FY 2007 Pre-Disaster Mitigation Program

Ensured funding for eligible Applicants

Added:

FEMA will ensure that a State will receive no less than $500,000 for sub-application(s) within the State that meet all the eligibility requirements of the program as stated in this guidance.  Additional eligible sub-applications will compete among other eligible sub-applications nationally for the remaining PDM funds.

State funding cap

No State funding limitation.

Total State cap on Federal share is $15 million in any year.

Funds

$50 million for grant awards.

$100 million for grant awards.

Sub-grant Applications

Include a maximum of five Planning and/or Project sub-applications for five eligible planning/project activities that the Applicant has reviewed and approved in eGrants (see Section 2.6.3, Applicant Review of Sub-applications) and one Technical Assistance/Management Cost sub-application for Applicant management costs.   Applicants MUST rank each sub-application included in the grant application in order of their priority for funding based on the Applicant’s Standard or Enhanced hazard mitigation plan.  Each sub-application MUST be assigned a unique rank (i.e., only one number 1) in eGrants.  If the Applicant is including a Technical Assistance/Management Cost sub-application, it should be ranked last.  Applicants should explain the rank given to each sub-application and how it relates to their hazard mitigation plan; 

Include an unlimited number of sub-applications for eligible planning/project activities that the Applicant has reviewed and approved in eGrants (See Section 1.6.3, Applicant Review of Sub-applications). A separate management cost sub-application must be submitted for Applicant management costs. Applicants must rank each sub-application included in the grant application in order of their priority for funding based on the Applicant’s Standard or Enhanced hazard mitigation plan. Each sub-application must be assigned a unique rank (i.e., only one number 001) in eGrants. If the Applicant is including a Management Cost sub-application, it should be ranked last. Applicants should explain the rank given to each sub-application and how it relates to their hazard mitigation plan.

National Flood Insurance Program

Added:

Further, all entities included in a planning or project sub-application for PDM funding that are mapped under the NFIP must be participating in the NFIP and not on probation, suspended, or withdrawn from the NFIP. A project that has an identified SFHA must be located within a community that is participating in the NFIP and is not on probation, suspended, or withdrawn from the NFIP. Projects located on campuses of public institutions must be in conformance with either local or State floodplain management requirements (see 44 C.F.R. Part 60, Criteria for Land Management and Use). If the community lacks jurisdiction to enforce NFIP floodplain management requirements on State-owned property, then the project involving a State facility must be in compliance with State floodplain management requirements.

The only exception to this policy is for Federally-recognized Indian Tribal governments, who will be eligible to receive PDM planning grants even if they have been identified through the NFIP as having a FHBM or a FIRM has been issued.  Federally-recognized Indian Tribal governments will not be eligible for PDM project grants, however, until they are participating in the NFIP.  The planning grant is intended to provide the Indian Tribal governments with the information, resources, and incentives that will enable them to take the necessary steps to join and participate in the NFIP.

Deadline for the FEMA-approved mitigation plan to receive project sub-applications

By April 14, 2006 (last day of National Evaluation).

By the application deadline,  February 5, 2007 at 11:59:59 EST.

Eligible Mitigation Planning Activities

Mapping activity costs are limited to 30% of the total cost of the planning sub-application and must be identified as separate line items in the Cost Estimate.

Mapping activity costs must be identified as separate line items in the Cost Estimate.

Ineligible Project Activities

§        Major flood control projects;

§        Water quality infrastructure projects;

§        Projects that address ecological issues related to land and forest management;

§        Warning and alert notification systems;

§        Phased or partial projects;

§        Studies that do not result in a project;

§        Flood studies or mapping;

§        Dry flooding proofing of residential structures;

§        Generators for non-critical facilities;

§        Demolition/rebuild projects

§        Projects that solely address a man-made hazard;

§        Response and communication equipment;

§        Projects that solely address maintenance or repairs of existing structures, facilities, or infrastructure;

§        Localized flood control projects that do not protect a critical facility; and

§        Any project for which another Federal agency has primary authority.

Deleted:

§        Demolition/Rebuild projects

Added:

§        Reconstruction (demo/rebuild) projects

§        Generators and related equipment (e.g., generator hook-ups) for critical facilities that are not part of a larger eligible mitigation project sub-application and is not directly related to the hazard(s) that threatens that critical facility

National Ranking process

Sub-applications will be sorted in descending order based on the National Ranking scores. FEMA will forward from the National Ranking to the National Evaluation the highest scoring sub-applications representing no less than 150% of available funds.

