performance 

Category (SPC) of the library (see Figure 5). 

• Secure the filing cabinets and bookcases to the walls or floors so 

that they will not slide or fall and hurt people during an 

earthquake (see Figure 6); add bracing for light fixtures and strap 

computer monitors to desks. 

• Demolish the library and construct a new, safer building on the 

same site. 

• Demolish the library, turn the property into campus open space, 

and construct a new, safer building at another location. 

• Do nothing. 

Remember that many suggested alternative projects will eventually be 

discarded as unrealistic, ineffective, or inappropriate for the community 

for one or more reasons discovered during the feasibility review. To 

decide if a particular alternative is appropriate for the community, 

conduct a feasibility review. 

Mitigation Plan Update Tip: If the plan does not identify alternatives that 

were reviewed, be sure to identify a range of alternative actions that might 

mitigate a hazard when the plan is updated. The narrative of the plan 

should discuss how the alternatives were reviewed with an emphasis on 

cost effectiveness and explain which alternatives were selected for 

implementation. 
Step 2: Specify the Problem to be Addressed and 

Identify Alternative Solutions 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

13

Figure 5: Unbonded steel braces are used as part of the seismic rehabilitation of the 

Library on the University of Utah campus. (Courtesy of Kelly Peterson, University of 

Utah) 

Figure 6: Mitigation straps secure a file cabinet to the wall in case of earthquake. 

(FEMA Photo Library) 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

15

Step 3: Conduct a Feasibility Review to Evaluate 

Alternatives 

Begin to examine the feasibility 

of a proposed mitigation project 

alternative, by asking questions 

such as: 

 Will this alternative 

present a long-term 

solution to a specific 

problem? 

 Is this alternative 

consistent with future 

development plans, 

government priorities, 

environmental and 

historic preservation 

goals, and with the local 

hazard mitigation plan? 

If an alternative presents only a short-term or temporary solution, 

consider a mitigation action that is longer term or eliminates the risk 

entirely. If an alternative is not consistent with existing plans, priorities, 

or goals, consider a different solution to the problem that is supported by 

existing plans. 

Mitigation Plan Update Tip: If a suggested alternative seems to be an 

excellent solution to a problem but is not consistent with the current 

hazard mitigation plan, the plan may need to be revised and updated to 

include more accurate data. 

As recommended in How-to Guides #3 and #5 (FEMA 386-3 and 386-5), 

a planning process known as STAPLEE may be used to prioritize 

mitigation actions in the plan. STAPLEE can also be used to conduct a 

systematic feasibility review of alternatives that appear to provide a longterm solution to the problem and are consistent with the hazard 

mitigation plan. STAPLEE is discussed in detail below. 

STAPLEE 

STAPLEE is an acronym for the seven criteria used to conduct a 

feasibility review. These criteria are: Social, Technical, Administrative, 

Political, Legal, Economic, and Environmental feasibility. 
Step 3: Conduct a Feasibility Review to Evaluate 

Alternatives 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

16

Table 2 suggests questions to pose for each alternative under review and 

offers comments that may be helpful in identifying the positive and 

negative consequences associated with an action for each of the 

STAPLEE criteria. 

Table 2: Using the STAPLEE Criteria to Assess the Feasibility of an 

Alternative 

Feasibility 

Criteria Questions to Answer and Comments 

Social  Is the mitigation action socially acceptable? 

 Will the action adversely affect any one segment of the 

population? 

 What effects will the action have on the social, historic, and 

cultural environment of the community? 

Comments: 

If some of the population may be negatively affected by a proposed 

mitigation project, it may not be the best solution to the problem. 

Unless detrimental effects of a project on the disruption of 

community life can be minimized, the project under consideration 

may not be a good fit for the community. 

Technical  Is the proposed action technically feasible and does it provide 

the appropriate level of protection? 

 What types of technical/professional expertise will be required 

to plan and implement the project? 

 Will the action create more problems than it solves? 

 How long will it take to complete the project? Is this a 

reasonable timeframe? 

Comments: 

In developing a mitigation project, the community must ensure 

that the project will actually mitigate the risk posed by a particular 

hazard. A project to protect one community asset at the expense of 

another or a project that will protect a structure from one hazard 

while making it more vulnerable to another hazard may not benefit 

the community. 

Alternatives for flood mitigation projects are presented in Selecting 

Appropriate Mitigation Measures for Floodprone Structures, FEMA 

551, which is available through the FEMA online library 

(http://www.fema.gov/library/index.jsp). The FEMA Technical 

Assistance Helpline (1-866-222-3580) is available to provide 

assistance regarding grant requirements, engineering feasibility, 

cost effectiveness, and environmental/historic preservation 

compliance. Additional information is available online at: 

http://www.fema.gov/government/grant/resources/index.shtm#5
Step 3: Conduct a Feasibility Review to Evaluate 

Alternatives 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

17

Feasibility 

Criteria Questions to Answer and Comments 

Administrative  Does the community have the capability (staff, expertise, time, 

funding) to implement the action? 

 Can the community provide the necessary maintenance of the 

project? 

Comments: 

A complicated project that will demand a great deal of attention 

from already busy municipal staff will be difficult to implement 

successfully. 

If the administrative costs associated with a project are too great, 

the community can consider hiring additional staff, providing 

additional training for existing staff, implementing a less 

complicated project, or implementing a complex project in phases. 

Political  Is the mitigation action politically acceptable? 

 Will the general public support or oppose this project? 

Comments: 

A highly visible project that is costly and does not have broad 

public support will be very difficult to implement. 

When committing to a controversial project, the community 

should prepare for the time and expense required to work through 

the controversy. 

Legal  Does the community have the authority to implement the 

proposed action? 

 Will the action comply with local, State, and Federal 

environmental regulations? 

 Do homeowner association bylaws apply to the project site? 

 Is the action likely to be challenged by stakeholders whose 

interests may be adversely affected? 

Comments: 

Examine the project relative to Federal, State, Tribal, and local 

laws to determine whether there is potential for violating a law. If 

a project has the potential to violate a law, it may not be the best 

alternative. 

Model deed restrictions resources that may be helpful for 

mitigation projects involving voluntary acquisition of real property 

are available online at: 

http://www.fema.gov/government/grant/resources/preaward.shtm.
Step 3: Conduct a Feasibility Review to Evaluate 

Alternatives 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

18

Feasibility 

Criteria Questions to Answer and Comments 

Economic  Do the costs of the action seem reasonable for the size of the 

problem and the likely benefits? 

 What burden will be placed on the local economy to implement 

and maintain the action? 

 Will the action generate additional jobs locally? 

Comments: 

When evaluating capabilities, the community should estimate the 

long-term annual cost of maintaining the project, such as the 

costs of mowing grass when property is acquired as part of a 

buyout project and used as a park (see Figure 7). FEMA will not 

pay for project maintenance. 

A project that will endanger public health or reduce employment 

opportunities is not likely to be widely supported. 

An action cannot be implemented without sufficient funding. 

Examine various avenues for funding a mitigation project; a costly 

mitigation project could be financially feasible if the community 

applies for and receives grant funds to supplement available 

community resources. 

Environmental  Is the proposed action in a floodplain or wetland or will it 

indirectly impact the natural and beneficial functions of a 

floodplain or wetland? 

 How will the action affect the natural environment? 

 How will the action affect utility and transportation systems? 

Comment: 

Unless detrimental effects of a project on the natural environment 

can be minimized, the project under consideration may not be a 

good fit for the community. 
Step 3: Conduct a Feasibility Review to Evaluate 

Alternatives 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

19

Figure 7: Water stands in a former residential area that State and local officials 

included in a floodplain buyout program after the 1993 floods in Crystal City, MO. 

(FEMA Photo Library) 

Review Environmental Policies 

This stage of the process provides a perfect opportunity for an initial 

review of applicable national policies such as the National Environmental 

Policy Act (NEPA), National Historic Preservation Act (NHPA), and 

Executive Orders concerning Floodplain Management and Wetlands 

Protection. The review will identify potential environmental impacts that 

may present obstacles to implementing a proposed alternative. 

Federal and State resource agencies can assist in the review by providing 

information about the alternative’s potential impacts to the natural 

environment or to historic properties. Early coordination with other 

agencies can contribute valuable information to the feasibility analysis 

and may identify mitigation strategies that will minimize negative effects. 

Coordination may also provide opportunities to integrate the goals and 

principles of other agencies with the mitigation goals of the project. 

Engaging the public at this stage can inform the analysis of feasibility. 

Public involvement is valuable in identifying critical impacts of 

alternatives on the human environment, suggesting new alternatives or 

modifications that will reduce negative impacts, and potentially 

increasing public understanding of hazard mitigation goals and support 

for mitigation actions. 
Step 3: Conduct a Feasibility Review to Evaluate 

Alternatives 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

20

Tip: Documenting the feasibility review of each alternative is an important 

part of the process of turning mitigation alternatives into mitigation 

projects. The data gathered during the review will facilitate the process of 

applying for grant funding and help to justify the selection of the project. 

Example 

Scenario 

 The problem statement is: Emergency response personnel 

stationed in Fire Station #3 are at risk from tornadoes because 

there is no basement for shelter (see Figure 8). 

 The fire station is an historic structure. 

The following worksheet shows how a community might document a 

feasibility review for one alternative, the construction of a safe room. 

Other alternatives, for example, may be to excavate and build a 

basement under the firehouse or to develop a plan to evacuate personnel 

should a tornado threaten the location. 

Use the Feasibility Review 

Worksheet as a guide to 

address how the 

alternative relates to the 

hazard mitigation plan and 

to consider the STAPLEE 

criteria. A blank worksheet 

is provided in Appendix A. 

If the feasibility reviews 

reveal serious difficulties 

or obstacle associated with 

each of the alternatives, 

the community should 

revisit the process to 

determine whether the 

problem has been properly 

defined and whether 

identified obstacles can be 

overcome or mitigated. Figure 8: Lewisburg, PA Fire Station. (Courtesy 

Shubha Shrivastava)
Step 3: Conduct a Feasibility Review to Evaluate 

Alternatives 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

21

Feasibility Review Worksheet Example

Hazard Tornado

Alternative Build safe room inside Fire Station #3

Answer the question below. Then fill in each row of the table from left to right. When 

complete, evaluate responses on this and other feasibility review worksheets to decide if 

this alternative is the best alternative for the community. 

How is this alternative consistent with the local hazard mitigation plan? 

(Cite specific goals, objectives; give relevant page numbers) 

The mitigation plan lists (page 7) tornadoes as a hazard, identifies 

Fire Station #3 as vulnerable to tornado damage, and includes “building 

safe rooms in occupied public buildings without basements” (page 55) as 

a mitigation action that the community will implement.

STAPLEE 

criteria 

First, ask 

questions 

Second, answer 

questions 

Third, note 

potential 

negative 

effects or 

obstacles 

Fourth, note 

opportunities to 

mitigate potential 

negative effects or 

overcome potential 

obstacles 

Social Will the project 

affect one 

segment of 

our population 

unfairly? 

No 

Social Will the project 

disrupt a 

historic site? 

Possibly The Fire 

Station 

was built 

in 1880 

Work with local 

historic 

preservation 

agency to ensure 

no loss of 

historic value. 

Review How-To 

Guide #8 (FEMA 

386-8) for 

additional 

recommendations. 

Social 

Political 

Will the project 

block a 

beautiful view? 

No 

Social 

Environmental 

Will the project 

decrease the 

amount of 

parkland in the 

community? 

No 

Technical Will the project 

solve the 

problem? 

Yes 

Technical Will the project 

be at risk of 

loss from any 

hazard? 

Possibly; need 

to investigate 

this carefully 

 
Step 3: Conduct a Feasibility Review to Evaluate 

Alternatives 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

22

STAPLEE 

criteria 

First, ask 

questions 

Second, answer 

questions 

Third, note 

potential 

negative 

effects or 

obstacles 

Fourth, note 

opportunities to 

mitigate potential 

negative effects or 

overcome potential 

obstacles 

Administrative Will the project 

require 

additional local 

staff? 

No 

Political Will elected 

officials 

support the 

project? 

Yes 

Legal Will the project 

violate any 

laws or 

regulations? 

Possibly 

Economic Can the 

community 

afford to 

maintain the 

project? 

Yes; it will 

be maintained 

as part of the 

Fire Station 

and will not 

significantly 

increase 

maintenance 

costs 

 

Economic Can the 

community 

afford to 

implement the 

project? 

No, not 

without 

additional 

funds 

No local 

funding 

is 

available 

for this 

project 

As specified in 

the hazard 

mitigation plan, 

research Federal 

and State funding 

opportunities and 

apply to 

appropriate 

programs 

Economic Will the project 

affect 

community 

jobs? 

No 

Economic Can the 

community 

match Federal 

funds to 

support the 

project? 

Possibly Funds are 

not 

currently 

available 

Consider 

fundraising and 

using volunteer 

labor for 

construction 

Economic Will the project 

diminish 

housing or 

property 

values? 

No 
Step 3: Conduct a Feasibility Review to Evaluate 

Alternatives 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

23

STAPLEE 

criteria 

First, ask 

questions 

Second, answer 

questions 

Third, note 

potential 

negative 

effects or 

obstacles 

Fourth, note 

opportunities to 

mitigate potential 

negative effects or 

overcome potential 

obstacles 

Environmental Will the project 

affect 

community 

health? 

No 

Environmental Will 

construction or 

operations 

pollute surface 

or ground 

water? 

No 

Environmental Will the project 

affect a 

floodplain? 

No 

Environmental Will the project 

affect a 

wetland? 

No 

Environmental Will the project 

increase the 

level of 

flooding? 

No 

Environmental Will the project 

pollute the air? 

No 

Environmental Will the project 

affect any 

identified 

Federallylisted 

threatened or 

endangered 

species and/or 

designated 

critical habitat 

in the project 

area? 

No 

Environmental 

Social 

Will there be 

any negative 

public health 

effects? 

No 

Environmental Will the project 

increase 

demand for 

water and 

electricity? 

No 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

25

Step 4: Select the Project and Develop the 

Project Scope of Work 

Select the best project for the 

community based on the 

feasibility review of each 

alternative. Once the 

community has selected an 

alternative, the next step is to 

develop the project scope of 

work. The project scope of work 

fully defines and documents all 

associated tasks, costs, and 

effects of the project. A good 

deal of information must be 

gathered before the scope of 

work can be prepared for the 

project. Preparing the scope of 

work including a timeline and 

budget for a project can be both 

time consuming and costly, but 

the scope of work is key to developing a successful application for grant 

funding. 

Preparing to Develop the Scope of Work 

The project scope of work describes the proposed activity by answering 

the questions: 

Who? 

What? 

When? 

Where? 

Why? 

How? 

Because developing a scope of work for a project requires a great deal of 

time and effort, a community should prepare. A simple worksheet for 

preparing to develop the scope of work for a project is presented below.

A blank worksheet for preparing to develop the scope of a project is 

included in Appendix A. Use the worksheet as part of the process to 
Step 4: Select the Project and Develop the 

Project Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

26

answer the questions of who, what, when, where, why, and how. Answers 

for many of the questions can be found in the hazard mitigation plan. 

