FY 2007 Pre-Disaster 
Mitigation (PDM) 
Program Guidance 

November 2006 



FY 2007 PRE-DISASTER MITIGATION 
PROGRAM GUIDANCE 


OVERVIEW IV 

LIST OF ACRONYMS.....................................................................................................X 


SECTION 1 GRANT APPLICATION GUIDANCE .............................................. 1 


1.1 DEFINITION AND PURPOSE..................................................................................................................1 
1.2 AUTHORIZATION AND APPROPRIATION..........................................................................................1 
1.2.1 AUTHORIZATION ...............................................................................................................................1 
1.2.2 APPROPRIATION................................................................................................................................1 
1.3 GRANT PROGRAM ELIGIBILITY..........................................................................................................2 
1.3.1 ELIGIBLE APPLICANTS ......................................................................................................................2 
1.3.2 ELIGIBLE SUB-APPLICANTS..............................................................................................................2 
1.3.3 PROGRAM REQUIREMENTS ..............................................................................................................3 
1.3.3.1 PLANNING REQUIREMENTS ................................................................................................................. 3 
1.3.3.2 NATIONAL FLOOD INSURANCE PROGRAM (NFIP) .......................................................................... 3 
1.3.3.3 NON-DISCRIMINATION .......................................................................................................................... 4 
1.3.3.4 COST-EFFECTIVENESS ........................................................................................................................... 4 
1.3.3.5 GEOCODING MITIGATION PROJECTS ................................................................................................. 4 
1.3.4 PROGRAM RESTRICTIONS.................................................................................................................4 
1.3.4.1 COST OVERRUNS AND COST UNDER-RUNS...................................................................................... 4 
1.3.4.2 DUPLICATION OF BENEFITS ................................................................................................................. 4 
1.3.4.3 DUPLICATION OF PROGRAMS..............................................................................................................5 
1.3.4.4 PDM PROGRAM FUNDS .......................................................................................................................... 5 
1.3.4.5 FUNDING LIMITS .................................................................................................................................... 5 
1.3.4.6 PERFORMANCE PERIOD......................................................................................................................... 5 
1.3.4.7 CONFLICT OF INTEREST ........................................................................................................................ 5 
1.4 ELIGIBLE ACTIVITIES AND ASSOCIATED COSTS ...........................................................................6 
1.5 INELIGIBLE ACTIVITIES .......................................................................................................................6 
1.6 APPLICATION PROCESS........................................................................................................................6 
1.6.1 APPLICATION PERIOD.......................................................................................................................6 
1.6.2 FEMA’S ELECTRONIC GRANTS SYSTEM..........................................................................................6 
1.6.3 APPLICANT REVIEW OF SUB-APPLICATIONS ................................................................................7 
1.6.4 GRANT APPLICATION CHECKLIST...................................................................................................8 
1.7 COST SHARE REQUIREMENTS.............................................................................................................9 
1.7.1 SMALL AND IMPOVERISHED COMMUNITIES.................................................................................9 
1.7.2 NON-FEDERAL COST SHARE...........................................................................................................10 
1.7.2.1 COST SHARE DOCUMENTATION ....................................................................................................... 11 
1.8 
FEMA REVIEW, NATIONAL RANKING, NATIONAL EVALUATION, AND NATIONAL 
TECHNICAL REVIEW..........................................................................................................................11 
1.8.1 FEMA REVIEW ..................................................................................................................................11 
1.8.2 NATIONAL RANKING ........................................................................................................................11 
1.8.3 NATIONAL EVALUATION..................................................................................................................12 
1.8.4 TECHNICAL REVIEW ........................................................................................................................12 
1.9 SELECTION, FEMA PRE-AWARD ACTIVITIES, AND AWARDS ....................................................13 
1.9.1 SELECTION .......................................................................................................................................13 
1.9.2 FEMA PRE-AWARD ACTIVITIES ......................................................................................................13 
1.9.3 AWARDS.............................................................................................................................................14 
1.9.4 NOTIFICATION OF STATUS OF SUB-APPLICATIONS...................................................................14 
1.10 RECONSIDERATION............................................................................................................................14 
1.11 PERFORMANCE PERIOD .....................................................................................................................15 
1.12 EXTENSIONS ........................................................................................................................................15 
1.13 REPORTING REQUIREMENTS ............................................................................................................16 
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1.13.1 FEDERAL CASH TRANSACTION REPORTS................................................................................16 


1.13.2 FINANCIAL STATUS REPORTS....................................................................................................16 


1.13.3 PERFORMANCE REPORTS ..........................................................................................................17 


1.13.4 FINAL REPORTS...........................................................................................................................17 


1.14 REGIONAL CONTACT INFORMATION..............................................................................................18 


SECTION 2 APPLICANT MANAGEMENT COSTS ......................................... 19 


2.1 ELIGIBLE MANAGEMENT COST ACTIVITIES.................................................................................19 


2.1.1 PRE-AWARD MANAGEMENT COSTS...............................................................................................19 


2.2 COST SHARE.........................................................................................................................................20 


2.3 APPLICANT MANAGEMENT COST SUB-APPLICATION CHECKLIST .........................................20 


2.4 NATIONAL RANKING AND EVALUATION ......................................................................................21 


2.5 SELECTION AND AWARD ...................................................................................................................21 


2.6 PERFORMANCE PERIOD .....................................................................................................................21 


SECTION 3 MITIGATION PLANNING SUB-APPLICATION GUIDANCE ....... 22 


3.1 ELIGIBLE MITIGATION PLANNING ACTIVITIES............................................................................22 


3.1.1 NEW PLAN DEVELOPMENT.............................................................................................................22 


3.1.2 UPGRADE..........................................................................................................................................23 


3.1.3 COMPREHENSIVE REVIEW AND UPDATE ....................................................................................23 


3.1.4 RISK ASSESSMENT ............................................................................................................................23 


3.1.5 INFORMATION DISSEMINATION ....................................................................................................24 


3.1.6 SUB-APPLICANT MANAGEMENT COSTS .......................................................................................24 


3.1.7 PRE-AWARD PLANNING COSTS ......................................................................................................25 