Added: 

§        FEMA may include the two highest scoring sub-applications from each State and the two highest scoring sub-applications from tribal Applicants in the National Evaluation, if not already included in the 150%, to ensure a geographic spread of the applications considered.

National Ranking Factors and Point Values for Projects

§        The priority rank given to the sub-application by the Applicant (35%)

§        Whether the Applicant has a FEMA-approved Enhanced State/Tribal mitigation plan by the application deadline (20%)

§        Whether the Sub-applicant has a FEMA-approved local mitigation plan by the application deadline (15%)

§        Whether the project protects critical facilities (10%)

§        The percent of the population benefiting, which equals the number of individuals directly benefiting divided by the community population percent (10%)

§        Community mitigation factors (5%)

§        The status of the Applicant/Sub-applicant as a small and impoverished community (5%)

Changed Weight of Factor:

§        The percent of the population benefiting, which equals the number of individuals directly benefiting divided by the community population percent (15%)

§        Community mitigation factors (15%)

Deleted:

§        Whether the Sub-applicant has a FEMA-approved local mitigation plan by the application deadline (15%)

National Evaluation Factors and Point Values for Projects

§        Strategy for completing the proposed mitigation project (25%);

§        Sufficient staff and resources for implementation of the proposed mitigation project (20%);

§        Durability of thefinancial and social benefits that will be achieved through the proposed mitigation project (15%);

§        Identification of appropriate and useful performance measures to assure the success of the proposed mitigation project (5 %);

§        Protection of critical facilities (5%);

§        Leveraging of Federal/State/Tribal/territorial/local/private partnerships to enhance the outcome of the proposed mitigation project (5%); and,

§        Inclusion of outreach activities appropriate to the proposed mitigation project (e.g., signs, press releases, success stories, losses avoided analysis) that advance mitigation and/or serves as a model for other communities (5%).

Deleted:

§        Strategy for completing the proposed mitigation project

§        Viability of the proposed mitigation project

Added:

§        Project sub-application demonstrates that the proposed mitigation activity reduces the overall risks to the population and structures (20%)

Changed Weight of Factor:

§        Strategy for and identification of appropriate and useful performance measures to assure the success of the proposed mitigation project (30%)

National Evaluation Factors and Point Values for Plans

§        Thoroughness of SOW that demonstrates an understanding of the planning process and describes a methodology for completing the proposed mitigation plan (30%)

§        Potential benefits of the proposed mitigation planning process to constituents (25%)

§        Sufficient staff and resources for implementation of the proposed mitigation planning process or project (20%)

§        Identification of appropriate and useful performance measures to assure the success of the proposed mitigation activity (10%)

§        Leveraging of Federal/State/Tribal/territorial/local/private partnerships to enhance the outcome of the proposed activity (10%)

§        Description of the unique or innovative outreach activities appropriate to the planning process (5%)

Changed Weight of Factor:

§        Sufficient staff and resources for implementation of the proposed mitigation planning process or project (30%)

§        Strategy for and identification of appropriate and useful performance measures to assure the success of the proposed mitigation activity (30%)

§        Leveraging of Federal/State/Tribal/territorial/local/private partnerships to enhance the outcome of the proposed activity (5%)

Deleted:

§        Potential benefits of the proposed mitigation planning process to constituents (25%)

Intent to Participate in acquisition projects

Required at time of application:

§        Letter of Interest

§        Fair market value estimate

§        Relocation assistance cost estimate

Required during pre-award:

§        Assurances regarding open space and deed restrictions (includes Model Deed Restriction)

§        Voluntary Participation Agreement

Added:

Required at time of application:

§        An Intent to Participate form;

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

§        Assurance that the subject property is not part of an intended, planned or designated project area for which the land is to be acquired by a certain date, and that local and State governments have no intention to use the property for any public or private facility in the future inconsistent with other directives.

List of Acronyms

N/A

Added to FY 2007 Guidance

Eligible Sub-Applicants

For example, a state’s Parks and Recreation Department or Cultural Resources Agency may apply as a Sub-applicant for funds to mitigate a private industry. The Sub-applicant retains accountability for the sub-grant and may not just pass through the funds.