Example 

Scenario 

 The problem statement is: Twenty homes in the Laurel Valley 

Subdivision flood whenever the area receives more than 1⁄2 inch of 

rain per hour for 3 or more consecutive hours. New development in 

the area has reduced the ground capacity to absorb the rain water. 

 Alternatives considered by the community were to enlarge a culvert 

under the State Highway adjacent to the subdivision, elevate the 

homes, or construct a detention pond. 

 Consultation with experts in stormwater management determined 

that a larger culvert would not solve the problem. 

 A public meeting revealed a great deal of opposition to the idea of 

elevating the homes because of the inconvenience to individual 

homeowners. 

 Stormwater management experts agreed that the best solution to 

the problem is to construct a detention pond that will be connected 

with the existing system of swales designed for stormwater 

drainage. Therefore, this project has been selected. 
Step 4: Select the Project and Develop the 

Project Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

27

Worksheet for Preparing to Develop the Scope of a Project 

Example 

Hazard: Flooding 

Project: Develop a stormwater detention pond for the Laurel Valley 

Subdivision 

In the middle column, note the pages in the hazard mitigation plan that provide 

answers to the question posed in the left-hand column. In the right-hand column, 

provide brief answers. 

Question 

Where to find 

answers in the 

Hazard Mitigation 

Plan 

How will your community answer this question 

or how does Hazard Mitigation Plan answer this 

question? 

What exactly is the 

problem? 

Hazard 

Identification 

page 20 

Hazard Profile 

page 30 

Problem is flooding of 20 newer homes 

developed along Mill Pond Road. Twenty 

homes in the Laurel Valley Subdivision 

flood whenever the area receives more 

than 1⁄2 inch of rain per hour for 3 or 

more consecutive hours. 

How often does 

flooding occur? 

Hazard Profile 

page 30 

Flooding occurs an average of twice each 

year. 

What is the extent 

of flooding? 

Hazard Profile 

page 31 

On the average, flood depth is 6 inches 

above first floor elevations. A 

hydrologist will do a flood study to 

determine the discharge and flood depths 

associated with various rainfall events. 

Is the area affected 

by other hazards? 

Hazard Profiles 

Pages 25-35 

The area is also at risk of experiencing 

tornadoes, hail, and ice storms. 

What is the cause 

of flooding? 

Hazard Profile 

page 31 

The affected homes are in a low-lying 

area. The area has experienced intense 

development recently and the ground 

absorbs far less water than in the past.

How will a 

detention pond 

solve the problem? 

Mitigation 

Strategy page 99 

A pond will provide temporary storage 

capacity for water that was once 

absorbed by the farm fields and pastures 

in the area that are now covered with 

structures, driveways, sidewalks, and 

roads. 

Where is the best 

location for a 

detention pond? 

 Hydrologists and land surveyors will be 

consulted so that the pond is fed by the 

existing system of swales constructed in 

the subdivision for the purpose of 

moving excess stormwater away from the 

homes. 

What are the 

existing soil and 

development 

conditions at the 

best location? 

 Consult Soil Conservation Maps; current 

zoning maps; current property assessment 

data to answer this question. 

What alternatives 

to a detention pond 

have been 

considered? 

 Elevating structures in the area; 

improving stormwater drainage on the 

State Highway adjacent to Laurel Valley 

Subdivision; doing nothing 
Step 4: Select the Project and Develop the 

Project Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

28

Question 

Where to find 

answers in the 

Hazard Mitigation 

Plan 

How will your community answer this question 

or how does Hazard Mitigation Plan answer this 

question? 

Why is a detention 

pond the best 

alternative? 

Mitigation 

Strategy page 98 

The mitigation strategy documents that a 

pond is the preferred alternative. It is 

far less costly than elevating structures 

in the area; is better than doing nothing 

and incurring frequent flood losses. 

Expert opinion will be obtained regarding 

the possibility of other alternatives. 

What will the 

impacts be during 

construction? 

 The public works department will be 

consulted to follow standard procedures 

for minimizing sedimentation, noise, 

traffic pattern disruption. 

Who will 

implement the 

detention pond 

project? 

 The Department of Public Works will 

implement the project following 

established procedures for accepting 

qualifications and bids. 

How will the 

detention pond be 

built? 

 The City Engineer will determine 

specifications. 

When will the 

detention pond be 

built? 

 The City Engineer will be consulted to 

determine best time of year. 

What will the 

detention pond 

cost? 

 Cost will be based on bids submitted by 

qualified firms. Other communities that 

have implemented similar projects will 

be consulted. This depends on the exact 

size of the pond and construction 

techniques utilized. 

How large will the 

detention pond be? 

A hydrologist or engineer will determine 

surface area and required depth of the 

pond. 

How will the pond 

be constructed? 

Engineers will determine the best method 

of construction. 

Who will be 

responsible for 

maintaining the 

detention pond? 

 The Department of Public Works will 

maintain the pond. 

What will the costs 

of maintaining the 

detention pond be? 

 The Department of Public Works will be 

consulted about maintaining 

functionality; the Department of Parks 

will be consulted about mowing grass; 

the Department of Sanitation will be 

consulted about removal of litter and 

debris. 

What are the 

residual risks2

? 

Hazard Profiles 

pages 31-45 

Location is not prone to damage from 

other hazards. There are no records of 

heavier rainfall events occurring in 

this area and rainfall records have been 

maintained for the past 55 years. 

 

2 Residual risk means the risk of flooding remaining after the stormwater detention 

pond is built. 
Step 4: Select the Project and Develop the 

Project Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

29

The worksheet does not result in a complete mitigation project scope of 

work; it is a tool that communities can use to refine the concept for the 

project and prepare to write the project scope. 

The Scope of Work 

The scope of work for a project will contain several components. The 

contents of the scope of work for a mitigation project will depend upon 

the nature of the project. Nevertheless, there are some commonalities in 

a complete scope of work including: 

First, the scope of work will include a detailed description of the 

proposed project. This alone is sometimes called the project Scope of 

Work. To write a detailed description, be prepared to: 

 Explain each and every task required to complete the project 

 Develop detailed supporting information such as drawings that can 

be part of the grant application. 

 Explain who will do the work and where it will occur. 

If the description of the scope of work is vague and that does not clearly 

define and fully describe a project, the application for funding is 

generally not approved for an award. The scope of work will describe: 

 The problem that the project will remediate, including: 

o The numbers of people or the value of property at risk of 

harm or damage if the problem is not addressed 

o Evidence developed by experts that the project will reduce or 

eliminate the potential for damage 

o The reasons why this project will successfully protect against 

future damages 

 The process undertaken in making the decision to implement this 

project, such as: 

o The alternatives considered 

o The reasons why this alternative was selected 

o The findings of the feasibility review 
Step 4: Select the Project and Develop the 

Project Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

30

 The work that will be done, including: 

o Location of the project with full street address as well as 

latitude and longitude 

o Map(s) showing the project location and important features 

in the vicinity of the project 

o For construction projects, project dimensions, engineering 

drawings, a description of the materials that will be used in 

the project, and a description of the construction techniques 

that will be used 

o For acquisition projects, copies of the deed restrictions that 

will be used ensuring that the property will remain as open 

space in perpetuity 

 Existing conditions, which may include: 

o The elevation of a structure in a floodplain and ground 

elevation data 

o The use and occupancy of a structure 

o The size, age, value, and condition of the structure 

o Details about the original construction and any upgrades or 

additions 

o Information about the hazardous materials used in its 

construction or stored on site 

o A detailed description of damages sustained in the past 

Second, the scope of work will include a timeline or work schedule. 

 The project timeline should indicate major milestones. Milestones 

can be used to measure progress and may be tied to reporting 

requirements for the purpose of receiving reimbursement for 

project expenditures. 

 Milestones are major accomplishments, not the smaller tasks 

involved in order to achieve them. For example, if a structure has 

been demolished and a milestone is to prepare the property for use 

as open space, the tasks involved might include bringing 

equipment to the location, grading the property, purchasing and 

delivering ground cover plants and trees, fertilizing, planting, and 

watering. 
Step 4: Select the Project and Develop the 

Project Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

31

 The anticipated work schedule showing the amount of time 

allocated for each major task or component of the project. For 

example, for a property acquisition project, the schedule would 

estimate the amount of time required to: 

o Complete property surveys 

o Obtain property appraisals 

o Conduct title searches 

o Determine purchase offers 

o Implement the offer process 

o Prepare the deeds 

o Complete the transfers of property 

o Demolish and clear debris 

o Grade the property and replant 

Third, the scope of work will include a detailed cost estimate. 

 The cost estimate should provide an itemized project budget 

showing, for example, the costs of labor, engineering, site 

acquisition, materials, supplies, equipment, transportation, and 

communications. 

 Costs must be justified and reasonable and the sources used to 

develop the estimate should be provided. 

 The cost estimate should show, depending upon grant program 

guidelines, the Federal share and the local match, including all 

public and private financial contributions towards project 

completion. 

o How matching funds will be applied to the project may be 

required as part of the cost estimate. 

o Table 3 shows the typical ratio of Federal funds to the 

local cost share for each of the five FEMA grant programs 

and for Public Assistance (PA) projects. 
Step 4: Select the Project and Develop the 

Project Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

32

Table 3: FEMA Hazard Mitigation Assistance Grant Programs Cost Share 

Grant program Typical ratio of percentage of 

Federal funds to local funds3 

Hazard Mitigation Grant Program (HMGP) 75 / 25 

Pre-Disaster Mitigation (PDM) 75 / 25 

Flood Mitigation Assistance (FMA) 75 / 25 

Repetitive Flood Claims (RFC) 100 / 0 

Severe Repetitive Loss (SRL) 90 / 10 

Public Assistance (PA) 75 / 25 

Tip: For additional detail regarding cost share requirements, review 

specific program guidance before completing an application for Federal 

funding. Guidance for individual FEMA Hazard Mitigation Assistance 

programs is available on the following Web sites: 

HMGP http://www.fema.gov/government/grant/hmgp/index

PDM http://www.fema.gov/government/grant/pdm/index

FMA http://www.fema.gov/government/grant/fma/index

RFC http://www.fema.gov/government/grant/rfc/index

SRL http://www.fema.gov/government/grant/srl/index

PA http://www.fema.gov/government/grant/pa/index

Information about mitigation programs is also available at: 

http://www.fema.gov/library/viewRecord.do?id=3309.

 The scope of work will support the estimated cost of the project 

with detailed documentation of the costs of design, construction, 

materials, and site preparation and landscaping as applicable, as 

well as legal, permitting, and inspection fees. 

o A cost estimate may be based on a combination of estimates 

from qualified sources, including firms or professionals 

qualified to work on the project and published national or 

local cost estimating guides. 

 

3 The ratio of Federal to local funds may differ by declaration and will differ for small 

and impoverished communities. 
Step 4: Select the Project and Develop the 

Project Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

33

 The cost estimate should reference the sources of the 

figures used. 

o For long term projects, a well-prepared cost estimate will 

address the potential impact of inflation on future costs. 

o If there is potential for significant adverse effects to 

environmental, historic, and cultural resources or potential 

for significant public controversy, projects may require 

extensive evaluation or assessment. 

 For information about the circumstances that may 

trigger a thorough environmental or historic 

preservation assessment and for the typical range of 

costs for completing such studies, refer to Appendix B 

in this guide. 

When developing the scope of work, consider how Federal and nonFederal funds will be used. In general, the non-Federal cost share may 

not include funds from other Federal agencies. The local or non-Federal 

cost share may include funds from the State, the local annual budget, or 

private donations. Depending upon program requirements, the cost 

share may include the land, equipment, supplies, staff and/or volunteer 

labor necessary to implement the project. However, some Federal 

funding programs have authorizing statutes that explicitly allow the 

funds to be used as a cost share for other Federal grants. These special 

cases include: 

 U.S. Department of Housing and Urban Development (HUD) 

Community Development Block Grant (CDBG) monies, which may 

be used as cost share for property acquisition projects as long as 

the projects are eligible under the CDBG program. 

 U.S. Small Business Administration (SBA) loan funds and the U.S. 

Department of Agriculture’s (USDA’s) Farm Service Agency loan 

funds, which lose their Federal identity once the loan is approved 

and may be used as a cost share. 

 Tribal Health Services funds, which may be used as cost share for 

PDM funds as long as the mitigation activity “contributes to the 

purposes for which grants...are made” under the Tribal Health 

Services statute. 

 Bureau of Tribal Affairs funds, which may be used as cost share. 
Step 4: Select the Project and Develop the 

Project Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

34

 Appalachian Regional Commission funds, which may be used as 

cost share per Title 40 of the United States Code (U.S.C.) 

14321(a)(3). 

 Funds derived from Title III of the Secure Rural Schools and 

Community Self-Determination Act of 2000, 16 U.S.C. 500, which 

may be used as cost share, as long as the use is consistent with 

the purposes of that Act. 

 The National Flood Insurance Program (NFIP) Increased Cost of 

Compliance (ICC) claim payment from previous flood events, which 

may be used to meet the non-Federal cost-share requirements, as 

long as the period for making such a claim remains open.

Fourth, the scope of work may include a maintenance plan. 

 For a project that will require indefinite maintenance, the scope of 

work should include a plan or evidence that the local community 

has the capacity to maintain the project indefinitely. 

 A funding agency may be reluctant to fund a project if a local 

community does not demonstrate in the scope of work that it will 

be able to maintain the project in the long term. 

 For example, for a property acquisition project, the scope of work 

should explain how the grass will be mowed routinely in the future 

as well as a sample deed restriction showing how the community 

will ensure that the property will remain undeveloped. 

Fifth, the scope of work will include sufficient information so that the 

need for specific consideration of environmental or historic 

preservation issues can be determined. For a list of Public Laws and 

Executive Orders that a community must comply with when 

implementing a mitigation project, refer to Appendix C in this guide. 

For the purpose of answering questions regarding environmental and 

historic preservation issues, as well as to fully understand the 

implications of a project, a complete and accurate project scope of work 

will clearly indicate: 

 Extent and depth of ground disturbance for new construction or 

structure modification, including laying of utility lines 

 Special equipment that will be used, staging areas, and access 

roads, etc. 
Step 4: Select the Project and Develop the 

Project Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

35

 Information about resources in the vicinity of the project, 

including: 

o Water bodies (rivers, lakes, streams, wetlands, etc.) 

o Historic resources (historic districts, buildings, etc.) 

o Special areas (forests, wildlife refuges, reserves, etc.) 

o Floodplains 

Tip: Prepare to develop the scope of work of a mitigation project by 

reviewing online Environmental and Historic Preservation Resources 

found at: (http://www.fema.gov/plan/ehp/). 