3.2 INELIGIBLE MITIGATION PLANNING ACTIVITIES........................................................................25 


3.3 MITIGATION PLAN REQUIREMENTS ...............................................................................................26 


3.4 SCOPE OF WORK..................................................................................................................................26 


3.4.1 DESCRIPTION OF PLANNING PROCESS........................................................................................27 


3.4.2 WORK SCHEDULE............................................................................................................................27 


3.4.3 SCOPE OF WORK CHANGES, INCLUDING COST OVERRUNS ....................................................28 


3.5 COST ESTIMATE ..................................................................................................................................28 


3.5.1 COST ESTIMATE CHANGES .............................................................................................................28 


3.6 EVALUATION INFORMATION............................................................................................................29 


3.7 PLANNING SUB-APPLICATION CHECKLIST ...................................................................................29 


3.8 FEMA REVIEW, NATIONAL RANKING AND NATIONAL EVALUATION....................................31 


3.8.1 FEMA REVIEW ..................................................................................................................................31 


3.8.2 NATIONAL RANKING ........................................................................................................................32 


3.8.3 NATIONAL EVALUATION..................................................................................................................32 


3.9 FEMA PRE-AWARD ACTIVITIES........................................................................................................32 


3.10 PERFORMANCE PERIOD .....................................................................................................................33 


SECTION 4 MITIGATION PROJECT SUB-APPLICATION GUIDANCE ......... 34 


4.1 ELIGIBLE MITIGATION PROJECT ACTIVITIES ...............................................................................34 


4.1.1 INFORMATION DISSEMINATION ....................................................................................................35 


4.1.2 SUB-APPLICANT MANAGEMENT COSTS .......................................................................................35 


4.1.3 PRE-AWARD PROJECT COSTS.........................................................................................................36 


4.2 INELIGIBLE PROJECT ACTIVITIES....................................................................................................36 


4.3 MITIGATION PROJECT REQUIREMENTS .........................................................................................37 


4.3.1 PLAN REQUIREMENT .......................................................................................................................37 


4.3.2 FEASIBILITY/EFFECTIVENESS REQUIREMENT............................................................................37 


4.3.3 ELIGIBILITY CRITERIA .....................................................................................................................38 


4.3.4 PROPERTY ACQUISITION AND RELOCATION REQUIREMENTS................................................38 


4.3.4.1 Eligibility for Property Acquisition Projects:............................................................................................. 38 


4.3.4.2 Requirement to Apply Deed Restrictions................................................................................................... 40 


4.3.4.3 Sub-applications for Property Acquisition.................................................................................................40 


4.3.4.4 Pre-Award Requirements..........................................................................................................................42 


4.3.4.5 Post-Award Requirements ......................................................................................................................... 43 


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4.3.5 SPECIAL FLOOD HAZARD AREA REQUIREMENTS ......................................................................44 


4.3.5.1 INCOME TAX ON MITIGATION PROJECT FUNDS ........................................................................... 45 


4.3.5.2 GEOCODING REQUIREMENTS ............................................................................................................ 45 


4.3.5.3 PROJECT MAINTENANCE .................................................................................................................... 45 


4.4 SCOPE OF WORK..................................................................................................................................46 


4.4.1 DOCUMENTATION...........................................................................................................................47 


4.4.2 SCOPE OF WORK CHANGES ...........................................................................................................47 


4.5 COST ESTIMATE ..................................................................................................................................47 


4.5.1 DOCUMENTATION...........................................................................................................................49 


4.5.2 COST ESTIMATE CHANGES .............................................................................................................49 


4.6 COST EFFECTIVENESS ........................................................................................................................50 


4.6.1 METHODOLOGY...............................................................................................................................51 


4.6.2 DOCUMENTATION...........................................................................................................................52 


4.7 ENVIRONMENTAL/HISTORIC PRESERVATION COMPLIANCE...................................................52 


4.7.1 ENVIRONMENTAL/HISTORIC PRESERVATION QUESTIONS .......................................................53 


4.7.2 CONDITIONS FOR THE AWARD OF FUNDS ..................................................................................54 


4.8 EVALUATION INFORMATION............................................................................................................55 


4.9 PROJECT SUB-APPLICATION CHECKLIST.......................................................................................55 


4.10 
FEMA REVIEW, NATIONAL RANKING, NATIONAL EVALUATION AND TECHNICAL REVIEW 
................................................................................................................................................................58 

4.10.1 FEMA REVIEW ..............................................................................................................................58 


4.10.2 NATIONAL RANKING....................................................................................................................58 


4.10.3 NATIONAL EVALUATION.............................................................................................................59 


4.10.4 TECHNICAL REVIEW....................................................................................................................60 


4.10.4.1 BENEFIT-COST TECHNICAL REVIEW................................................................................................ 60 


4.10.4.2 ENGINEERING FEASIBILITY TECHNICAL REVIEW........................................................................61 


4.11 FEMA PRE-AWARD ACTIVITIES........................................................................................................62 


4.11.1 PROPERTY ACQUISITION AND RELOCATION REQUIREMENTS ...........................................62 


4.11.2 SPECIAL FLOOD HAZARD AREA REQUIREMENTS..................................................................62 


4.11.3 GEOCODING REQUIREMENTS...................................................................................................62 


4.11.4 PROJECT MAINTENANCE............................................................................................................62 


4.11.5 TECHNICAL REVIEW REQUIREMENTS .....................................................................................62 


4.11.6 ENVIRONMENTAL/HISTORIC PRESERVATION COMPLIANCE REQUIREMENTS ................63 


4.12 PERFORMANCE PERIOD .....................................................................................................................63 


4.13 UPDATING REPETITIVE LOSS DATABASE FOR MITIGATED PROPERTIES ..............................63 


SECTION 5 TECHNICAL ASSISTANCE ......................................................... 65 


5.1 EGRANTS HELPDESK..........................................................................................................................65 


5.2 PROJECT TECHNICAL ASSISTANCE.................................................................................................65 