For example, a State’s Parks and Recreation Department or Cultural Resources Agency may apply as a Sub-applicant for funds to mitigate a private museum, or a State Education Agency may apply as a Sub-applicant for funds to mitigate a private university if they are covered by a hazard mitigation plan. To be eligible for a project activity all entities must be covered by or participated in the development of the hazard mitigation plan. The Sub-applicant retains responsibility for the sub-grant and may not pass funding onto another entity without accountability of grant administration.

Geocoding Mitigation Projects

The location of all approved mitigation projects funded by the PDM program must be geocoded using standard datum prior to award (see Section 5.11, FEMA Pre-award Activities).  The Guidance for Geocoding Mitigation Data is available from the FEMA Regional Office (see Section 2.14, Regional Contact Information).  The PDM web site provides guidance for collecting and formatting location information.

The location of all approved mitigation projects funded by the PDM program must be geocoded using standard datum prior to award (See Section 4.11, FEMA Pre-award Activities). The Guidance for Geocoding Mitigation Data is available online from the FEMA Information Resources Library:  http://www.fema.gov/library/viewRecord.do?id=1849 and from the FEMA Regional Office (See Section 1.14, Regional Contact Information).

Eligible Mitigation Panning Activities

The planning grant deliverable MUST be a new FEMA approved hazard mitigation plan, an upgrade of an existing FEMA-approved hazard mitigation plan or comprehensive revision and update of an already FEMA-approved hazard mitigation plan.

The planning grant deliverable must be a FEMA approved hazard mitigation plan, whether PDM is funding the development of the entire plan or only a portion of the plan. PDM funding may be used for the development of a new FEMA approved hazard mitigation plan, an upgrade of an existing FEMA-approved hazard mitigation plan, or comprehensive revision and update of an already FEMA-approved hazard mitigation plan (See Sections 3.1.1, New Plan Development 3.1.2 Upgrade, and 3.1.3 Comprehensive Plan and Update).

Description of Planning Process

In a planning grant SOW, the description of the plan development process will typically comprise several sub-elements that, when completed, meet the applicable requirements promulgated in 44 CFR Part 201.  These regulatory planning requirements are described in detail in FEMA’s March 2003 publication Hazard Mitigation Planning Guidance (available online).  Guidance on the planning process is described in FEMA’s series of Mitigation Planning How-To guides, which are available online.  The SOW should thoroughly document each of these steps, including what will be done, and how it will be done, and who will be responsible for the completion of each step (e.g., contract personnel or in-house staff).  It should also explain how the public and other interested jurisdictions, agencies, and organizations will be involved throughout (e.g., workshops, community outreach).

In a planning grant SOW, the description of the plan development process will typically comprise several sub-elements that, when completed, meet the applicable requirements promulgated in 44 C.F.R. Part 201 which are available from the FEMA Information Resources Library: http://www.fema.gov/library/viewRecord.do?id=1858. Additional guidance on the planning process is described in FEMA’s series of Mitigation Planning How-To guides, which outline the four basic steps to the mitigation planning process: getting started – building support for mitigation planning; understanding your risks – identifying hazards and estimating losses; developing a mitigation plan – identifying mitigation measures and implementation strategies; and bringing the plan to life – ensuring the success of the hazard mitigation plan.  These documents, and others, are available at:

http://www.fema.gov/plan/mitplanning/planning_resources.shtm#1. The SOW should thoroughly document each of these steps, including what will be done, and how it will be done, and who will be responsible for the completion of each step (e.g., contract personnel or in-house staff). It should also explain how the public and other interested jurisdictions, agencies, and organizations will be involved throughout (e.g., workshops, community outreach). The application will be more competitive if it demonstrates a clear understanding of the planning process, and if it identifies sufficient staff and resources necessary to complete the plan.  Staff with planning experience or expertise should be identified, where possible.

Work Schedule

Added:

The application will be more competitive if it clearly describes a methodology or process for completing the plan within the established schedule.