These include: 

Environmental and Historic Preservation (EHP) Guidance for FEMA Grant 

Applicants (http://www.fema.gov/plan/ehp/ehp-applicant-help.shtm), 

which includes links to: 

Useful Information for Expediting the EHP Review 

eLearning Tool for FEMA Grant Applicants 

Providing Effective Project Descriptions 

An online course, IS 253: Coordinating Environmental and Historic 

Preservation Compliance, is available through FEMA’s Knowledge Center 

at http://training.fema.gov/EMIWeb/IS/is253.asp. 

A scope of work that contains accurate and detailed data will facilitate 

consultation with applicable Federal, State, and Tribal agencies as 

environmental and historic preservation questions arise during the 

review of an application for funding. Table 4 summarizes some of the 

environmental issues associated with various types of projects and 

indicates the entities that may be consulted while developing the scope of 

work as well as during the process of reviewing an application for grant 

funding. 

Documentation 

Preparing a scope of work that includes sufficient information about 

project tasks, timelines, budget, and maintenance, requires a great deal 

of knowledge about the problem, how a community manages projects, 

and how the necessary tasks can be accomplished. Therefore, a complete 

scope of work can only be prepared with the cooperation of the individual 

or department that will implement the project. 

When applying for grant funding, a scope of work that is complete and 

well-documented is critical. Inadequate documentation of any component 

of the scope of work will significantly delay the approval of an application 

for grant funding. Securing documentation of all aspects of a project 

during the process of developing the scope of work is good practice. 

Adequate documentation will not only facilitate the review process but 
Step 4: Select the Project and Develop the 

Project Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

36

will also be very important should the project be challenged through the 

legal process. 

Table 4: Potential Consulting Entities by Type of Project 

Type of Project Project May Affect Potential Consulting 

Entities 

Acquisition, Demolition 

Historic property, 

historic district 

Floodplain, wetlands 

Minority/low-income 

population 

State Historic Preservation 

Office (SHPO) 

Tribal Historic Preservation 

Officer (THPO) 

U.S. Fish and Wildlife 

Service (FWS) 

State Coastal Management 

Agency 

State NFIP Coordinator 

U.S. Environmental 

Protection Agency (EPA) 

Elevation 

Historic property, 

historic district 

Floodplain, wetlands 

SHPO 

THPO 

State Environmental 

Quality Agency 

State NFIP Coordinator 

Minor Flood Control Projects 

Wildlife populations, 

critical habitat 

Floodplain, wetlands 

Historic property, 

historic district 

U.S. Army Corps of 

Engineers (USACE) 

State Environmental 

Quality Agency 

FWS 

State NFIP Coordinator 

SHPO 

Relocation of a Structure(s) 

Historic property, 

historic district 

Floodplain, wetlands 

Minority/low-income 

population 

SHPO 

THPO 

FWS 

EPA 

Dry Floodproofing of Nonresidential structure(s) 

Historic property, 

historic district 

SHPO 

THPO 

Vegetative Management/Soil 

Stabilization 

Wildlife populations, 

critical habitat 

Steep or unstable 

slopes 

Floodplain, wetlands 

State Environmental 

Quality Agency 

FWS 

USDA: Natural Resources 

Conservation Service 

State NFIP Coordinator 
Step 4: Select the Project and Develop the 

Project Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

37

Mitigation Plan Update Tip: Consider updating the hazard mitigation plan 

with useful information collected during the scope of work development 

process as applicable. 

FEMA has developed sample scopes of work to assist applicants applying 

for funding through FEMA’s Hazard Mitigation Assistance grant 

programs in developing a complete scope of work. The purpose of these 

documents is to provide guidance to applicants regarding the collection 

of administrative and technical data that FEMA requires. These 

documents are available from the FEMA Web site at 

http://www.fema.gov/government/grant/resources/index.shtm#2 and 

provide guidance for developing the scope of work for the following types 

of projects: 

• Acquisition of Floodprone Properties 

• Elevation of Floodprone Structures 

• Acquisition and Relocation of Floodprone Structures 

• Drainage/Stormwater Management Project 

• Protective Measures Retrofit Projects for Utility, Water, and 

Sanitary Systems and Infrastructure 

• Seismic Structural and Non-Structural Retrofit Projects 

• Wind Retrofit Projects 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

39

Step 5: Obtain Sufficient Funding Based on the 

Well Developed Scope of Work 

Not all mitigation actions 

proposed in hazard mitigation 

plans will require new sources 

of funding. Many actions will 

be funded through routine 

annual budgets. These may, for 

example, include actions to 

coordinate with other planning 

mechanisms, such as the 

general plan or to update or 

adopt various types of 

ordinances (zoning, 

subdivision, floodplain 

management) and building 

codes and standards. Other 

examples of actions that can be 

funded through routine 

operating budgets may be 

modifications to routine maintenance processes such as to schedule 

more frequent cleaning of culverts or the provision of information on the 

community Web site to educate the general public about ways to protect 

homes and businesses from damages. However, many mitigation projects 

are costly and communities cannot afford to implement them without 

additional funding. Before beginning to write an application for 

additional funding to implement a mitigation project, the scope of the 

project should be fully developed. 

Applying for funding follows this three step process: 

1. Identify an appropriate source of funding for the proposed 

mitigation project. 

2. Complete an eligibility review using the current year program 

guidance. 

3. Using the fully developed scope of work, complete and submit the 

application prior to the program deadline. 

First: Identify an Appropriate Source of Funding 

Communities should consider reviewing potential sources of funding 

from various Federal or State government sources, private corporations, 
Step 5: Obtain Sufficient Funding Based on the 

Well Developed Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

40

or foundations. Requirements are published in the Federal Register and 

on respective agency Web sites for each Federal grant funding program. 

Appendix D lists a variety of different types of Federal funding and 

technical assistance programs that may be suitable for different 

mitigation projects. For information about specific Federal programs 

including application deadlines, current and exact eligibility 

requirements, and information on the application process, consult the 

Catalog of Federal Domestic Assistance (CFDA) available on online at 

http://12.46.245.173/cfda/cfda.html, search agency Web sites, or 

contact regional or local offices of the administering agency. Appendix D 

provides only a quick summary of some general types of programs, 

agencies that may administer them, the main purpose, and type of 

applicant that may be eligible to apply. The organization of Appendix D is 

explained in Table 5. 

Table 5: Information included in Appendix D 

Appendix D lists seven categories of Federal assistance in alphabetical order: 

1. Conservation and Environment 

2. Economic Development 

3. Emergency Management 

4. Historic Preservation 

5. Housing 

6. Infrastructure 

7. Mitigation 

Appendix D includes programs managed by a number of different Federal 

agencies including: 

 U.S. Army Corps of Engineers (USACE) 

 U.S. Department of Agriculture (USDA) 

 U.S. Department of Commerce (DOC) 

 U.S. Department of Defense (DOD) 

 U.S. Department of Homeland Security (DHS) 

 U.S. Department of Housing and Urban Development (HUD) 

 U.S. Department of Labor (DOL) 

 U.S. Department of the Interior (DOI) 

 U.S. Department of Transportation (DOT) 

 U.S. Department of the Treasury (USTREAS) 

 U.S. Environmental Protection Agency (EPA) 

 U.S. Small Business Administration (SBA) 

 Economic Development Administration (EDA) 

 Federal Aviation Administration (FAA) 

 Federal Highway Administration (FHWA) 

 Federal Transit Administration (FTA) 

 U.S. Fish and Wildlife Service (FWS) 

 National Oceanic and Atmospheric Administration (NOAA) 

Potential sources of funding can also be identified by consulting with 

other communities and contacting FEMA Regional Offices or State 
Step 5: Obtain Sufficient Funding Based on the 

Well Developed Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

41

agencies for suggestions. Appendix E identifies the States served by each 

of the ten FEMA Regional Offices. 

FEMA Mitigation Grant Programs 

This section provides an overview of the FEMA mitigation grant 

programs. FEMA currently offers five mitigation grant programs. 

Although all of the hazard mitigation grant programs have unique 

statutory authorities and program requirements, the programs have the 

common goal of providing funds to States, Tribes, and local communities 

to reduce the loss of life and property from future natural hazard events. 

Two programs provide funding to mitigate the effects of any natural 

hazard and three are specifically designed to mitigate the effects of 

flooding. The two mitigation grant programs that fund a variety of 

mitigation projects and planning activities are: 

 The Hazard Mitigation Grant Program (HMGP), which makes 

funds available to implement long-term hazard mitigation projects. 

HMGP funds become available within a State only after a 

Presidential disaster declaration is issued for the State. The 

amount of money available through HMGP depends upon the cost 

of the disaster. Only communities that have adopted a FEMAapproved local hazard mitigation plan and are in a State with an 

approved State hazard mitigation plan are eligible to receive HMGP 

project funds. For more information, go to 

http://www.fema.gov/government/grant/hmgp/index.shtm. 

 The Pre-Disaster Mitigation (PDM) program, funded by annual 

Congressional appropriations, competitively awards grants for 

mitigation planning and projects. PDM awards planning grants for 

developing new or upgrading existing hazard mitigation plans and 

project grants to mitigate the risks associated with hazards. Only 

communities that have adopted a FEMA-approved local hazard 

mitigation plan and are in a State with an approved State hazard 

mitigation plan are eligible to apply for and receive PDM project 

funds. For more information, go to 

http://www.fema.gov/government/grant/pdm/index.shtm. 

The three mitigation programs that fund flood mitigation projects and 

planning activities are only available to communities that participate in 

the NFIP. They are: 

 The Flood Mitigation Assistance (FMA) program, which was 

authorized in 1994 to reduce or eliminate NFIP flood insurance 

claims. It provides funds to assist States and communities in 
Step 5: Obtain Sufficient Funding Based on the 

Well Developed Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

42

implementing projects that reduce the long-term risk of flood 

damage to buildings, manufactured homes, and other structures 

that are insurable under the NFIP. Only communities that are in a 

State with an approved State hazard mitigation plan are eligible to 

apply for and receive FMA funds. Local plans prepared for the FMA 

program need only address flood hazards in order to be eligible for 

FMA project grants. However, these plans must be clearly 

identified as being flood mitigation plans, and they will not meet 

the eligibility criteria for other mitigation grant programs, unless 

flooding is the only natural hazard the jurisdiction faces. As 

discussed later in this guide, a multi-hazard mitigation plan and 

an FMA plan can be developed simultaneously. For more 

information, go to 

http://www.fema.gov/government/grant/fma/index.shtm. 

 The Repetitive Flood Claims (RFC) program, which was 

authorized in 2004 to assist States and communities in reducing 

the potential for flood damages to properties that have had one or 

more claims to the NFIP. Only communities that are in a State with 

an approved State hazard mitigation plan are eligible to apply for 

and receive RFC funds. A FEMA-approved local mitigation plan is 

not currently required. Also, RFC funds may only be awarded to 

the States and communities that do not have the resources or 

capacity to manage the projects themselves. For more information, 

go to http://www.fema.gov/government/grant/rfc/index.shtm. 

 The Severe Repetitive Loss (SRL) program, which was authorized 

in 2004 to provide funding to reduce or eliminate the risk of flood 

damage to structures meeting one of the following criteria: 

o Residential properties with at least four NFIP claim 

payments over $5,000 each with the cumulative amount 

of claims exceeding $20,000; or 

o Residential properties with at least two separate NFIP 

claim payments made within any 10-year period for which 

the cumulative amount of the building portion of the 

claims exceeds the value of the property. 

Only communities that have adopted a FEMA-approved local 

hazard mitigation plan and are in a State with an approved State 

hazard mitigation plan are eligible to apply for and receive SRL 

funds. For more information, go to 

http://www.fema.gov/government/grant/srl/index.shtm. 
Step 5: Obtain Sufficient Funding Based on the 

Well Developed Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

43

One additional source of funding for mitigation projects that may also be 

available to communities following a disaster is the Public Assistance 

(PA) grant program. PA provides Federal funding to State and local 

governments and to some nonprofit organizations to assist them in 

responding to and recovering from a specific disaster and in mitigating 

the risk from future hazard events. The primary goal of the program is to 

help communities recover from a catastrophic disaster. For more 

information, go to 

http://www.fema.gov/government/grant/pa/index.shtm. 

Table 6 summarizes some of the characteristics of the FEMA grant 

programs. 

Table 6: FEMA Mitigation Grant Programs 

Grant 

Program Authorities Hazard Funding Plan requirement 

HMGP Authorized by 

§404 of the 

Stafford Act, 42 

U.S.C. 5170c 

Multiple 

hazards 

Based on 

disaster 

funding 

Sub-applicants4 must 

have a FEMA-approved 

local mitigation plan to be 

eligible to receive project 

grant funding. All 

activities submitted for 

consideration must be 

consistent with the 

FEMA-approved 

State/Tribal mitigation 

plan as well as the local 

level mitigation plan for 

the jurisdiction in which 

the activity is located. 

PDM Authorized by 

§203 of the 

Stafford Act, 42 

U.S.C. 5133 

Multiple 

hazards 

Annual 

appropriation 

In order to receive project 

grants, all applicants 

must have a FEMAapproved mitigation plan 

by the application 

deadline. In addition, all 

sub-applicants must have 

a FEMA-approved 

mitigation plan. 

 

4 See page 51 of this guide for a discussion of the terms “applicant” and “subapplicant.” Generally, the “applicant” is the State or Tribe and the “sub-applicant” is a 

local jurisdiction. 
Step 5: Obtain Sufficient Funding Based on the 

Well Developed Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

44

Grant 

Program Authorities Hazard Funding Plan requirement 

FMA Authorized by 

§1366 of the 

National Flood 

Insurance Act of 

1968 (the Act), 

as amended by 

the National 

Flood Insurance 

Reform Act of 

1994 

Flood Annual 

appropriation 

Applicants must have a 

FEMA-approved 

mitigation plan by the 

application deadline. 

Sub-applicants must 

have a FEMA-approved 

local mitigation plan by 

the application deadline 

that, at a minimum, 

addresses flood hazards. 

RFC Authorized by 

§1323 of the Act, 

as amended by 

the Flood 

Insurance 

Reform Act 

(FIRA) of 2004, 

Public Law 108-

264 

Flood Annual 

appropriation 

Applicants must have a 

FEMA-approved 

mitigation plan by the 

application deadline. 

SRL Authorized by 

§1361A of the 

Act, as amended 

by the FIRA 

2004, Public Law 

108-264 

Flood Annual 

appropriation 

Applicants must have a 

FEMA-approved 

mitigation plan by the 

application deadline. 

Sub-applicants must 

have a FEMA-approved 

mitigation plan. 

Table 7 may be helpful in deciding which of the FEMA Mitigation 

Programs may be appropriate for a particular type of mitigation project. 