5.2.1 ENGINEERING FEASIBILITY TECHNICAL ASSISTANCE ..............................................................65 


5.2.2 BENEFIT-COST ANALYSIS TECHNICAL ASSISTANCE...................................................................66 


5.2.3 ENVIRONMENTAL/HISTORIC PRESERVATION TECHNICAL ASSISTANCE ................................66 


5.2.4 PROJECT TECHNICAL ASSISTANCE HELPLINES .........................................................................67 


APPENDIX A GLOSSARY..................................................................................68 


APPENDIX B WEIGHTING FOR PLANS AND PROJECTS............................... 71 


APPENDIX C GRANT APPLICATION CHECKLIST........................................... 73 


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FY 2007 PRE-DISASTER MITIGATION PROGRAM 
OVERVIEW 

BACKGROUND 

The Pre-Disaster Mitigation (PDM) program will provide funds to States, Territories, Federally-recognized Indian 
tribal governments, and communities for hazard mitigation planning and the implementation of mitigation projects 
prior to a disaster event. Funding these plans and projects reduces overall risks to the population and structures, 
while also reducing reliance on funding from actual disaster declarations. This is an overview of the fiscal year (FY) 
2007 Pre-Disaster Mitigation program. 

FY 2007 PRE-DISASTER MITIGATION PROGRAM GUIDANCE 
OVERVIEW iv 
USES OF FUNDS KEY POINTS 
FUNDS: 
PDM grants are awarded on a competitive basis. Congress has appropriated 
$100 million for competitive grants, technical assistance, and program 
support for the FY 2007 PDM program. The PDM program was 
reauthorized through September 30, 2008. For the 2007 competitive PDM 
program, each State will receive at least $500,000 for sub-application(s) for 
at least that amount are submitted that meet all the eligibility requirements 
of the program as stated in this guidance. All remaining eligible sub-
applications will compete nationally for the remaining PDM funds. 
..Mitigation planning: $1M cap on Federal share, not to exceed 3 years; 
..Mitigation projects: $3M cap on Federal share, not to exceed 3 years; 
..Total State cap on Federal share is $15M in a any year; 
..Information dissemination activities: not to exceed 10%, must directly 
relate to planning or project sub-application; 
..Applicant management costs: not to exceed 10%; and 
..Sub-applicant management costs: not to exceed 5%. 
COST-SHARE: 
Up to 75% Federal cost share. Small and impoverished communities may 
be eligible for up to a 90% Federal cost-share. 
ELIGIBLE ACTIVITIES: 
Mitigation planning activities; 
..New plan development; 
..Upgrade; and 
..Comprehensive review and update. 
Mitigation project activities; and, 
..Voluntary acquisition of real property (i.e. structures and land, where 
necessary) for conversion to open space in perpetuity; 
..Relocation of public or private structures; 
..Elevation of existing public or private structures to avoid coastal or 
riverine flooding; 
..Structural retrofitting and non-structural retrofitting (e.g., storm 
shutters, hurricane clips, bracing systems) of existing public or private 
structures to meet or exceed applicable building codes relative to 
hazard mitigation; 
..Construction of safe rooms (e.g., tornado and severe wind shelters) for 
public and private structures that meet the FEMA construction criteria 
in FEMA 320 “Taking Shelter from the Storm” and FEMA 361 
“Design and Construction Guidance for Community Shelters”; 
..Hydrologic and Hydraulic studies/analyses, engineering studies, and 
drainage studies for the purpose of project design and feasibility 
determination; 
INELIGIBLE PLANNING ACTIVITIES: 
..Flood studies or flood mapping; 
..Mapping activities that are not part of a risk 
assessment; 
..Risk assessments, technical assistance, studies, 
or workshops not resulting in a FEMA-
approved hazard mitigation plan; 
..Information dissemination activities exceeding 
10% of the total cost of the planning sub-
application or that are not tied directly to a 
PDM planning sub-application; 
..Any ground disturbing activity that would 
initiate the environmental review and 
compliance process; 
..Pre-award activities not directly related to the 
development of the planning sub-application or 
implementing the proposed planning activity; 
and 
..Limited revisions and amendments that do not 
result in a comprehensive hazard mitigation 
plan update. 
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 (e.g., 
engineering designs, feasibility studies, or 
drainage studies that are not integral to a 
proposed project); 
..Flood studies or flood mapping (general H&H 
studies not integral to project design); 
..Dry flood proofing of residential structures; 
..Generators for non-critical facilities; 
..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 
..Any mitigation activities involving 
demolishing an existing structure (i.e., 