Eligible  Mitigation Project Activities

Added:

Hydrologic and Hydraulic studies/analyses, engineering studies, and drainage studies for the purpose of project design and feasibility determination;

Ineligible Project Activities

Flood studies or flood mapping;

Flood studies or flood mapping (i.e., general hydrologic and hydraulic studies/analyses not integral or necessary for project design or feasibility determination);

Added:

Generators and related equipment (e.g., generator hook-ups) for critical facilities that are not part of a larger eligible mitigation project sub-application and is not directly related to the hazard(s) that threaten that critical facility (See Section 4.1, Eligible Mitigation Project Activities);

Property Acquisition and Relocation Requirements

Reference:

4.3.4.1 Eligible and ineligible costs for acquisitions

4.3.4.2 Project eligibility for acquisitions

4.3.4.3 Required information for sub-applications for acquisitions

4.3.4.4 Project implementation

4.3.4.5 Close out requirements

Cost Estimate

Engineering designs/specifications (see Section 5.3.2, Feasibility/Effectiveness Requirement);

Engineering designs/specifications to include Hydrologic and Hydraulic studies/analyses required as an integral part of the project design;

Property Acquisition and Relocation Requirements

For property acquisition and relocation projects, the Sub-applicant must submit documentation that the Sub-applicant has consulted the U.S Army Corps of Engineers and the State Department of Transportation regarding potential future land use conflicts with open space acquisition.  Additionally, the Sub-applicant must submit a copy of the deed restriction, incorporating the specific language from FEMA’s model deed restriction, which the local government will record with acquired properties. (See Section 4.3.4, Property Acquisition and Relocation Requirements).

Selection/Award

The Approving Federal Official at FEMA Headquarters shall consider the National Evaluation Score, the comments and recommendations from independent panelists, and any other pertinent information in determining which sub-applications are selected for further review up to the amount of funds available for the program. 

Sub-applications shall be awarded in order unless a sub-application is justified for selection out of rank order based upon one or more of the following factors:

§   Availability of funding

§   Balance/distribution of funds geographically or by type of recipient

§   Duplication of sub-applications

§   Program priorities and policy factors

§   Other pertinent information

The Approving Federal Official at FEMA Headquarters shall consider the National Evaluation Score, the comments and recommendations from independent panelists, and any other pertinent information in determining which planning and project sub-applications are selected for further review up to the amount of funds available for the program.

The process is two-fold:

First, for States only, FEMA will select for further review the highest scoring eligible sub-applicants from each State in order until the projects and/or plans within a State are no less than $500,000. 

Second, all remaining eligible sub-applications (including those from Indian tribal government Applications) will be reordered and, the Approving Federal Official shall select the highest scored eligible planning and project sub-applications for further review, in order, up to the remaining amount of funds available for the program. That is unless a sub-application is justified for selection out of rank order based upon one or more of the following factors:

§         Availability of funding;

§         Balance/distribution of funds geographically or by type of recipient;

§         Duplication of sub-applications;

§         Program priorities and policy factors; and

§         Other pertinent information.

FEMA will contact Applicants selected for further review, however, note that pre-award activities are not considered notification of an award.

Conditions for the Award of Funds

For mitigation project sub-applications selected for further review, FEMA will complete the environmental/historic preservation review with the assistance of both the Applicant and the Sub-applicant as part of its Pre-award Activities (see Section 5.11, FEMA Pre-award Activities).  Environmental mitigation measures or historic preservation treatment measures may be required as conditions of the grant award to avoid, minimize or compensate for adverse effects caused by the project.  These conditions may include a broad range of potential environmental mitigation measures or treatment measures that result from FEMA’s consultation with the appropriate Federal or state resource agency.  Depending on the type of property or resource affected and the scope of the project, the environmental mitigation or treatment measures may be minimal or extensive.

For mitigation project sub-applications selected for further review, FEMA will complete the Environmental and Historic Preservation review in consultation with appropriate Federal and State resource agencies. This review will be conducted with the assistance of both the Applicant and the Sub-applicant as part of its Pre-award Activities (See Section 4.11, FEMA Pre-award Activities). The outcome of this review may be the identification of required environmental impact mitigation or historic preservation treatment measures necessary to avoid, minimize or compensate for adverse effects caused by the project. Depending on the type of property or resource affected and the scope of the project, the measures may be minimal or extensive.  These required environmental impact mitigation or historic preservation treatment measures will be required conditions placed on the award of the grant.

FEMA will not consider changes to the SOW between the application deadline and the completion of the selection process (See Section 4.4, Scope of Work).

Appendix A

Glossary

Appendix B

Weighting for Plans and Projects

Appendix C

Grant Application Checklist

Websites

Numerous URL’s were updated from FY 2006 to FY 2007