Check program guidance documents available on the FEMA Web site 

each year as funding guidelines may change. 
Step 5: Obtain Sufficient Funding Based on the 

Well Developed Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

45

Table 7: Eligible Mitigation Project Types 

FEMA Hazard Mitigation 

Eligible Mitigation Project Types Assistance Program 

HMGP PDM FMA RFC SRL 

Voluntary Property Acquisition/Demolition 

and Conversion to Open Space √ √ √ √ √

Relocation of structure √ √ √ √ √

Elevation of Floodprone Structures √ √ √ √ √

Localized Minor Flood Control Projects √ √ √ √ √

Dry Floodproofing of Residential Property 

meeting the definition of Historic Structure in 

Title 44 of the Code of Federal Regulations 

(CFR) Section 59.1 

 √ √

Dry Floodproofing of Non-residential 

Structures √ √ √ 

Stormwater Management/Drainage √ √ √ √

Infrastructure Protection Measures √ √ 

Vegetative Management/Soil Stabilization √ √ 

Retrofitting or Rehabilitating Existing 

Buildings and Facilities 

(Wind/Earthquake/Wildfire) 

√ √ 

Safe Room Construction √ √ 

Post-disaster Code Enforcement Activities √ 

All Hazard/Flood Mitigation Planning √ √ √ 

Tip: Search www.fema.gov for “Grant Applicant Resources” for additional 

information about applying for FEMA funds. 
Step 5: Obtain Sufficient Funding Based on the 

Well Developed Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

46

Second: Complete an Eligibility Review 

Funding program guidelines are typically published on the funding 

agency’s Web site. The guidelines will explain the program eligibility 

criteria. The individuals who may be completing applications for funding 

must read and review the eligibility criteria to determine whether the 

community is eligible to apply for the program for a particular project. 

For example, a community that has not adopted a FEMA-approved 

hazard mitigation plan is ineligible to receive an HMGP award. 

The Eligibility Worksheet provides questions to answer before beginning 

the application process. If the answer to all questions is “yes,” beginning 

the application process is appropriate. The sample Eligibility Worksheet 

below suggests steps a community can take if the answer is “no.” 

Sometimes a community may be able to ensure eligibility for a particular 

type of funding in the following year or the next time the funding is 

available. Communities are highly encouraged to complete a worksheet 

to ensure that valuable time is not wasted writing an application for 

grant funding that the community is not eligible to receive. A blank 

Eligibility Worksheet is included in Appendix A. 

Leverage the Mitigation Planning Process 

Adopting a FEMA-approved hazard mitigation plan is required for FEMA 

Hazard Mitigation Assistance programs and may facilitate obtaining other 

funds that can be used for mitigation projects. Having a plan 

demonstrates that a community is requesting assistance based on a 

thorough planning process that included public participation and that 

determined that the activity for which funding is sought will be effective 

in solving a problem. 

A mitigation plan can also be developed to meet the expectations of the 

Community Rating System (CRS) program to enhance the CRS rating of a 

community. The CRS is a voluntary program for communities that 

participate in the NFIP. A CRS community engages in various activities to 

reduce flood damages, such as developing a Floodplain Management 

Plan. Depending upon the number and nature of activities, residents and 

business owners in CRS communities may pay lower flood insurance 

premiums. For more information about the CRS program, visit the FEMA 

Web site (http://www.fema.gov/business/nfip/crs.shtm). 
Step 5: Obtain Sufficient Funding Based on the 

Well Developed Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

47

Eligibility Worksheet Example

Funding Program ____________________ 

Note whether the answer to the question posed in the left-hand column is yes or no. 

If the answer is yes to all questions, the community may complete and submit an 

application for this funding program. 

If the answer to a question is no, note what information is needed or what the next step 

will be so that the community can complete and submit an application for this funding 

program in the future. 

Question Yes No Next step(s) if the answer is no 

Does the community meet 

specified eligibility 

requirements such as 

participation in the NFIP 

and/or having a hazard 

mitigation plan? 

√ • If community is ineligible because it 

does not participate in the NFIP, 

consider the possibility of 

participating in the NFIP by 

contacting the State NFIP 

Coordinator.5

 

• If the community is ineligible 

because it does not currently have an 

approved hazard mitigation plan, 

begin to prepare a hazard mitigation 

plan or consider applying for a grant 

to develop a hazard mitigation plan. 

• If the answer to this question is 

unclear, contact the State Hazard 

Mitigation Officer, FEMA Regional 

Office or other State or Federal 

offices for assistance. 

Is the funding intended for 

the type of project I wish to 

implement? 

√ • If the funding program is not 

intended for the type of project 

under consideration, look for a 

different, more appropriate source of 

funding for the project. 

• If the funding program is meant for 

other types of projects, review other 

actions in the Mitigation Strategy 

that may fit the funding program and 

consider developing those actions 

into specific projects that this 

funding may support in the future. 

 

5

 A list of State NFIP Coordinators is available on the Association of State Floodplain Managers Web site, 

www.floods.org. 
Step 5: Obtain Sufficient Funding Based on the 

Well Developed Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

48

Do I have time to complete 

and submit the application? 

√ • If sufficient time to meet the 

application deadline is not 

available, look for the announcement 

of funding availability earlier in 

the next funding cycle. 

• If there is no time to develop and 

document the scope of the project, 

conduct the feasibility review, and 

prepare the project scope of work so 

that there will be time to complete 

the application before the deadline 

next year. 

• If the application seems too 

complicated to complete by the 

deadline, contact the agency that 

administers the project for technical 

assistance. 

Do I have sufficient 

documentation to complete 

the application? 

√ • If documentation necessary to support 

an application is not available or 

the proposed project is not yet 

adequately developed, identify 

resources for completing the project 

scope, such as engineers, builders, 

and local code enforcement officials. 

By carefully considering the watershed resources in a community, a 

hazard mitigation plan can also be written to meet the requirements of 

an EPA Watershed Plan. An EPA Watershed Plan must, like a hazard 

mitigation plan, utilize a careful planning process with opportunities for 

public participation, a careful collection and analysis of data, and an 

evaluation of feasibility of suggested actions using all of the STAPLEE 

criteria. 

Similarly, a hazard mitigation plan can be developed to meet all of the 

requirements of a Community Wildfire Protection Plan. With a plan for 

using comprehensive forest planning to reduce the risk of wildfire, 

communities are given priority for receiving U.S. Forest Service and 

Bureau of Land Management assistance for implementing forest 

management and hazardous fuel reduction projects. 

Leveraging Funds in the Post-Disaster Environment 

Natural hazards do not necessarily lead to natural disasters. Hurricanes 

and blizzards, for example, can bring much-needed precipitation. But 

when a natural hazard event interacts with the built environment and 

causes casualties and damage, the affected area may be declared a 

disaster area by the President. A Presidential disaster declaration makes 

additional Federal funds available for restoring essential services in these 
Step 5: Obtain Sufficient Funding Based on the 

Well Developed Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

49

communities. In this situation, a community may be able to combine 

different funding sources to support mitigation projects. 

A community that has planned to modify structures and infrastructure 

to reduce the risk of damage is eligible and prepared to apply for a 

variety of funds in the post-disaster environment. Such communities 

may also receive unexpected cash donations to assist in recovery efforts 

from nonprofit and charitable organizations and corporate foundations. 

These additional funds may be used for the cost share or local match to 

Federal funds to further stretch limited local mitigation dollars and 

rebuild the community so that it is less vulnerable to losses in the 

future. 

Communities that have developed a hazard mitigation plan already know 

the types of actions that will make them better-prepared to withstand the 

effects of a natural hazard event in the future. These communities are in 

a good position to leverage the post-disaster funds to repair damages 

from the hazard event and to implement mitigation measures to reduce 

the potential for damage in the future. 

Tip: Communities may consider using public or private funds such as 

grants provided by foundations or corporations to achieve multiple 

objectives in the post-disaster environment. 

The disaster recovery period can be an opportunity to accomplish 

economic development, historic preservation, neighborhood revitalization, 

and other objectives while working on community recovery and mitigation 

projects. 

After a disaster, FEMA is willing to work with communities to make them 

safer and more resilient when natural hazards occur. Section 406 of the 

Stafford Act provides disaster recovery or Public Assistance funding for 

facilities that were damaged by a disaster. Section 404 of the Stafford Act 

provides mitigation funding to provide protection from subsequent 

events. Sometimes a combination of Sections 406 and 404 funding may 

be appropriate as in some areas affected by Hurricane Katrina as 

demonstrated by the news release in Table 8. The mitigation projects 

must be related to eligible disaster-related damages and must directly 

reduce the potential for future similar disaster damages. 
Step 5: Obtain Sufficient Funding Based on the 

Well Developed Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

50

Table 8: Partnered Mitigation Project 

Partnered Mitigation Project News Release 

FEMA Gives $505,000 to Rebuild Long Beach Firehouse 

Release Date: August 31, 2006 

Release Number: 1604-431 

BILOXI, Miss. -- The Mississippi Emergency Management Agency (MEMA) and the City 

of Long Beach are beneficiaries of a new way of doing business by the U.S. Department 

of Homeland Security's Federal Emergency Management Agency (FEMA). 

FEMA is coordinating funding from two of its recovery programs to build a 2,700 square 

foot firehouse that will also serve as a shelter for emergency personnel. The new facility 

will replace Fire Station Number 2 that was destroyed by Hurricane Katrina's average 

125 mph winds and 25-foot storm surge. 

"This project is the first Partnered Mitigation Project that brings together the funding 

from our Hazard Mitigation Grant Program and Public Assistance programs at the same 

time to repair or replace public facilities and make them stronger," said Nick Russo, 

federal coordinating officer for the Mississippi disaster recovery. The project funds are 

administered by MEMA. 

Nearly $128,000 in public assistance funds will be used to replace the former fire 

station. A hazard mitigation grant totaling about $377,000 will allow the firehouse to be 

"hardened" by using reinforced concrete in the construction of the facility enabling it to 

withstand 200 mph winds. 

"During any disaster, we know that local first responders have to be able to adequately 

perform their duties," said MEMA Interim Director Mike Womack. "This will not only be 

a firehouse that can withstand high winds and storm surge, but a safe haven for those 

individuals who are so crucial immediately after a disaster strikes." 

The fire station will double as a shelter for 52 emergency personnel including 

firefighters, police, emergency medical technicians and heavy equipment operators. 

"This is a critical facility for our first responders," said Long Beach Mayor Billy Skellie. 

"Without it we would have to locate emergency personnel farther inland, adversely 

impacting the safety of our residents." 

The new firehouse is just four blocks from the Gulf of Mexico but it will sit on land 

above the Hurricane Katrina storm surge. "Its location will allow us to provide a quick 

response time and needed fire suppression support to the local community," added 

George Bass, Long Beach fire chief. 

The facility will be outfitted with emergency generators and a 14-day fuel supply to 

support continuous operations. 

FEMA's Public Assistance program normally pays to repair damaged structures to their 

preexisting condition or rebuild to an applicable code. Hazard Mitigation Grant Program 

funds, on the other hand, typically fund activities that seek to reduce the risk and 

vulnerability of structures from hurricanes and other dangers. The Partnered Mitigation 

Project will allow for these two programs to work in concert with each other so 

applicants can maximize their resources and complete comprehensive mitigation 

projects. 

Source: http://www.fema.gov/news/newsrelease.fema?id=29422
Step 5: Obtain Sufficient Funding Based on the 

Well Developed Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

51

Third: Complete and Submit the Application 

This section presents the FEMA grant application process and some of 

the application features. This section also summarizes the ways in which 

the hazard mitigation plan facilitates the completion of funding 

applications. The section discusses the three technical reviews that 

FEMA carries out for every project application and presents common 

pitfalls encountered by grant application preparers. 

FEMA Grant Applications 

Those applying for FEMA funding are classified as either applicants or 

sub-applicants; once funds are awarded they are called grantees or subgrantees, respectively. Grantees receive funding directly from FEMA and 

are usually States, Territories, or Tribes. Sub-grantees are usually local 

or Tribal jurisdictions, which receive FEMA funding through a grantee. 

Tribal governments may apply as either applicants or sub-applicants; the 

FEMA Regional Office can explain if a particular entity should act as an 

applicant or a sub-applicant. 

The applicant receives and reviews, selects, and prioritizes applications 

that have been developed and submitted to them by local jurisdictions to 

submit to FEMA for grant funds. 

Potential applicants and sub-applicants should contact their SHPO or 

FEMA Regional Office for detailed information regarding specific program 

and application requirements. 

Figure 9 below summarizes the FEMA grant application process. 
Step 5: Obtain Sufficient Funding Based on the 

Well Developed Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

52

Figure 9: FEMA grant application process 

Tip for State and Tribal Applicants: The FEMA Hazard Mitigation 

Assistance programs, with the exception of HMGP, require State and Tribal 

applicants to submit grant applications to FEMA using FEMA's Electronic 

Grants Management System (eGrants). 

Applicants must provide an original and two copies of any paper 

supporting documentation (e.g., engineering drawings, photos, maps) that 

cannot be electronically attached to the eGrants application to the 

appropriate Regional Office by the application deadline. 

The Mitigation eGrants System Web page 

(http://www.fema.gov/government/grant/egrants.shtm) provides detailed 

information on using the eGrants system, including blank grantee and subgrantee applications. 

Grant Applications Components 

Grant application guidelines specify the exact information that must be 

presented and the types of documentation that must be attached to 

support the application. 
Step 5: Obtain Sufficient Funding Based on the 

Well Developed Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

53

Applications for funding programs managed by FEMA require 

background information about the community. Applications also require 

community floodplain management information even if the project is not 

a flood mitigation project. Table 9 explains where to find the relevant 

information. 

Table 9: Community Floodplain Management Information 

Item Description Where to find the item 

CID 

Number 

The NFIP has assigned a community 

identification (CID) number to each 

community. Some Tribal jurisdictions 

may not have a CID. 

A CID number is a unique 6 digit 

number that can be found on 

the cover or front panel of each 

Flood Insurance Rate Map 

(FIRM) issued for a jurisdiction. 

The CID is also available in the 

Community Status Book, which 

is on the FEMA Web site.6

If a FIRM has been created for 

the entire county or parish, a 

local jurisdiction must take care 

to use the CID assigned to the 

jurisdiction rather than the 

county or parish. 

CRS 

Community 

Communities that participate in the 

NFIP may opt for flood protection 

standards that exceed minimum 

requirements and may participate in 

the CRS program so that residents 

and business owners pay reduced 

flood insurance premiums. Just over 

1,000 communities participate in the 

CRS program, whereas there are over 

20,100 communities that participate 

in the NFIP. 

Contact the local floodplain 

administrator, the State NFIP 

Coordinator, or refer to the local 

hazard mitigation plan for this 

information. Information is also 

available in the Flood Insurance 

Manual on the FEMA Web site. 

 

CRS Rating If a community participates in the 

CRS, it is in one of 10 different 

classes; communities in class 1 

receive the greatest reduction in NFIP 

premiums and those in class 10 

receive no reduction in premiums. 

Contact the local floodplain 

administrator, the State NFIP 

Coordinator, or the State, Tribal, 

or local hazard mitigation plan 

for current information. 

FEMA applications also require information about the community hazard 

mitigation plan, as shown in Table 10. 

 

6 Go to http://www.fema.gov/fema/csb.shtm
Step 5: Obtain Sufficient Funding Based on the 

Well Developed Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

54

Table 10: Community Hazard Mitigation Plan Information 

Community Hazard Mitigation Plan Information

Item Description Where to find the item 

Type of 

Plan 

A local or Tribal multi-hazard 

mitigation plan is a plan prepared by 

just one jurisdiction. 