FY 2007 PRE-DISASTER MITIGATION PROGRAM GUIDANCE 
OVERVIEW v 
..Vegetation management for natural dune restoration, wildfire or snow 
avalanche; 
..Protective measures for utilities (e.g., electric and gas); water and 
sanitary sewer systems and/or infrastructure (e.g., roads and bridges); 
..Storm water management projects (e.g., culverts, retention basins) to 
reduce or eliminate long-term risk from flood hazards; and 
..Localized flood control projects, such as certain ring levees, bank 
stabilization, and floodwall systems that are designed specifically to 
protect critical facilities (defined as Hazardous Materials Facilities, 
Emergency Operation Centers, Power Facilities, Water Facilities, 
Sewer and Wastewater Treatment Facilities, Communications 
Facilities, Emergency Medical Care Facilities, Fire Protection, and 
Emergency Facilities) and that do not constitute a section of a larger 
flood control system 
Any of the above mitigation projects for a critical facility, as defined above, 
may include the purchase of a generator or related equipment purchases 
(e.g., generator hook-ups) as a functional portion to the larger eligible 
mitigation project sub-application, as long as the generator or related 
equipment purchase directly relates to the hazard(s) that threatens the 
critical facility. 
Applicant management costs activities. 
..The solicitation, review, and processing of PDM planning and project 
sub-applications and sub-grant awards; 
..Providing technical assistance to Sub-applicants regarding Benefit-
Cost Analysis and Environmental and Historic Preservation 
documentation; 
..Geocoding mitigation projects selected for further review; 
..Delivery of technical assistance (e.g., plan reviews, planning 
workshops) intended to support the implementation of planning and 
project activities; 
..Managing grants (e.g., quarterly reporting and close-out); 
..Technical monitoring (e.g., site visits, technical meetings); and 
..Hiring staff to perform the above activities. 
commercial or residential building) and 
building a new structure (i.e., demolition/ 
rebuild) in floodplains; 
..Projects that solely address a manmade hazard; 
..Response and communication equipment; 
..Projects that solely address maintenance or 
repairs of existing structures, facilities, or 
infrastructure (e.g., dredging and removal); 
..Localized flood control projects that do not 
protect a critical facility or constitute a part of 
a larger project; and 
..Any project for which another Federal agency 
has primary authority. 
PLANNING ACTIVITIES: 
Eligibility for a project grant is dependent on the 
Applicant and Sub-applicant having a FEMA-
approved hazard mitigation plan by the application 
deadline. The outcome of a mitigation planning sub-
grant award must be a FEMA-approved hazard 
mitigation plan that complies with the requirements 
of 44 C.F.R. Part 201. The planning grant 
deliverable can be a new hazard mitigation plan, an 
upgrade of an existing FEMA approved hazard 
mitigation plan or an update of an already FEMA-
approved hazard mitigation plan. 
ELIGIBILITY REQUIREMENTS KEY POINTS 
APPLICANT ELIGIBILITY: 
Only the State emergency management agencies or a similar office (i.e., the 
office that has emergency management responsibility) of the State, the 
District of Columbia, the U.S. Virgin Islands, the Commonwealth of Puerto 
Rico, Guam, American Samoa, and the Commonwealth of the Northern 
Mariana Islands, as well as Federally-recognized Indian tribal governments 
are eligible to apply to FEMA for assistance as Applicants under this 
program. Each State, Territory, or tribal government shall designate one 
Agency to serve as the Applicant for this program. Each Applicant may 
submit an unlimited amount of sub-applications for eligible planning/ 
project activities that the Applicant has reviewed and approved in eGrants. 
A separate management cost sub-application must be submitted for 
Applicant management costs. 
SUB-APPLICANT ELIGIBILITY: 
The following entities are eligible to apply to the Applicant for assistance: 
State-level agencies including State institutions (e.g., State hospital or 
university); Federally-recognized Indian tribal governments; local 
governments, including State-recognized tribes, authorized tribal 
organizations, and Alaska Native villages; public colleges and universities; 
and tribal colleges and universities. Private non-profit (PNP) organizations 
and private colleges and universities are not eligible Sub-applicants; 
however, an eligible, relevant State agency or local government may apply 
commercial or residential building) and 
building a new structure (i.e., demolition/ 
rebuild) in floodplains; 
..Projects that solely address a manmade hazard; 
..Response and communication equipment; 
..Projects that solely address maintenance or 
repairs of existing structures, facilities, or 
infrastructure (e.g., dredging and removal); 
..Localized flood control projects that do not 
protect a critical facility or constitute a part of 
a larger project; and 
..Any project for which another Federal agency 
has primary authority. 
PLANNING ACTIVITIES: 
Eligibility for a project grant is dependent on the 
Applicant and Sub-applicant having a FEMA-
approved hazard mitigation plan by the application 
deadline. The outcome of a mitigation planning sub-
grant award must be a FEMA-approved hazard 
mitigation plan that complies with the requirements 
of 44 C.F.R. Part 201. The planning grant 
deliverable can be a new hazard mitigation plan, an 
upgrade of an existing FEMA approved hazard 
mitigation plan or an update of an already FEMA-
approved hazard mitigation plan. 
ELIGIBILITY REQUIREMENTS KEY POINTS 
APPLICANT ELIGIBILITY: 
Only the State emergency management agencies or a similar office (i.e., the 
office that has emergency management responsibility) of the State, the 
District of Columbia, the U.S. Virgin Islands, the Commonwealth of Puerto 
Rico, Guam, American Samoa, and the Commonwealth of the Northern 
Mariana Islands, as well as Federally-recognized Indian tribal governments 
are eligible to apply to FEMA for assistance as Applicants under this 
program. Each State, Territory, or tribal government shall designate one 
Agency to serve as the Applicant for this program. Each Applicant may 
submit an unlimited amount of sub-applications for eligible planning/ 
project activities that the Applicant has reviewed and approved in eGrants. 
A separate management cost sub-application must be submitted for 
Applicant management costs. 
SUB-APPLICANT ELIGIBILITY: 
The following entities are eligible to apply to the Applicant for assistance: 
State-level agencies including State institutions (e.g., State hospital or 
university); Federally-recognized Indian tribal governments; local 
governments, including State-recognized tribes, authorized tribal 
organizations, and Alaska Native villages; public colleges and universities; 
and tribal colleges and universities. Private non-profit (PNP) organizations 
and private colleges and universities are not eligible Sub-applicants; 
however, an eligible, relevant State agency or local government may apply 
NFIP PARTICIPATION: 
If Applicants and Sub-applicants have been 
identified through the NFIP as having a Special 
Flood Hazard Area (SFHA), and a Flood Hazard 
Boundary Map (FHBM) or Flood Insurance Rate 
Map (FIRM) has been issued for their specific 
jurisdiction, they must be participating in the NFIP 
and not on probation, suspended, or withdrawn from 
the NFIP to be eligible for the PDM program. 
Applicants/Sub-applicants that are not mapped or 
have not been issued a map are eligible for the PDM 
program. 
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 issued a FHBM or FIRM and they are not 
participating in the NFIP. 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 tribal 
governments with the information, resources, and 
incentives that will enable them to take the 