A local multi-jurisdictional multihazard mitigation plan is a plan 

prepared by more than one jurisdiction 

and adopted by each of the 

jurisdictions that prepared the plan. 

For example, many county plans are 

multi-jurisdictional plans and 

participants include the county and 

the municipalities within the county. 

The title of the plan will generally 

indicate whether it is a multijurisdictional or single 

jurisdictional plan. 

Search the FEMA Web site7 for 

FEMA-approved multi-hazard 

mitigation plans for a 

comprehensive list of approved 

plans in each State. 

Plan 

approval 

date 

A hazard mitigation plan must be 

approved by FEMA, generally by the 

grant application deadline. 

Check with the local jurisdiction, 

which received a signed letter 

from the State Hazard Mitigation 

Officer. 

Using the Hazard Mitigation Plan to Support the Application 

To apply for grant funding, the application preparer must respond to a 

variety of questions. Full or partial answers to some of these questions 

are found in the hazard mitigation plan. Five such items are discussed 

below. 

First, a project application should describe pre-existing conditions that 

are addressed by the project so application reviewers fully understand 

the nature of the problem that the project will mitigate. 

 The hazard profile section of the hazard mitigation plan describes 

previous occurrences of the hazard in the community. 

 The hazard profile section of the hazard mitigation plan includes a 

discussion of the extent or the potential magnitude or severity of 

the hazard. For example, the hazard profile will explain that wind 

speed may reach 150 miles per hour or that 25,000 acres of forest 

are at risk of wildfire. 

Mitigation Plan Update Tip: Maintain a record of the occurrences and 

consequences of hazards in the community and update hazard profiles 

each time the plan is updated. 

 

7 Go to http://www.fema.gov/plan/mitplanning/applans.shtm 
Step 5: Obtain Sufficient Funding Based on the 

Well Developed Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

55

Second, a project application must include information about the risk at 

the project location. 

 For hazards that are geographically specific, such as floods, 

earthquakes, or landslides, the hazard profile section contains 

information about the locations of each identified hazard-prone 

area and may include maps. 

 Location information and maps can be used to show the project 

location relative to each hazard-prone area. 

Mitigation Plan Update Tip: If the plan does not contain accurate location 

information, be sure to improve it when the plan is updated. 

Third, a project application must explain how the proposed project 

reduces risk. 

 The risk assessment section of the hazard mitigation plan 

identifies critical facilities and includes an inventory of community 

assets that are vulnerable to damage by identified hazards. 

 The hazard mitigation plan summarizes the location, value, and 

potential occupancy of critical facilities such as highways and 

bridges, potable water or communications systems, dams or power 

plants, facilities that manage hazardous materials, sacred sites or 

cultural resources, as well as homes, churches, schools, and 

businesses. 

Mitigation Plan Update Tip: Loss estimate data can quickly become 

obsolete and must be updated each time the plan is updated. 

 The hazard mitigation plan provides loss estimates. 

o The inventory of community assets and the study of the 

location of hazard-prone areas together lead to findings 

about which assets are most at risk of damage. 

o The community can determine the potential impact or 

consequences of each hazard and the potential losses by 

reflecting on the potential severity of each hazard and the 

relationship between assets and location of hazard-prone 

areas. 

o The FEMA Geographic Information System (GIS)-based 

software Hazards U.S. – Multi-Hazards, or HAZUS-MH, can 
Step 5: Obtain Sufficient Funding Based on the 

Well Developed Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

56

be a useful tool in estimating potential losses due to 

hazards. 

o In the absence of HAZUS-MH data, potential losses for each 

hazard can be estimated as described in How-To Guide #2 

(FEMA 386-2). To do this, planners estimate three different 

types of losses as described in the box below. During plan 

preparation, these estimates are used to prioritize mitigation 

actions, and when preparing an application for grant funding 

they can be used to explain the need for the project. 

Reminder: Developing a Loss Estimate 

First, for each identified asset (structure or infrastructure), estimate losses as 

the replacement value of the structure or infrastructure times the percent of 

damage anticipated. For some hazards, percent of damage may be 100 percent, 

but for many hazards the percent of damage will be much less. 

Second, estimate contents loss as the value of content times the percent of 

damage anticipated. The value of contents may generally be estimated as a 

portion of the value of a structure; however, if contents are very valuable, such 

as in a museum, the value of contents may be greater. 

Third, estimate loss of function, which is the sum of functional downtime, the 

monetary loss due to a structure being out of service for a number of days, and 

the displacement costs of having to function out of rented space. 

Finally, the loss per hazard is the sum of the structural loss, contents loss, and 

loss of function. 

For further information, refer to How-to Guide #2 Understanding Your Risks: 

Identifying Hazards and Estimating Losses (FEMA 386-2). 

Fourth, a project application must discuss alternative projects that were 

evaluated in order to justify the project that was selected. 

 A starting point to obtain this information is the mitigation 

strategy section of the hazard mitigation plan, which includes the 

comprehensive range of actions considered to mitigate the negative 

effects of each identified hazard. For example, the range of actions 

evaluated to mitigate the effects of a single hazard may include 

structural projects, projects involving community ordinances, and 

public education projects. 

 Review the mitigation strategy in the hazard mitigation plan to 

explain why the project submitted for funding was selected. The 
Step 5: Obtain Sufficient Funding Based on the 

Well Developed Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

57

mitigation strategy explains the prioritization process showing why 

a particular action was selected for the plan. 

Mitigation Plan Update Tip: If the hazard mitigation plan does not 

document the alternative mitigation actions considered for each hazard, 

be sure to include this information in the plan update. 

Fifth, a project must conform to or be consistent with hazard mitigation 

plans to be eligible for funding. 

 An application for grant funding may ask about the degree to 

which the proposed project is consistent with the local and/or 

State hazard mitigation plan. 

 Application preparers can review local, State, and Tribal mitigation 

plans and should clearly identify the stated goals and objectives 

with which the project is consistent. This will demonstrate to 

application reviewers that the project will help the local community 

and the State achieve their mitigation goals and that the project is 

supported by the community. 

Mitigation Plan Update Tip: If a desired mitigation project does not 

conform to or is not consistent with the mitigation plan, consider 

updating the plan to reflect the current need for the project or use 

community resources to implement a different project that is supported 

by the plan. 

When beginning an application for grant funding, complete a worksheet 

such as the Using the Hazard Mitigation Plan to Support the Grant 

Application worksheet below. The worksheet develops a list of the 

relevant pages in the hazard mitigation plan that will facilitate 

completing the application. A blank worksheet is provided in Appendix A. 
Step 5: Obtain Sufficient Funding Based on the 

Well Developed Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

58

Example

Using the Hazard Mitigation Plan to Support the Grant Application 

Worksheet 

Funding Program ____________________ 

Complete by noting the pages in the hazard mitigation plan that provide the information 

listed in the left-hand column. 

Information that will strengthen an application for grant 

funding 

Location in the hazard 

mitigation plan 

Description of pre-existing conditions Hazard Profile 

pages 33-34 

The relationship of the project to a floodplain and/or wetland Hazard Profile 

pages 30-31 

An explanation of how the proposed project reduces risk and 

an estimate of the number of people or properties that will be 

protected 

Vulnerability 

Assessment 

pages 60-62 

Alternatives considered Mitigation Strategy 

pages 98-100 

Degree to which the project conforms or is consistent with the 

State, Tribal, and/or local hazard mitigation plan 

Local Mitigation Goals 

and Objectives 

page 95 

State Mitigation Goals 

Page 234 

FEMA Review of Applications for Grant Funding 

A key to preparing an application that will receive funding is to develop a 

detailed scope of work for the project that explains the rationale behind 

the project and exactly how it will be implemented. When preparing the 

scope of work, assumptions and facts must be documented so that the 

agency reviewer can understand exactly what will happen and why the 

project will solve a problem. 

Tip: When an application for funding is received by FEMA, it is reviewed 

for eligibility and completeness. An Eligibility and Completeness Checklist 

is included as an appendix to the Hazard Mitigation Assistance Program 

Guidance, which is available on the FEMA Web site at: 

http://www.fema.gov/library/viewRecord.do?id=3309. 

When an application for mitigation project funding is received by FEMA, 

three different types of data are reviewed by technical experts for 

completeness and accuracy. These are the engineering documentation, 

the benefit-cost analysis, and the documentation of the environmental 
Step 5: Obtain Sufficient Funding Based on the 

Well Developed Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

59

and historic preservation review. Each of these reviews is described 

briefly to help the application preparer understand the level of detail and 

documentation necessary when developing the scope of work and 

submitting an application for funding. 

Engineering Review 

The engineering review will determine the technical feasibility of the 

proposed project and the degree to which it will solve the problem. 

If the project will affect a building, include information about the 

building codes in effect at the project location. Engineers can quickly 

check to ensure that the proposed project will comply with current 

building codes. For a structure that is to be modified in some way, 

include information on the age of the building and the building code that 

was in effect when it was built. This will indicate potential structural 

deficiencies that may affect project implementation. Information about 

the age of the building may be found in the vulnerability assessment 

section of the hazard mitigation plan. 

Include a schematic or diagram showing exactly what is being proposed. 

Include detailed engineering drawings, if available, that support the cost 

estimate. This will allow FEMA reviewers to evaluate the extent to which 

the project will mitigate the effects of one or more hazards. 

Benefit-Cost Analysis Review 

Applicants and sub-applicants for FEMA mitigation 

grant funding to implement a mitigation project 

must submit a benefit-cost analysis (BCA) using a 

FEMA-approved BCA methodology. The software for 

completing a BCA is available for free by request 

from FEMA by calling 866-222-3580 or by e-mailing 

the Benefit Cost Helpline at bchelpline@dhs.gov. A 

Benefit-Cost Web site is available at 

http://www.fema.gov/government/grant/bca.shtm

to assist applicants in beginning a benefit-cost analysis and contains 

Guidelines for Benefit-Cost Analysis and the FEMA BCA Checklist. 

The BCA demonstrates the degree to which the anticipated future 

damages avoided (benefits), such as property damage, contents damage, 

and other related direct costs (e.g., emergency response and loss of 

services), exceed the anticipated cost of implementing the project. The 

result of a BCA is a benefit-cost ratio (BCR), which is derived by dividing 

a project’s total net benefits by its total cost. If the BCR is greater than 

one, the project is said to be cost effective because benefits exceed 

expenditures. 
Step 5: Obtain Sufficient Funding Based on the 

Well Developed Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

60

Some information for conducting a BCA is available in the hazard 

mitigation plan, such as the previous occurrences of the hazard and the 

probability of future occurrences. However, a BCA is not completed 

during the planning process. During the planning process a community 

completes a Benefit-Cost Review. How-To Guide #5 (FEMA 386-5) 

explains the process of doing a Benefit-Cost Review and the differences 

between a Benefit-Cost Review and a BCA. 

Environmental and Historic Preservation Review 

The review of environmental impacts of mitigation actions begins during 

the mitigation planning process. When selecting the mitigation actions 

from the comprehensive range of actions suggested for reducing the risk 

of damage by identified hazards, actions that are expected to have 

adverse impacts on the natural environment or the community itself may 

require an extended environmental review process to allow for 

consultations with other Federal, State, and Tribal agencies. The 

feasibility review should identify potentially adverse impacts. 

Refer again to Appendix C of this guide for a list of Public Laws and 

Executive Orders that are considered as part of a FEMA Environmental 

and Historic Preservation Review. This list includes, for example, the 

NHPA, which addresses reconstruction of historic homes as illustrated in 

Figure 10. 

Figure 10: Beauvoir, the National Landmark home of Jefferson Davis, suffered extensive 

water damage from Hurricane Katrina. Planning to repair the structure and mitigate 

future damages will involve consideration of the NHPA. (FEMA Photo Library) 
Step 5: Obtain Sufficient Funding Based on the 

Well Developed Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

61

Tip: Many jurisdictions have additional regulations for protecting and 

preserving environmental resources, which may also require 

consideration. 

FEMA EHP staff is responsible for conducting and documenting review 

and compliance for mitigation projects where there are potential impacts 

to environmental and/or historic and cultural resources. In some 

instances, EHP will approve a project only if certain conditions are met. 

EHP is responsible for conveying those project conditions to the applicant 

and for monitoring the implementation of the project to ensure that those 

conditions are met. Three standard conditions are listed on the Record of 

Environmental Consideration (REC) and may be summarized as: 

• Any change in the scope of work requires re-evaluation for 

compliance with NEPA, Executive Orders, and other laws. 

• The EHP review does not address all Federal, State, and local 

requirements. Acceptance of Federal funding requires the recipient 

to comply with all Federal, State, and local laws. 

• If any potential archeological resources are identified during 

ground-disturbing work, activities will immediately cease and the 

State and FEMA must be notified. 

When the review is complete, EHP staff notifies the applicant and 

provides a copy of the REC. This document must be included in the 

project file. 

The environmental review of a mitigation project will not only consider 

the immediate effects of the project relative to the natural environment, 

but also the potential for long-term impacts attributable to the project or 

to the cumulative impacts caused by a number of proposed or 

anticipated projects in the area. The application should include an 

explanation about how negative impacts will be mitigated. For assistance 

on mitigating adverse effects to historic or cultural resources, refer to 

How-To Guide #6 (FEMA 386-6). 

Mistakes to Avoid 

After an application for funding is prepared, it must be reviewed to 

ensure that it is clearly written and complete. Many applications for 

grant funding are denied each year because application preparers have 

made mistakes. Many of these mistakes can be avoided if the project 

scope has been diligently developed and if each section of the application 

is written clearly and completely, documenting all assumptions. Some of 

the more common mistakes are discussed below: 
Step 5: Obtain Sufficient Funding Based on the 

Well Developed Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

62

The project will not actually mitigate the effects of a hazard. 

 The mitigation projects must conform to or be consistent with the 

hazard mitigation plan. Funding streams are available for a variety 

of worthwhile community projects, but FEMA Hazard Mitigation 

Assistance programs will not fund projects that do not mitigate the 

effects of hazards. 

The scope of work is inadequate and provides too little detail. 

 Applications sometimes provide unclear descriptions of the 

problem and of the project, omit key data, and fail to include 

adequate supporting information. This may occur when 

applications are rushed to meet deadlines or when projects are not 

well scoped. 

An application describes conditions in the community or in the region, but 

does not specifically describe the hazard where the project will be 

implemented. 

 For example, discussing the fact that wind speeds frequently reach 

125 miles per hour in the region may be sufficient for profiling a 

hazard in the hazard mitigation plan, but more precise information 

about the hazard at the project location will be necessary for an 

application. 

The project addresses a nuisance issue rather than a real threat to 

property. 

 A well-developed risk assessment for the hazard mitigation plan 

will preclude this mistake because only projects that address real, 

carefully evaluated threats are supported by the plan. 

The project is not eligible. 

 Read current program guidance, including eligibility guidelines 

before developing an application. 

The application is incomplete. 

 Application preparers must read all current program guidance to 

ensure that all relevant documentation is included and that the 

application has answered each question asked. 
Step 5: Obtain Sufficient Funding Based on the 

Well Developed Scope of Work 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

63

The application does not address environmental and/or historic 

considerations. 

 Application preparers must read all current program guidance to 

ensure that all relevant documentation is included and that the 

application has answered each question asked. 

The data provided in the application are inconsistent. 

 Application preparers must proofread the entire application 

package to ensure consistency. Applications may, for example, 

state in the narrative that the value of a structure is $150,000 but 

the value of the same structure used in the BCA is $175,000. 

The project cost estimates are incomplete or inaccurate. 

 Cost estimates should include all project costs, including the costs 

of administration, design, labor, and materials. Estimates should 

use the correct discount rate, use current dollar values, and state 

that they do so. 

Assumptions about the useful life of a project are incorrect. 

 The useful life of a project can range from 2 years for vegetation 

management projects to 100 years for acquisition and relocation. 

Most projects have a useful life of 50 years or less. Contact the 

Benefit Cost Helpline by calling 866-222-3580 or by e-mailing at 

bchelpline@dhs.gov to discuss acceptable ranges for the useful life 

of different types of projects. 

Terminology is not used correctly. 

 Preparers must understand the terms used, such as “residual 

risk,” which means the risk that will exist after the project is 

completed. For example, if a project will elevate a structure in the 

floodplain to the base flood elevation, there is still a residual risk of 

flooding should flood levels exceed the base flood elevation or the 1 

percent chance of flood levels. Claiming that such a project would 

completely eliminate the risk of flood damage is unrealistic. 

 If terminology or questions on the application forms are confusing, 

application preparers should contact the office of the State Hazard 

Mitigation Officer or the FEMA Regional Office for clarification.

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

65

Step 6: Implement and Manage the Mitigation 

Project 

This section of the guide 

provides information that will 

be helpful after a mitigation 

project grant is awarded. It 

reviews community 

responsibilities after receiving 

an award. 

Implement the Project 

The post-award process 

includes the grantee and subgrantee entering into a 

contractual agreement and the 

sub-grantee implementing the 

project and complying with the 

contract (see Figure 11). 

Figure 11: FEMA Post-Award Process 
Step 6: Implement and Manage the Mitigation 

Project 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

66

As practicable, a project must be implemented as described in the scope 

of work. Applicants or sub-applicants must adhere to project schedules 

and budgets. As obstacles are encountered or as the scope of work 

changes because of unanticipated difficulties or changing conditions, 

responsible parties must contact technical monitors at the funding 

agencies for assistance and guidance. 

Monitor the Mitigation Project 

During the project implementation period, sub-grantees submit regular 

programmatic and financial reports to the grantee as established in the 

grant award agreement, and grantees submit regular reports to FEMA. 

These reports are generally required on a quarterly basis. Reports 

constitute a record of progress answering questions such as: 

 Was the project implemented as planned? Were any changes made 

to the project schedule, approach, or cost? 

o If conditions changed between the time that the scope of 

work was developed and the time that the project was 

implemented, reports should explain these changes in detail 

and explain exactly how the project must be modified. 

o Any changes in the scope of work must be done in 

consultation with technical monitors at the funding agency. 

 What obstacles or problems were encountered? 

o Recording obstacles helps the community implementing the 

project, or another community implementing a similar 

project, avoid or overcome similar problems. 

o For what reasons was technical assistance sought? 

o What training or technical assistance was used by the 

community to leverage project funds? 

A hazard mitigation plan has monitoring requirements so that a record of 

mitigation accomplishments is maintained. For example, quarterly 

reports are required for FMA project grants. Individuals responsible for 

implementing mitigation projects should submit regular reports about 

the project to the person responsible for maintaining the hazard 

mitigation plan; this may be the Planning Team Leader or a local 

planning or emergency management official. Communities can use the 

monitoring results from mitigation projects to develop the scope of work 

for similar mitigation projects in the future. 
Step 6: Implement and Manage the Mitigation 

Project 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

67

At the conclusion of the grant period the project must be closed out. 

Project close out provides a thorough accounting of all funds and all 

project activities. Close-out procedures are specified by the agency 

awarding the funds. However, after a mitigation project is complete, the 

community must ensure the necessary project maintenance is provided. 

Maintenance requirements should have been included in the scope of 

work for the project. 

Evaluate the Project 

Project evaluation involves reviewing the effects or effectiveness of a 

mitigation project. An evaluation answers questions such as: 

 How does the mitigation project minimize or eliminate the adverse 

effects of a hazard event on the structure, infrastructure, or 

residents? 

 How does the mitigation project improve the community’s 

resiliency and ability return to normal functioning should a 

disaster occur? 

Evaluating the effectiveness of mitigation projects builds a record of 

benefits attributable to mitigation planning and projects. This record of 

success is valuable when the hazard mitigation plan is being updated 

and when seeking local support for mitigation projects. Also, the State 

needs to document the effectiveness of mitigation actions for the State 

Plan. 

Providing quantitative answers to evaluation questions is difficult if the 

subject hazard has not occurred since the project was implemented. 

However, questions about the effectiveness of mitigation projects such as 

the following can provide a useful evaluation: 

 In what ways does this project protect structures, infrastructure, 

and/or people from damage should a particular hazard event of a 

particular magnitude occur in this part of the community? (The 

type and magnitude of the hazard likely to occur can be found in 

the hazard profiles section of the hazard mitigation plan.) 

 In what ways does this project better prepare the community to 

return to normal functioning should a particular hazard of a 

particular magnitude occur? (The type and magnitude of hazard 

likely to occur can be found in the hazard profiles section of the 

mitigation plan.) 
Step 6: Implement and Manage the Mitigation 

Project 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

68

 Have the conditions in the community changed so that even 

though the project was implemented as planned, it does not 

provide the level of protection anticipated when the project was 

developed? 

o If conditions have changed, the changes must be reflected in 

the update of the hazard mitigation plan. 

 For example, rapid or uncontrolled growth and 

development can radically change the degree to which 

structures and residents are exposed to hazard risks. 

o Conditions in a community can change and it is possible 

that a project will be less effective overall than previously 

estimated. 

 For example, if the project protects existing 

development but has not protected new development 

in the community, then the hazard mitigation plan 

update should propose additional actions that will 

mitigate the potential for damage to new development. 

Tip: If a project is successful, consider going to the FEMA Mitigation Best 

Practices Portfolio online and submitting a synopsis of the project for 

possible inclusion on the Web site. 

The effectiveness of mitigation projects should be evaluated at least every 

5 years or each time the hazard mitigation plan is updated. The plan 

maintenance section of the hazard mitigation plan may include a process 

for evaluating mitigation projects. Plans often describe, for example, 

holding annual meetings of the planning team for the purpose of 

reviewing mitigation activities and accomplishments. The results of 

project evaluation should be conducted by or forwarded to plan 

developers so that information about the effectiveness of mitigation 

projects can be included in the plan update to show a record of 

achievements designed to move the community towards realizing its 

mitigation goals. 
How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

69

Step 7: Update the Plan 

Local jurisdictions must update 

their hazard mitigation plan 

every 5 years. Typically, the 

update process will start after 

the fourth year anniversary. A 

community can use the 

experience of implementing 

mitigation projects to update 

the hazard mitigation plan in 

five ways. 

First, an updated hazard 

mitigation plan must 

summarize progress on the 

actions proposed in the 

previous plan. Routine 

monitoring of mitigation 

projects will make it easy to 

explain if proposed actions were 

completed, deleted, or deferred. 

Second, a community can use the required reports documenting 

mitigation project progress and expenditures to improve, update, and 

refine the mitigation strategy. The updated mitigation strategy will 

outline the mitigation actions that the community will implement over 

the next 5 years. Progress reports reveal obstacles to project 

implementation that can lead to development of more realistic timelines 

for proposed actions. A community might want to continue to propose 

actions that led to successful mitigation projects and consider redefining 

actions that did not lead to successful mitigation projects. The financial 

reports can be used to refine estimated project costs that are included in 

the mitigation strategy. 

Third, a community can track the degree to which projects mitigate the 

effects of identified hazards to build a record of mitigation successes. For 

example, if a project was designed to reduce losses from wildfires, 

whenever a wildfire occurs the losses avoided as result of the mitigation 

project can be estimated by comparing total losses of the event with 

losses from a similar event before mitigation. The hazard mitigation plan 

can record these accomplishments to show that the community is 

reducing its risk of damage and that investments in mitigation projects 

are benefiting the community as a whole. 
Step 7: Update the Plan 

How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

70

Fourth, a community can publicize the success of its mitigation projects 

when it begins the plan update process. Publicizing local achievements in 

saving lives and reducing economic losses will build support for 

mitigation. Nationally, studies have demonstrated that one dollar spent 

on mitigation today will result in about $4 in future benefits.8 Public 

education materials can explain the purpose of mitigation and the losses 

avoided and show that the community as a whole benefits when lives and 

businesses are not disrupted and when private and public structures 

and infrastructure are not damaged. This will generate interest in the 

mitigation planning process and build public support for mitigation 

projects, which is especially important when projects are partially or 

completely dependent upon local resources. 

Fifth, a community can use the experience of developing an application 

for mitigation project funding to determine what types of better data are 

needed in the update. As shown in this guide, a well-developed plan that 

contains detailed information about hazards and vulnerabilities will 

facilitate the process of completing an application for funding to 

implement a mitigation project. 

 

8 Multihazard Mitigation Council. 2005. Natural Hazard Mitigation Saves: An 

Independent Study to Assess the Future Savings from Mitigation Activities. Washington 

DC: National Institute of Building Sciences. 
How-To Guide 9: Using the Hazard Mitigation Plan to Prepare Successful Mitigation Projects 

71

Conclusion 

This guide shows that while the hazard mitigation plan provides the 

basis for developing and funding mitigation projects, the experience of 

implementing and managing mitigation projects in turn informs the 

process of updating the hazard mitigation plan. While the previous eight 

How-To Guides (FEMA 386 series) show that developing a good hazard 

mitigation plan requires a great deal of work, this guide shows that 

developing the more complicated and costly mitigation projects requires 

similar diligence and attention to detail. The ultimate goal of this 

valuable work is to make structures, infrastructure, and, most 

importantly, the residents of communities less vulnerable to damage and 

loss by hazard events.

Appendices 

Appendix A - Worksheets 

Contents of Appendix A 

• Feasibility Review Worksheet 

• Worksheet for Preparing to Develop the Scope of a Project 

• Eligibility Worksheet 

• Using the Hazard Mitigation Plan Worksheet 

 

Feasibility Review Worksheet 

Hazard 

Alternative 

Answer the question below. Then fill in each row of the table from left to right. When 

complete, evaluate responses on this and other feasibility review worksheets to decide if 

this alternative is the best alternative for the community. 

How is this alternative consistent with the local hazard mitigation plan? 

(Cite specific goals, objectives; give relevant page numbers) 

 

STAPLEE 

criteria First, ask questions 

Second, 

answer 

questions 

Third, note 

potential 

negative 

effects or 

obstacles 

Fourth, note 

opportunities to 

mitigate potential 

negative effects or 

overcome potential 

obstacles 

Social Will the project affect 

one segment of our 

population unfairly? 

 

Social Will the project disrupt 

a historic site? 

 

Social 

Political 

Will the project block a 

beautiful view? 

 

Social 

Environmental 

Will the project 

decrease the amount of 

parkland in the 

community? 

 

Technical Will the project solve 

the problem? 

 

Technical Will the project be at 

risk of loss from any 

hazard? 

 
STAPLEE 

criteria First, ask questions 

Second, 

answer 

questions 

Third, note 

potential 

negative 

effects or 

obstacles 

Fourth, note 

opportunities to 

mitigate potential 

negative effects or 

overcome potential 

obstacles 

Administrative Will the project require 

additional local staff? 

 

Political Will elected officials 

support the project? 

 

Legal Will the project violate 

any laws or 

regulations? 

 

Economic Can the community 

afford to maintain the 

project? 

 

Economic Can the community 

afford to implement the 

project? 

 

Economic Will the project affect 

community jobs? 

 

Economic Can the community 

match Federal funds to 

support the project? 

 

Economic Will the project diminish 

housing or property 

values? 

 

Environmental Will the project affect 

community health? 

 

Environmental Will construction or 

operations pollute 

surface or ground 

water? 

 

Environmental Will the project affect a 

floodplain? 

 
STAPLEE 

criteria First, ask questions 

Second, 

answer 

questions 

Third, note 

potential 

negative 

effects or 

obstacles 

Fourth, note 

opportunities to 

mitigate potential 

negative effects or 

overcome potential 

obstacles 

Environmental Will the project affect a 

wetland? 

 

Environmental Will the project increase 

the level of flooding? 

 

Environmental Will the project pollute 

the air? 

 

Environmental Will the project affect 

any identified Federallylisted threatened or 

endangered species 

and/or designated 

critical habitat in the 

project area? 

 

Environmental 

Social 

Will there be any 

negative public health 

effects? 

 

Environmental 

Political 

Will the project increase 

demand for water and 

electricity? 

 
Worksheet for Preparing to Develop the Scope of a Project 

Hazard: 

Project: 

 

In the middle column, note the pages in the hazard mitigation plan that provide 

answers to the question posed in the left-hand column. In the right-hand column, 

provide brief answers. 

Questions 

Where to find 

answers in the 

Hazard Mitigation 

Plan 

How will your community answer this 

question or how does Hazard 

Mitigation Plan answer this question? 

What exactly is the 

problem? 

 

How often does the hazard 

occur? 

 

What is the extent of the 

hazard? 

 

Is the area affected by 

other hazards? 

 

What is the cause of the 

problem? 

 

How will this project solve 

the problem? 

 

Where is the best location 

for the project? 

 

What are the existing 

conditions at the best 

location? 

 

What are the alternatives 

to this project? 

 
Questions 

Where to find 

answers in the 

Hazard Mitigation 

Plan 

How will your community answer this 

question or how does Hazard 

Mitigation Plan answer this question? 

Why is this project the best 

alternative? 

 

What will the impacts be 

during construction? 

 

Who will implement the 

project? 

 

How will the project be 

implemented? 

 

When will the project be 

implemented? 

 

What will the project cost? 

 

What will be the 

dimensions / specifications 

of the project? 

 

Who will be responsible for 

maintaining the project? 

 

What will the costs of 

maintaining the project be? 

 

What are the residual 

risks*? 

 

Residual risk means the risk of damage remaining after the project is implemented.
Eligibility Worksheet 

Funding Program ____________________ 

Note whether the answer to the question posed in the left-hand column is yes or no. 

If the answer is yes to all questions, the community may complete and submit an 

application for this funding program. 

If the answer to a question is no, note what information is needed or what the next step 

will be so that the community can complete and submit an application for this funding 

program in the future. 

Question Yes No Next step(s) if 

the answer is no 

Does the community meet specified eligibility requirements 

such as participation in the NFIP and/or having a hazard 

mitigation plan? 

 

Is the funding intended for the type of project I wish to 

implement? 