necessary steps to join and participate in the NFIP. 
MITIGATION PLAN REQUIREMENT: 
All Applicants must have a FEMA-approved 
State/tribal Standard or Enhanced hazard mitigation 
plan by the application deadline to be eligible to 
receive project grant funding under the PDM 
program in accordance with 44 C.F.R. Part 201. In 
addition, all Sub-applicants must have a FEMA-
approved hazard mitigation plan by the application 
deadline to be eligible to receive project grant 
funding under the PDM program. 
Projects submitted for consideration must be 
consistent with the goals and objectives identified in 
the current FEMA-approved State/tribal hazard 
mitigation plan and the tribal/local/university hazard 
mitigation plan for the jurisdiction in which the 
activity is located. 
INTENT TO PARTICIPATE: 
A Letter of Intent to Participate from the owner of 
each property identified in the SOW. The form 
includes documentation that demonstrates that the 
Applicant/Sub-applicant has advised each property 
owner that acquisition projects for open space 
acquisition are voluntary and that Grantee/Sub-
grantee will not use its eminent domain authority to 
acquire the property for open space purposes should 
negotiations fail. Documentation of signature for 
each property is required. 
necessary steps to join and participate in the NFIP. 
MITIGATION PLAN REQUIREMENT: 
All Applicants must have a FEMA-approved 
State/tribal Standard or Enhanced hazard mitigation 
plan by the application deadline to be eligible to 
receive project grant funding under the PDM 
program in accordance with 44 C.F.R. Part 201. In 
addition, all Sub-applicants must have a FEMA-
approved hazard mitigation plan by the application 
deadline to be eligible to receive project grant 
funding under the PDM program. 
Projects submitted for consideration must be 
consistent with the goals and objectives identified in 
the current FEMA-approved State/tribal hazard 
mitigation plan and the tribal/local/university hazard 
mitigation plan for the jurisdiction in which the 
activity is located. 
INTENT TO PARTICIPATE: 
A Letter of Intent to Participate from the owner of 
each property identified in the SOW. The form 
includes documentation that demonstrates that the 
Applicant/Sub-applicant has advised each property 
owner that acquisition projects for open space 
acquisition are voluntary and that Grantee/Sub-
grantee will not use its eminent domain authority to 
acquire the property for open space purposes should 
negotiations fail. Documentation of signature for 
each property is required. 
FY 2007 PRE-DISASTER MITIGATION PROGRAM GUIDANCE 
OVERVIEW vi 
to the Applicant as the Sub-applicant for assistance to benefit the private 
entity. 
APPLICATION PROCESS KEY POINTS 
APPLICATION PROCESS: 
Applicants must use the electronic grants (eGrants) management system: 
https://portal.fema.gov to submit a PDM grant application to include 
planning, project, and management cost sub-applications. Only PDM-C 
grant applications submitted through the eGrants system will be accepted. If 
a Sub-applicant does not use the eGrants system, the Applicant must enter 
the Sub-applicant’s paper sub-application(s) into the eGrants system on 
their behalf using the Paper Sub-application Intake function. Paper planning 
and project sub-applications that follow the eGrants format are available in 
the eGrants system for Sub-applicants to use. Applicants must provide an 
original and two copies of any paper supporting documentation that cannot 
be electronically attached to the eGrants application (e.g., engineering 
drawings, photos, maps) to the appropriate Regional Office. However, the 
entire application, including all paper documentation, must be received by 
the appropriate FEMA Regional office by the application deadline. Paper 
duplicates of attachments submitted with sub-applications in eGrants are 
not necessary. 
BENEFIT-COST ANALYSIS: 
The Applicant or Sub-applicant are required to perform a BCA for each 
property, including repetitive flood loss properties and substantially 
damaged properties. 
TECHNICAL ASSISTANCE: 
FEMA may provide technical assistance to Applicants and Sub-applicants 
regarding the level of documentation and the types of information that 
FEMA will need to adequately review the feasibility and effectiveness of 
APPLICATION PERIOD: 
Applicants must submit an FY 2007 PDM grant 
application to the appropriate FEMA Regional 
Office by February 5, 2007, at 11:59:59 p.m. 
Eastern Standard Time. 
EGRANTS TECHNICAL ASSISTANCE: 
FEMA will provide technical assistance regarding 
the eGrants system through the eGrants Helpdesk: 
1-866-476-0544 or mtegrants@dhs.gov. 
PROJECT TECHNICAL ASSISTANCE: 
Technical assistance for engineering feasibility, 
Benefit-Cost Analysis, and Environmental/ Historic 
Preservation compliance is available through the 
FEMA Technical Assistance Helplines: 
TECHNICAL ASSISTANCE HELP LINES: 
Phone: 
(866) 222-3580 (toll free) 
E-mail: 
enghelpline@dhs.gov 
bchelpline@dhs.gov 
ehhelpline@dhs.gov 

FY 2007 PRE-DISASTER MITIGATION PROGRAM GUIDANCE 
OVERVIEW vii 
proposed mitigation projects. In addition, FEMA may provide technical 
assistance to Applicants and Sub-applicants regarding the completeness and 
accuracy of project cost estimating for engineering costs. 
APPLICATION REVIEW KEY POINTS 
APPLICATION REVIEW: 
FEMA will review all planning sub-applications to ensure the following: 
..Eligibility of the Applicant and Sub-applicant; 
..Eligibility of proposed planning activities and costs; 
..Completeness of the sub-application; 
..Consistency of the proposed planning activity with the goals and 
objectives of the Applicant’s State/tribal hazard mitigation plan; 
..Adequacy of the justification for the proposed planning activity if the 
Sub-applicant already has a FEMA-approved hazard mitigation plan 
or has already received a planning grant; 
..Completeness of SOW; 
..Completeness of the Cost Estimate and consistency with the SOW; 
..Eligibility and availability of non-Federal cost share; and 
..Complete responses to Evaluation Information section questions for 
National Ranking and Evaluation, including the assessment of the 
frequency and severity of hazards. 
Planning sub-applications that do not satisfy the Eligibility and 
Completeness requirements will be removed from consideration. 
ELIMINATION CRITERIA: 
..Ineligible Applicant or Sub-applicant; 
..Applicant and Sub-applicant mapped through 
the NFIP, but not participating or on 
probation, suspended or withdrawn from the 
NFIP; 
..Incomplete application; 
..Ineligible activities; 
..Mitigation projects from Applicants/Sub-
applicants that do not have approved hazard 
mitigation plans; 
..Mitigation projects that are determined not to 
be feasible and/or effective at solving the 
problem for which they were designed; 
..Mitigation projects with a Benefit-Cost Ratio 
less than 1.0; 
..Mitigation projects without a BCA or with 
inadequately documented BCA; and 
..Missing cost-share funding. 
NATIONAL RANKING PROCESS KEY POINTS 
NATIONAL RANKING: 
National Ranking factors are: 
FY 2007 NATIONAL RANKING 
FACTORS AND POINT VALUES PLANS PROJECTS 
The priority given to the sub-application 
by the Applicant in their PDM grant 
application 
35% 35% 
Assessment of frequency and severity of 
hazards 30% N/A 
Whether the Applicant has a FEMA-
approved Enhanced State/tribal hazard 
mitigation plan by the application 
deadline 
15% 20% 
Community mitigation factors such as 
Community Rating System class, 
Cooperating Technical Partner, 
participation as a Firewise Community, 
and adoption and enforcement of codes 
including the International Code Series 
and National Fire Protection Association 
5000 Code, as measured by the Building 
Code Effectiveness Grading Schedule 
15% 15% 
The percent of the population benefiting, 
which equals the number of individuals 
directly benefiting divided by the 
community population 
N/A 15% 
Whether the project protects critical 
facilities N/A 10% 
Status of the local Sub-applicant as a 
small and impoverished community 5% 5% 
TOTAL POINT VALUES 100% 100% 
NATIONAL RANKING: 
FEMA will score all eligible planning and project 
sub-applications on the basis of predetermined, 
objective, and quantitative factors to calculate a 
National Ranking Score. 
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. 
FEMA may also include the two highest scoring 
sub-applications from tribal Applicants in the 
National Evaluation, if not already included in the 
150%. 