 

Do I have time to complete and submit the application? 

 

Do I have sufficient documentation to complete the application? 

 
Using the Hazard Mitigation Plan to Support the Grant Application 

Worksheet 

Funding Program ____________________ 

Complete by noting the pages in the hazard mitigation plan that provide the information 

listed in the left-hand column. 

Information that will strengthen an application for grant funding 

Location in the 

hazard mitigation 

plan 

Description of pre-existing conditions 

The relationship of the project to a floodplain and/or wetland 

An explanation of how the proposed project reduces risk and an 

estimate of the number of people or properties that will be protected 

Alternatives considered 

Degree to which the project conforms or is consistent with the State, 

Tribal, and/or local hazard mitigation plan 

Appendix B: Environmental and Historic Preservation 

Studies 

EHP Legislation Type of Study Typical Cost* What triggers this 

type of study? 

Environmental 

Assessment 

(EA) 

$30,000 - $100,000 Proposed project does 

not fit a Categorical 

Exclusion and is not 

expected to have 

significant adverse 

environmental impacts. 

National Environmental 

Policy Act (NEPA) 

Environmental 

Impact 

Statement (EIS)

$500,000 - 

$1,000,000 

Proposed project is 

expected to cause 

significant adverse 

environmental impacts. 

National Historic 

Preservation Act (NHPA) 

Phase I 

Archeological 

Survey 

Approximately 

$10,000 per 5 acres 

Proposed project is 

expected to affect 

archeological 

resources. 

Site survey Approximately 

$10,000 per 5 acres 

Proposed project has 

the potential to affect 

threatened or 

endangered species or 

designated critical 

habitat. 

Endangered Species Act 

(ESA) 

Biological 

Assessment/ 

Biological 

Evaluation 

$30,000 - $100,000 Proposed project has 

the potential to 

adversely affect a 

threatened or 

endangered species or 

designated critical 

habitat and the effects 

must be evaluated. 

Wetlands (Clean Water Act 

Section 404 or E.O. 11990) 

Wetlands 

delineation 

$10,000 per 5 acres Proposed project is in 

or near a wetland or 

would affect wetlands. 

Hazardous Materials—

Resource Conservation and 

Recovery Act (RCRA) and 

Comprehensive 

Environmental Response, 

Compensation, and Liability 

Act (CERCLA) 

Phase I 

Environmental 

Site 

Assessment 

$10,000 per acre Proposed project site 

must be studied to 

identify presence of 

hazardous waste or 

pollutants. 

*This information is based on FEMA’s past experience and does not include costs related to 

mitigation of impacts. Actual costs depend upon the complexity of the issues. For more 

information on potential costs of environmental/historic preservation measures, contact FEMA 

Regional Offices.

Appendix C – Public Laws and Executive Orders that are 

Relevant to a FEMA Environmental and Historic 

Preservation Review 

 Clean Air Act – indicating whether the project will result in permanent air emissions or is 

located in a non-attainment area 

 Clean Water Act – indicating whether the project would affect any waters or wetlands 

 Coastal Barrier Resources Act (CBRA) – indicating if the project is connected to a CBRA unit 

or otherwise protected area 

 Coastal Zone Management Act – indicating if the project is located in or may affect a coastal 

zone area 

 Endangered Species Act – listing the species and/or critical habitats affected directly or 

indirectly by the project 

 Executive Order 11988, Floodplain Management – indicating whether the project is in a 

floodplain or has the potential to affect a floodplain 

 Executive Order 11990, Protection of Wetlands – indicating whether the project is in a 

wetland or has the potential to affect a wetland 

 Executive Order 12898, Environmental Justice for Low Income and Minority Populations – 

indicating whether the project may unfairly affect some of the population 

 Farmland Protection Policy Act – indicating whether the project affects or causes irreversible 

conversion of designated prime or unique farmland 

 Fish and Wildlife Coordination Act – indicating whether the project affects, or modifies a 

waterway or body of water 

 J. Magnuson-Stevens Fishery Conservation and Management Act – indicating whether the 

project is located in or near Essential Fish Habitat 

 Migratory Bird Treat Act – indicating whether the project is located within a flyway zone 

 National Environmental Policy Act – to determine if the project is excluded from further review 

or that an environmental assessment or environmental impact statement must be completed 

before beginning the project 

 National Historic Preservation Act – indicating whether the project will affect any historic 

building and structures or archeological resources 

 Wild and Scenic Rivers Act – indicating whether the project is along or affects a Wild or 

Scenic River 

Appendix D – Federal Technical Assistance and Funding 

Contents of Appendix D 

1. Conservation and Environment 

2. Economic Development 

3. Emergency Management 

4. Historic Preservation 

5. Housing 

6. Infrastructure 

7. Mitigation 

For information about specific Federal programs including application 

deadlines, current and exact eligibility requirements, and information on 

the application process, consult the CFDA available on online at 

http://12.46.245.173/cfda/cfda.html, search agency Web sites, or 

contact regional or local offices of the administering agency. This table 

provides only a quick summary of some general types of programs, 

agencies that may administer them, the main purpose, and type of 

applicant that may be eligible to apply.

D-1 

1. Conservation and Environment 

Agency

Type of 

Assistance Purpose of Assistance Eligible Applicants

DOD: 

USACE 

Technical 

assistance for 

beach erosion 

control projects 

To protect beaches and reduce 

shore erosion 

Political subdivisions of the 

State and other responsible 

local agencies 

DOI: 

FWS 

Grants through 

the North 

American 

Wetland 

Conservation 

Fund 

To acquire property and water 

rights to restore, manage, and/or 

enhance wetland ecosystems 

and other habitats for migratory 

birds and other fish and wildlife 

Public or private 

organizations 

EPA Loans and grants 

to assess and 

cleanup 

Brownfields 

To assist in the redevelopment, 

or reuse of sites complicated by 

the presence of a hazardous 

substance, pollutant, or 

contaminant 

Indian Tribes, local 

governments, quasigovernmental entities acting 

under the authority of a local 

government, some nonprofit organizations 

EPA Grants to develop 

wetlands 

programs 

To promote the coordination and 

acceleration of research and 

training related to the causes, 

effects, extent, prevention, 

reduction, and elimination of 

water pollution 

State agencies, Indian 

Tribes, local governments 

DOI: 

National 

Park 

Service 

Grants to “Save 

America’s 

Treasures” 

To protect and preserve 

nationally significant historic 

sites, as well as nationally 

significant collections of 

intellectual and cultural artifacts 

State or inter-State 

agencies, Indian Tribes, 

local governments, 

universities and colleges, 

non-profit organizations 

DOC: 

NOAA 

Grants for habitat 

conservation 

To benefit U.S. fisheries, 

conserve protected resources, 

and add to the economic and 

social well being of the nation 

through a variety of research, 

habitat restoration, and public 

education activities 

Indian Tribes, local 

governments, universities 

and colleges, private and 

non-profit research and 

conservation organizations 

USDA: 

Forest 

Service 

Grants and 

technical 

assistance to 

enhance forests 

To increase awareness of 

sustainable forestry practices 

through educational programs 

and assistance 

State forestry agencies, 

local governments, 

universities and colleges, 

non-profit organizations, 

private agencies and 

managers of non-industrial 

private forest lands 

USDA: 

Forest 

Service 

Grants and 

technical 

assistance for 

urban forestry 

programs 

To plan for, establish, manage 

and protect trees, forests, green 

spaces, and related resources in 

and adjacent to cities and towns 

State forestry agencies, 

private non-profit 

organizations 

For more information about FEMA's EHP Program, go to 

http://www.fema.gov/plan/ehp/index.shtm
D-2 

2. Economic Development 

Agency

Type of 

Program Purpose Eligible Applicants

DOC: EDA Grants to 

assist with 

economic 

adjustment 

To facilitate the long-term 

economic development of 

areas with severe 

unemployment and low 

income problems through the 

development of public 

facilities and private 

enterprises that create new, 

permanent jobs 

Indian Tribes, Economic 

Development Districts, local 

governments, universities and 

colleges, public or non-profit 

organizations acting in 

cooperation with local 

government 

DOC: EDA Grants to 

support 

economic 

development 

planning 

To establish economic 

development strategies 

designed to reduce 

unemployment and increase 

incomes 

Indian Tribes, Economic 

Development Districts, local 

governments, universities and 

colleges, non-profit 

organizations 

DOL Direct 

payments 

through 

Disaster 

Unemployment 

Assistance 

To assist individuals whose 

employment or selfemployment has been lost or 

interrupted as a direct result 

of a major disaster declared 

by the President of the 

United States 

Individuals who are not eligible 

for regular State 

unemployment insurance 

DOC: EDA Loans to ease 

problems of 

economic 

dislocation 

To help States and localities 

to develop and/or implement 

strategies that address 

adjustment problems 

resulting from sudden and 

severe economic dislocation 

States, Indian Tribes, local 

governments, non-profit 

organizations 

DOT: FHWA, 

Maritime 

Administration 

Technical 

assistance for 

development 

and promotion 

of ports and 

intermodal 

transportation 

To promote and plan for 

development and utilization 

of domestic waterways, 

ports, and port facilities 

Local governments, 

Metropolitan Planning 

Organizations, Public Port and 

Intermodal Authorities, Trade 

Associations 

HUD: Office 

of Community 

Planning and 

Development 

Grants for 

economic 

development 

on Brownfields 

To carry out economic 

development projects on 

contaminated buildings or 

land and return brownfields 

to productive economic use 

Units of local government 

HUD: Office 

of Community 

Planning and 

Development 

Loans for 

community 

development 

To finance economic 

development, housing 

rehabilitation, public facilities, 

and large scale physical 

development projects 

Metropolitan cities and urban 

counties 

HUD: Office 

of Community 

Planning and 

Development 

Technical 

assistance or 

grants for 

community 

development 

To transfer skills and 

knowledge of planning, 

developing, and 

administering CDBG 

programs to eligible block 

grant entities 

Units of local government, 

national or regional non-profit 

organizations that have 

membership comprised 

predominantly of CDBG 

recipients, professional and 

technical service companies, 
D-3 

Agency

Type of 

Program Purpose Eligible Applicants

public or private non-profit 

organizations, including 

educational institutions and 

area-wide planning 

organizations 

USTREAS Tax relief 

following 

disasters 

To provide tax relief for 

losses resulting from 

destruction or damage of 

property due to a sudden, 

unexpected, or unusual event 

such as a natural hazard 

A victim of a Presidentially 

declared disaster who is a 

taxpayer 

USDA: 

Cooperative 

State 

Research, 

Education, 

and Extension 

Service 

Grants for 

community 

food projects 

To support the development 

of community food projects 

designed to meet the food 

needs of low income people; 

increase the self-reliance of 

communities in providing 

their own needs; and 

promote comprehensive 

responses to local food, farm, 

and nutrition issues 

Private non-profit 

organizations 

USDA: Farm 

Service 

Agency 

Direct 

payments 

through the 

Tree 

Assistance 

Program 

To assist commercial 

producers whose trees, 

bushes, or vines are 

damaged or destroyed in 

natural disasters to replant or 

rehabilitate trees 

Private businesses 

USDA: Rural 

BusinessCooperative 

Service 

Loans for 

business and 

industry 

To improve buildings and 

facilities, to purchase 

materials and equipment, to 

purchase and develop land, 

easements, rights-of-way 

Indian Tribes, public, private, 

and non-profit organizations in 

rural areas 

USDA: Rural 

BusinessCooperative 

Service 

Grants and 

loans to 

support 

renewable 

energy 

systems and 

energy 

efficiency 

To create a program to make 

direct loans, loan guarantees 

and grants to agricultural 

producers and rural 

businesses to help reduce 

energy costs and 

consumption and help meet 

the nation’s critical energy 

needs 

Agricultural producers or rural 

small businesses 

USDA: Rural 

Business–

Cooperative 

Service 

Grants for rural 

business 

enterprises 

To facilitate the development 

of small emerging business, 

industry, and related 

employment for improving 

the economy of rural areas 

Public bodies and non-profit 

corporations serving rural 

areas 

USDA: Rural 

Business–

Cooperative 

Service 

Grants for rural 

business 

opportunities 

To promote planning, and 

training for sustainable 

economic development in 

rural communities 

Indian Tribes, public bodies, 

non-profit corporations, and 

cooperatives with members 

that are primarily rural 

residents and that conduct 

activities for the mutual benefit 

of their members 
D-4 

Agency

Type of 

Program Purpose Eligible Applicants

USDA: Rural 

Business–

Cooperative 

Service 

Grants for rural 

cooperative 

development 

To improve economic 

conditions through creation 

or retention of jobs in rural 

areas through cooperative 

development. 

Non-profit corporation, 

universities and colleges 

USDA: Rural 

Business–

Cooperative 

Service 

Grants and 

loans for rural 

economic 

development 

To study feasibility of projects 

for rural economic 

development and job creation 

Electric and telephone utilities 

that have current loans with 

the Rural Utilities Service 

USDA: Rural 

Housing 

Service 

Community 

facilities loans 

and grants 

To construct, enlarge, extend 

or otherwise improve 

community facilities providing 

essential services, such as 

child care, food distribution, 

and education, assisted living 

facilities, group homes, 

mental health clinics, and 

shelters 

State agencies, Indian Tribes, 

local governments, non-profit 

organizations 

USDA: Rural 

Utilities 

Service 

Grants and 

loans for 

communities 

with high 

energy costs 

To acquire, construct, 

extend, upgrade, and 

improve energy generation, 

transmission, or distribution 

facilities in rural communities 

with extremely high energy 

costs defined as 275 percent 

of the national average cost 

or more 

Political subdivisions of States, 

businesses, cooperatives, 

associations, organizations, 

and other entities organized 

under the laws of a State or 

Indian Tribes 

USDA: Rural 

Utilities 

Service 

Community 

Connect Grant 

Program 

To improve connectivity in 

rural areas through 

broadband transmission 

services including 

construction, acquisition, 

expansion, and/or operation 

of a community center 

providing such services 

Indian Tribes, local 

governments, or other legal 

entity, including cooperatives 

or private corporations of 

limited liability that have the 

legal authority to own and 

operate broadband facilities 
D-5 

3. Emergency Management 

Agency Type of Program Purpose Eligible Applicants

DHS Community 

Disaster Loans 

To assist communities that 

have suffered substantial 

loss of tax and other revenue 

due to a major disaster 

Local governments in a 

designated major disaster 

area meeting the specific 

conditions of FEMA Disaster 

Assistance Regulations 44 

CFR Part 206, Subpart K, 

Community Disaster Loans 

DHS Legal assistance 

following a 

disaster 

To provide legal assistance 

to individuals affected by a 

major disaster 

Low-income individuals, 

families, and groups in a 

major disaster area 

DOC: 

NOAA: 

National 

Marine 

Fisheries 

Service 

Grants for 

disaster relief for 

fisheries 

To restore fisheries, prevent 

future failures, and assist 

fishing communities following 

a disaster due to natural, 

man-made, or undetermined 

causes 

Fishing Communities 

DOD: 

USACE 

Emergency 

rehabilitation of 

flood control or 

coastal protection 

works 

To repair and restore flood 

control works damaged by 

flood or federally authorized 

hurricane flood and shore 

protection works damaged 

by extraordinary wind, wave, 

or water action 

Owners of damaged flood 

protective works, or State and 

local government entities 

responsible for their 

maintenance, repair, and 

operation 

SBA Economic Injury 

Disaster Loans 

To provide working capital to 

small business, small 

agricultural cooperatives or 

nurseries suffering from 

economic injury associated 

with a disaster 

Business owners who have 

suffered economic injury 

SBA Physical Disaster 

Loans 

To repair or replace 

damaged or destroyed real 

and/or personal property to 

its pre-damage condition. 

Homeowners, renters, 

business and non-profit 

organizations who have 

suffered physical loss do to a 

Presidential or SBA declared 

disaster 

USDA Direct Housing, 

Natural Disaster 

Grants and Loans 

To meet emergency 

assistance needs not 

provided by other FEMA 

Programs 

Very-Low income, elderly, 

owner-occupants of rural 

housing in declared disaster 

areas 

USDA Direct payments 

through Disaster 

Reserve 

Assistance 

To provide emergency 

assistance where a livestock 

emergency has been 

determined to exist and is 

due to a natural hazard 

An established producer of 

livestock or a dairy products 

USDA Emergency 

Loans 

To assist established (owner 

or tenant) family farmers, 

ranchers and aquaculture 

operators to cover losses 

resulting from major and/or 

natural disasters 

An established, qualified 

farmer, rancher, or 

aquaculture operator who 

was conducting a farming 

operation at the time of 

occurrence of a disaster 
D-6 

4. Historic Preservation 

Agency

Type of 

Program Purpose Eligible Applicants

DOI; 

National 

Park 

Service 

Civil War 

Battlefield Land 

Acquisition 

Grants 

To preserve threatened civil war 

battlefields 

Local governments or 

private non-profit 

organization in 

partnership with local 

governments 

DOI; 

National 

Park 

Service 

National 

Maritime 

Heritage Grants 

To preserve and rehabilitate historic 

maritime resources and to increase 

public awareness and appreciation of 

them through education and 

reproduction of well-documented 

historic maritime properties 

Local governments and 

private non-profit 

organizations 

DOI; 

National 

Park 

Service 

Technical 

Preservation 

Service 

To preserve and maintain certified 

historic properties 

Local governments and 

individuals 

For more information about FEMA's EHP Program, go to 

http://www.fema.gov/plan/ehp/index.shtm
D-7 

5. Housing 

Agency

Type of 

Program Purpose Eligible Applicants

DHS: 

FEMA 

Direct payments 

for disaster 

housing 

assistance to 

individuals and 

households 

To assist affected individuals and 

households within Presidential-declared 

disaster zones to address disasterrelated housing and other necessary 

expenses and serious needs, which 

cannot be met through other means 

Individuals and 

households whose 

primary residence has 

been damaged or 

destroyed and whose 

losses are not 

covered by insurance 

DHS: 

FEMA 

Disaster Housing 

Assistance 

grants 

To provide housing assistance to 

individuals whose homes sustained 

damage as a result of a Presidentially 

declared disaster 

A national, citizen or 

dual citizen of the 

United States whose 

home was destroyed 

or damaged by a 

Presidentially 

declared major 

disaster 

DHS: 

FEMA 

Federal 

Assistance To 

Individuals And 

Households 

To assist individuals and households 

suffering hardship as a result of a 

Presidentially declared disaster 

Individuals and 

households whose 

primary residence has 

been damaged or 

destroyed and whose 

losses are not 

covered by insurance 

DOI: 

Bureau 

of Indian 

Affairs 

Indian Housing 

Assistance 

To eliminate substantially substandard 

Indian-owned and inhabited housing for 

very low income individuals living in 

Tribal service areas 

Individual members of 

Federally recognized 

Tribes or Tribal 

governments or 

organizations 

HUD Community 

Development 

Block Grant 

To develop viable urban communities by 

providing decent housing and a suitable 

living environment 

States, Territories, 

Indian Tribes, local 

governments 

HUD Demolition and 

Revitalization of 

Severely 

Distressed 

Public Housing 

To demolish all or parts of severely 

distressed public housing projects and 

meet relocation cost of affected 

residents, disposition activities, 

rehabbing of units or community facilities, 

development of new units or community 

facilities, homeownership activities, 

acquisition activities, management 

improvements and administrative cost, 

community and supportive services 

Public housing 

authorities and Indian 

Housing Authorities 

USDA Direct housing 

natural disaster 

loans 

To assist qualified lower income rural 

families to meet emergency assistance 

needs resulting from natural disaster to 

buy, build, rehabilitate, or improve 

dwellings in rural areas 

Individuals without 

adequate resources 

to obtain housing 

resources 

USDA: 

Rural 

Housing 

Service 

Farm Labor 

Housing Loans 

and Grants 

To provide decent, safe, and sanitary 

low-rent housing and related facilities for 

domestic farm laborers 

Farmers, farm family 

partnerships, family 

farm corporations, or 

an association of 

farmers 
D-8 

Agency

Type of 

Program Purpose Eligible Applicants

USDA: 

Rural 

Housing 

Service 

Rural housing 

preservation 

grants and loans 

To assist very low- and low-income 

residents and homeowners to pay any 

part of the cost for repair and 

rehabilitation of structures 

Local governments, 

Indian Tribal 

Corporations, or 

public or private nonprofit corporations 

USDA: 

Rural 

Housing 

Service 

Rural rental 

housing loans 

To encourage private and public lenders 

to make loans for affordable multi-family 

rental housing in rural areas 

Lenders 

USDA: 

Rural 

Housing 

Service 

Very low-income 

housing repair 

loans and grants 

To make essential repairs to homes in 

rural areas to make them safe and 

remove health hazards 

Rural homeowners, 

62 years of age or 

older 

 

USDA: 

Rural 

Housing 

Service 

Very low- to 

moderateincome housing 

loans 

To assist very low-, low-, and moderateincome households to obtain modest, 

decent, safe, and sanitary housing for 

use as a permanent residence in a rural 

area 

Very low- to 

moderate-income 

households 
D-9 

6. Infrastructure 

Agency Type of Program Purpose Eligible Applicants

DHS: FEMA Grants to improve 

safety of dams 

To reduce the risks 

to life and property 

from dam failure in 

the United States 

through the 

establishment and 

maintenance of an 

effective national 

dam safety program 

State agencies with registered 

professional engineer with 

experience in dam design and 

construction 

DOC: EDA Grants for public 

works and 

economic 

development 

Facilities 

To promote longterm economic 

development in 

areas experiencing 

substantial 

economic stress 

Indian Tribes, Economic 

Development Districts, local 

governments, universities and 

colleges, non-profit 

organizations 

DOC: National 

Telecommunication 

and Information 

Administration 

Grants for public 

telecommunications 

facilities 

To assist in the 

planning, 

acquisition, 

installation, and 

modernization of 

public 

telecommunications 

facilities 

Public or noncommercial 

educational broadcast 

stations 

DOD: USACE Emergency 

Rehabilitation of 

Flood Control 

Works or Federally 

Authorized Coastal 

Protection Works 

To assist in the 

repair and 

restoration of public 

works damaged by 

flood, extraordinary 

wind, wave, or 

water action 

State and local officials of 

public entities responsible for 

their maintenance, repair, and 

operation of flood protective 

works 

DOD: USACE Protection of 

essential highways, 

highway bridge 

approaches and 

public works 

To protect 

highways, essential 

public works, 

churches, hospitals, 

schools, and other 

non-profit public 

services in locations 

endangered by 

flood-caused 

erosion 

Political subdivision of States 

and other responsible local 

agencies established under 

State law 

DOT: FHWA Special funding and 

technical 

assistance for 

transportation: 

emergency relief 

To provide aid for 

repair of Federalaid roads 

Federal or State highway or 

transportation agency 

DOT: FHWA, FAA Grants and advisor 

services for airport 

improvement 

To integrate airport 

system planning, 

construction, and 

rehabilitation 

Indian Tribes, local 

governments, public 

agencies, and private owners 

of public-use airports 

DOT: FHWA, FTA Federal transit 

capital investment 

To assist in 

financing the 

Municipalities and other 

subdivisions of the State, 
D-10 

Agency Type of Program Purpose Eligible Applicants

grants acquisition, 

construction, 

reconstruction, and 

improvement of 

facilities, rolling 

stock, and 

equipment for use 

in public 

transportation 

service 

public corporations 

DOT: FHWA, FTA Transit planning 

and research 

grants, technical 

assistance, and 

training 

To increase public 

ridership, improve 

safety and 

emergency 

preparedness, 

improve capital 

operating 

efficiencies, protect 

the environment, 

and promote energy 

independence 

Public bodies, non-profit 

organizations, universities and 

colleges, and operators of 

public transportation services 

USDA: Rural 

Utilities Service 

Grants and loans 

for water and waste 

disposal systems 

for rural 

communities 

To provide basic 

human amenities, 

alleviate health 

hazards and 

promote orderly 

growth of rural 

areas by improving 

or expanding rural 

water systems, and 

stormwater, 

sanitary, and solid 

waste management 

facilities 

Indian Tribes, local 

governments, cooperatives, 

and non-profit corporations 

serving rural businesses and 

rural residents 
D-11 

7. Mitigation 

Agency

Type of 

Program Purpose Eligible Applicants

DHS Emergency 

Management 

Performance 

Grants 

To improve emergency 

management planning, 

preparedness, mitigation, 

response, and recovery 

capabilities 

States 

DHS: FEMA Grants for flood 

mitigation 

assistance 

To plan and carry out activities 

designed to reduce the risk of 

flood damage to structures 

covered by flood insurance 

States or local 

governments with FEMAapproved flood mitigation 

plans 

DHS: FEMA Hazard 

mitigation grants 

To prevent future losses of 

lives and property due to 

disasters 

State and local 

governments; certain 

private and nonprofit 

organizations or 

institutions; Indian Tribes 

or authorized Tribal 

organizations; and Alaska 

Native villages or 

organizations 

DHS: FEMA National Flood 

Insurance 

Program 

To enable purchase of flood 

insurance and to promote wise 

floodplain management 

practices in the Nation's floodprone and mudflow-prone 

areas 

States or local 

governments with 

authority to adopt and 

enforce floodplain 

management measures 

DHS: FEMA Public 

Assistance 

Grants 

To alleviate suffering and 

hardship resulting from major 

disasters or emergencies 

declared by the President 

State agencies, Indian 

Tribes, local governments, 

private non-profit 

organizations that operate 

educational, utility, 

emergency, or medical 

facilities or that provide 

custodial care or other 

essential service of 

governmental nature to 

the general public 

DOC: Census 

Bureau 

Information To provide census survey and 

geographic data 

Interested persons, 

organizations, and 

government agencies 

DOC: NOAA Geodetic 

Surveys and 

Services 

To provide national, 

coordinated spatial reference 

system 

Local, municipal, 

university, and regional 

agencies 

DOC: NOAA: 

National 

Weather 

Service (NWS) 

Funding for 

automated flood 

warning systems 

To create, renovate, or 

enhance warning systems in 

communities with flood or flash 

flood problems that affect 

safety of life 

Counties, municipalities, 

educational institutions, 

and non-profit 

organizations 

DOD: USACE Design and 

construction of 

flood control 

projects 

To reduce flood damages Political subdivisions of 

States or other 

responsible agencies 

established under State 
D-12 

Agency

Type of 

Program Purpose Eligible Applicants

law 

DOD: USACE Technical 

assistance on 

floodplain 

management 

To promote recognition of 

flood hazards and provide 

flood and floodplain related 

data, technical services, and 

guidance 

Political subdivisions of 

States, other non-public 

organizations, and the 

public 

DOD: USACE Services for 

snagging and 

clearing for flood 

control 

To reduce flooding Political subdivisions of 

States or other 

responsible agencies 

established under State 

law 

DOI Grants and 

provision of 

equipment and 

technical 

assistance to 

reduce wildfire 

damage 

To implement the National Fire 

Plan and assist communities at 

risk from catastrophic wildland 

fires by providing assistance in 

assessment and planning, 

mitigation, education, fuels 

reduction, education and 

training, and by providing 

protective clothing and 

equipment 

States and local 

governments, Indian 

Tribes, universities and 

colleges, nonprofit 

organizations, and rural 

fire departments serving a 

community with a 

population of 10,000 or 

less in the wildland/urban 

interface 

DOI: National 

Park Service 

Technical 

information for 

historic 

preservation 

To assist local governments 

and owners to preserve and 

maintain historic properties 

Local governments and 

individuals 

USDA: Natural 

Resources 

Conservation 

Service 

Soil survey 

information 

To provide information to 

planners, environmentalists, 

engineers, zoning 

commissions, tax 

commissions, homeowners, 

farmers, ranchers, developers, 

landowners, and business 

operators 

Individuals and groups 

that have a need for soil 

survey 

USDA: Natural 

Resources 

Conservation 

Service 

Grants for 

watershed 

protection and 

flood prevention 

To support water quality 

management, sediment 

control, wildlife, and recreation 

projects 

Counties, municipalities, 

soil and water 

conservation districts, 

flood prevention or flood 

control districts, Indian 

Tribes, and non-profit 

organizations with 

authority under State law 

to carry out, maintain, and 

operate watershed 

improvement 

USDA: Natural 

Resources 

Conservation 

Service 

Technical 

assistance for 

watershed 

surveys and 

planning 

To help solve problems of 

upstream rural community 

flooding, water quality 

improvement, wetland 

preservation, and drought 

management 

Indian Tribes, local 

governments, non-profit 

organizations, and local 

water resource agencies 
Appendix E – FEMA Regions and Regional Offices 

The FEMA Web site contains current contact information for: 

• FEMA Regional Offices 

(http://www.fema.gov/about/contact/regions.shtm

• Each State Hazard Mitigation Officer (SHMO) 

(http://www.fema.gov/about/contact/shmo.shtm) 

• Tribal Information (http://www.fema.gov/government/tribal/index.shtm 

FEMA 

Region Serving 

Region I Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, Vermont 

Region II New Jersey, New York, Puerto Rico, Virgin Islands 

Region III Delaware, District of Columbia, Maryland, Pennsylvania, Virginia, West Virginia 

Region IV Alabama, Florida, Georgia. Kentucky, Mississippi, North Carolina, South 

Carolina, Tennessee 

Region V Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin 

Region VI Arkansas, Louisiana, New Mexico, Oklahoma, Texas 

Region VII Iowa, Kansas, Missouri, Nebraska 

Region VIII Colorado, Montana, North Dakota, South Dakota, Utah, Wyoming 

Region IX Arizona, California, Hawaii, Nevada, American Samoa, Guam, Commonwealth of 

the Northern Mariana Islands, Republic of the Marshall Islands, Federated States 

of Micronesia 

Region X Alaska, Idaho, Oregon, Washington