NATIONAL EVALUATION PROCESS KEY POINTS 
NATIONAL EVALUATION: 
National Evaluation factors are: 
FY 2007 NATIONAL EVALUATION 
FACTORS AND POINT VALUES PLANS PROJECTS 
Strategy for and identification of 
appropriate and useful performance 
measures to assure the success of the 
proposed mitigation activity 
30% 30% 
Sufficient staff and resources for 
implementation of the proposed 
mitigation planning process or proposed 
mitigation project 
30% 20% 
Thoroughness of SOW that demonstrates 
an understanding of the planning process 
and describes a methodology for 
completing the proposed mitigation plan 
30% N/A 
Project sub-application demonstrates that 
the proposed mitigation activity reduces 
the overall risks to the population and 
structures. 
N/A 20% 
Durability of the financial and social 
benefits that will be achieved through the 
proposed mitigation project 
N/A 15% 
Leveraging of Federal/State/tribal/ 
territorial/local/ private partnerships to 
enhance the outcome of the proposed 
activity 
5% 5% 
Description of unique or innovative 
outreach activities appropriate to the 
planning process (e.g., press releases, 
success stories) that advance mitigation 
and/or serve as a model for other 
communities 
5% N/A 
Protection of critical facilities N/A 5% 
Inclusion of outreach activities 
appropriate to the proposed mitigation 
project 
N/A 5% 
TOTAL POINT VALUES 100% 100% 
NATIONAL EVALUATION: 
National panels chaired by FEMA and composed of 
representatives from FEMA Headquarters and 
Regions, other Federal agencies, States, Federally-
recognized Indian tribal governments, Territories, 
and local governments will convene to evaluate 
planning and project sub-applications on the basis of 
additional pre-determined qualitative factors. 
Sub-applications will be sorted in descending order 
based on the National Evaluation and Confidence 
Rating scores. The highest scoring project sub-
applications representing no less than 150 % of 
available funding will be forwarded to the Technical 
Review. 
NATIONAL TECHNICAL REVIEW KEY POINTS 
NATIONAL TECHNICAL REVIEW: 
FEMA will conduct the following technical reviews for the highest 
scoring project sub-applications representing no less than 150% of 
available funding: 
. 
Benefit-Cost Analysis; and 
. 
Engineering Feasibility. 
NATIONAL TECHNICAL REVIEW: 
Project sub-applications that do not meet cost-
effectiveness and engineering feasibility 
requirements will be removed from consideration 
and will not be selected for further review. 
AWARD PROCESS KEY POINTS 
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 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: 
ENVIRONMENTAL REVIEW: 
FEMA will complete the Environmental/Historic 
preservation compliance review for projects selected 
for further review as part of pre-award activities. 
Project sub-applications will not be awarded and 
projects can not be initiated until FEMA has 
completed the Environmental/Historic Preservation 
review. 

FY 2007 PRE-DISASTER MITIGATION PROGRAM GUIDANCE 

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OVERVIEW 


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 governments) 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 or guarantee of an 
award. 


UNSUCCESSFUL APPLICATIONS: 
FEMA will notify Applicants of sub-applications 
that do not satisfy Eligibility and Completeness 
requirements; sub-applications that are not forwarded 
to National Evaluation following the National 
Ranking; and sub-applications that are not selected 
for further review by the Approving Federal Official. 
FY 2007 PRE-DISASTER MITIGATION PROGRAM GUIDANCE 

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OVERVIEW 


FY 2007 PRE-DISASTER MITIGATION PROGRAM 
LIST OF ACRONYMS 

ACRONYM DEFINITION 
ABFE Advisory Base Flood Elevations 
ADR Alternative Dispute Resolution Office 
BCA Benefit-cost Analysis 
BCR Benefit-cost Ratio 
BEA Bureau of Economic Analysis (Department of Commerce) 
BFE Base Flood Elevation 
CATEX Categorically Excluded 
CDBG Community Development Block Grant (HUD) 
CFDA Catalog of Federal Domestic Assistance 
C.F.R. Code of Federal Regulations 
CRBA Coastal Resource Barrier Act 
CSO Combined Sewer Overflow (EPA) 
DHS Department of Homeland Security 
eGrants Electronic Grants System (FEMA) 
EPA Environmental Species Act 
ESA Endangered Species Act 
DUNS Data Universal Numbering System 
FEMA Federal Emergency Management Agency 
FHBM Flood Hazard Boundary Map 
FIRM Flood Insurance Rate Map 
FIS Flood Insurance Study 
FMA Flood Mitigation Assistance Program 
FMV Fair Market Value 
FY Fiscal Year 
GIS Geographic Information System 
HAZUS Hazards United States (FEMA) 
HHS Department of Health and Human Service 
HMGP Hazard Mitigation Grant Program 
HUD Department of Housing and Urban Development 
ICC Increased Cost of Compliance (NFIP) 
NEMIS National Emergency Management Information System 
NEPA National Environmental Policy Act 
NFIA National Flood Insurance Act 
NFIF National Flood Insurance Fund 
NFIP National Flood Insurance Program 
NHPA National Historic Preservation Act 
NOAA National Oceanic and Atmospheric Administration 
OMB Office of Management and Budget 
PCA Pre-Award Consultation Agreement 
PDM Pre-Disaster Mitigation Program (FEMA) 

FY 2007 PRE-DISASTER MITIGATION PROGRAM GUIDANCE 

LIST OF ACRONYMS 


ACRONYM DEFINITION 
PDM-C Pre-Disaster Mitigation Program Competitive (FEMA) 
PNP Private Non-Profit 
POC Point of Contact 
RFC Repetitive Flood Claims Program 
SDF Special Direct Facility 
SFD Single Family Dwelling 
SFHA Special Flood Hazard Area 
SHPO State Historic Preservation Office 
SRL Severe Repetitive Loss 
SOW Scope of Work 
SSO Sanitary Sewer Overflow (EPA) 
SQANet Simple and Quick Access Net 
USACE United States Army Corps of Engineers 
URA Uniform Relocation Assistance 
USBL United States Bureau of Labor Statistics 
USGS United States Geological Survey 

FY 2007 PRE-DISASTER MITIGATION PROGRAM GUIDANCE 

LIST OF ACRONYMS 


SECTION 1 GRANT APPLICATION GUIDANCE 


1.1 DEFINITION AND PURPOSE 
Hazard mitigation is defined as any sustained action taken to reduce or eliminate long-term risk 
to life and property from a hazard event. Hazard mitigation results in long-term, cost-effective, 
and environmentally-sound reduction of hazard vulnerability. The goal of hazard mitigation is to 
save lives and reduce property damage. This, in turn, can reduce the enormous cost of disasters 
to property owners and all levels of government. In addition, hazard mitigation can protect 
critical community facilities, reduce exposure to risk, and minimize community disruption. 
Examples include hazard mitigation planning, acquisition and relocation of structures out of the 
floodplain, construction of saferooms (e.g., tornado and severe wind shelters) for public and 
private structures. 

FEMA’s Pre-Disaster Mitigation (PDM) program provides funds to States, Territories, Tribes, 
and communities for hazard mitigation planning and for the implementation of mitigation 
projects prior to a disaster event. The PDM program provides a significant opportunity to raise 
risk awareness and reduce the nation’s disaster losses through pre-disaster mitigation planning 
and the implementation of feasible, effective, and cost-efficient mitigation measures. The PDM 
program provides funding to reduce loss of life as well as damage and destruction to property 
from natural hazards. 

1.2 AUTHORIZATION AND APPROPRIATION 
1.2.1 AUTHORIZATION 
The Pre-Disaster Mitigation program was authorized by Part 203 of the Robert T. Stafford 
Disaster Assistance and Emergency Relief Act (Stafford Act), 42 U.S.C. 5133, to assist 
States and communities to implement a sustained pre-disaster natural hazard mitigation 
program to reduce overall risk to the population and structures, while also reducing reliance 
on Federal funding from actual disaster declarations. PDM funds should be used primarily to 
support mitigation activities that address natural hazards, although hazard mitigation projects 
and plans also may address hazards caused by manmade events. The Catalog of Federal 
Domestic Assistance (CFDA) number is 97.017. 

For the 2007 competitive PDM program, 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. All remaining eligible sub-applications will 
compete nationally for the remaining PDM funds. 

1.2.2 APPROPRIATION 
Congress has appropriated $100 million for competitive grants, technical assistance, and 
program support for the Fiscal Year (FY) 2007 PDM program. Availability of PDM funds 
have been reauthorized through September 30, 2008. 

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SECTION 1. GRANT APPLICATION GUIDANCE 


GRANT PROGRAM ELIGIBILITY 

1.3.1 ELIGIBLE APPLICANTS 
Only the State emergency management agency or a similar office (i.e., the office that has 
primary emergency management responsibility) of the State, the District of Columbia, the 

U.S. Virgin Islands, the Commonwealth of Puerto Rico, Guam, American Samoa, and the 
Commonwealth of the Northern Mariana Islands, as well as Federally-recognized Indian 
tribal governments are eligible to apply to Federal Emergency Management Agency (FEMA) 
for assistance as Applicants under this program. Each State, Territory, or tribal Government 
shall designate one agency to serve as the Applicant for the PDM program. Each Applicant 
may submit 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. 
Consistent with the FEMA policy and Title 44 Code of Federal Regulations (C.F.R.) 
“Government-to-Government Relations with American Indian and Alaska Native Tribal 
Governments,” published in the January 12, 1999, issue of the Federal Register, Federally-
recognized Indian tribal governments may choose to apply for PDM grants either through the 
State as a Sub-applicant or directly to FEMA as an Applicant. This choice is independent of a 
designation under other FEMA grants and programs. If the tribal Government acts as an 
Applicant by applying directly to FEMA and a grant is awarded, the tribal Government 
assumes the full responsibilities of a Grantee for the purposes of administering the grant. 
FEMA has determined that the unique status of Federally-recognized Indian tribal 
governments justifies providing this option to apply directly to FEMA. However, when 
legally permitted, tribal governments are encouraged to continue existing relationships with 
the State. 

1.3.2 ELIGIBLE SUB-APPLICANTS 
The following entities are eligible to apply to the Applicant for assistance: State-level 
agencies including State institutions (e.g., State hospital or university); Federally-recognized 
Tribal governments; local governments, including State-recognized tribes, authorized tribal 
organizations, and Alaska Native villages; public colleges and universities; and tribal 
colleges and universities. 

Private non-profit (PNP) organizations and private colleges and universities are not eligible 
Sub-applicants; however, an eligible, relevant State agency or local government may apply to 
the Applicant as the Sub-applicant for assistance to benefit the private entity. 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. 

FY 2007 PRE-DISASTER MITIGATION PROGRAM GUIDANCE 

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SECTION 1. GRANT APPLICATION GUIDANCE 


1.3.3 PROGRAM REQUIREMENTS 
1.3.3.1 PLANNING REQUIREMENTS 
All Applicants must have a FEMA-approved State/tribal Standard or Enhanced hazard 
mitigation plan by the application deadline, to be eligible to receive project grant funding 
under the PDM program in accordance with 44 C.F.R. Part 201. In addition, Sub-
applicants must have a FEMA-approved hazard mitigation plan by the application 
deadline, to be eligible to receive project grant funding under the PDM program. 
Applicants and Sub-applicants that do not have a FEMA-approved hazard mitigation plan 
are eligible to apply for a planning grant to develop such a plan under PDM. Please see 
FEMA’s planning web site: http://www.fema.gov/plan/mitplanning/index.shtm. 

All activities submitted for consideration must be consistent with the Applicant’s 
State/tribal Standard or Enhanced Hazard Mitigation Plan and the Sub-applicant’s tribal 
or local hazard mitigation plan for the local jurisdiction in which the activity is located. 

1.3.3.2 NATIONAL FLOOD INSURANCE PROGRAM (NFIP) 
If Applicants and Sub-applicants have been identified through the NFIP as having a 
Special Flood Hazard Area (SFHA), and a Flood Hazard Boundary Map (FHBM) or 
Flood Insurance Rate Map (FIRM) has been issued for their specific jurisdiction, they 
must be participating in the NFIP and not on probation, suspended, or withdrawn from 
the NFIP to be eligible for the PDM program. Applicants/Sub-applicants that are not 
mapped or have not been issued a map are eligible for the PDM program. 

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 issued a 
FHBM or FIRM and they are not participating in the NFIP. 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 tribal governments with the information, 
resources, and incentives that will enable them to take the necessary steps to join and 
participate in the NFIP. 

Property owners located in SFHAs who participate in a mitigation project that improves 
their structure must obtain and maintain flood insurance on the property prior to award 
(See Section 4.3, Mitigation Project Requirements). 

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SECTION 1. GRANT APPLICATION GUIDANCE 

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

In implementing the PDM program, Applicants and Sub-applicants will ensure that no 
discrimination is practiced. Applicants must consider fairness, equity, and equal access 
when prioritizing and selecting planning and project sub-applications to submit with their 
PDM grant application. Sub-applicants must ensure fairness and equal access to 
homeowners and individuals that benefit from property acquisitions, structure 
improvements, etc. 

1.3.3.4 COST-EFFECTIVENESS 
Project sub-applications must demonstrate cost-effectiveness through a BCR of 1.0 or 
greater (See Section 4.6, Cost Effectiveness). 

1.3.3.5 GEOCODING MITIGATION PROJECTS 
The location of all approved mitigation projects funded by the 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). 

1.3.4 PROGRAM RESTRICTIONS 
1.3.4.1 COST OVERRUNS AND COST UNDER-RUNS 
The PDM program is competitive and, therefore, Federal award amounts are final. There 
will be no additional FEMA funding beyond the initial award. FEMA will not cover cost 
over-runs associated with grant activities. All costs for which funding is requested must 
be included in the original PDM grant application’s budget section. 

Cost under-runs (i.e., unexpended funds) remaining after the expiration of the 
performance period must be reported to FEMA for de-obligation. Cost under-runs from 
one sub-application can not be used to meet another sub-application’s cost over-run. 

1.3.4.2 DUPLICATION OF BENEFITS 
PDM grants may not duplicate benefits received by or available to the Applicant or Sub-
applicant including participating persons or entities from insurance, other assistance 
programs, legal awards, or any other resource to address the same purpose. An Applicant 
must notify FEMA of all benefits that are received or anticipated by the Applicant or 
Sub-applicant from other sources for the same purpose, and Applicants and Sub-

FY 2007 PRE-DISASTER MITIGATION PROGRAM GUIDANCE 

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SECTION 1. GRANT APPLICATION GUIDANCE 


applicants must seek all such benefits available to them. FEMA will reduce the PDM 
grant by the amounts available for the same purpose from another source. 

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

1.3.4.3 DUPLICATION OF PROGRAMS 
FEMA will not provide assistance under the PDM program for activities that it 
determines another Federal program has a specific or primary authority to provide. 
FEMA also will not provide assistance for the Applicant or Sub-applicant’s legal 
obligations. FEMA may disallow or recoup amounts that duplicate other authorities. 

For example: 

. 
The Natural Resources and Conservation Service has the primary responsibility for 
funding watershed management plans; and 

. 
The Environmental Protection Agency manages the Clean Water State Revolving 
Fund (CWSRF) program to fund a variety of water quality infrastructure projects 

(e.g. combined sewer overflow (CSO) and sanitary sewer overflow (SSO) projects 
to eliminate sewer system overflows). 
1.3.4.4 PDM PROGRAM FUNDS 
PDM funds retain their Federal identity and, thus, generally can not be used as cost share 
for another Federally-funded activity. In addition, the non-Federal cost share for the PDM 
program cannot be used as cost share for other Federal grant programs. 

1.3.4.5 FUNDING LIMITS 
Funding is restricted to a maximum of $1 million Federal share for planning sub-
applications and $3 million Federal share for mitigation project sub-applications, and the 
cumulative Federal share for any one state shall not exceed 15% of the appropriated 
program funds. Sub-applications that propose a Federal cost share in excess of the 
Federal funding limit will not be considered. 

1.3.4.6 PERFORMANCE PERIOD 
The performance period for mitigation planning and project sub-applications shall not 
exceed three years from date of award. Sub-applications that propose a work schedule in 
excess of three years will not be considered. 

1.3.4.7 CONFLICT OF INTEREST 
Applicants and Sub-applicants must avoid conflicts of interest. Sub-applicants must 
comply with the procurement guidelines at 44 C.F.R. Part 13.36. Among other 
requirements, 44 C.F.R. Part 13.36 urges Sub-applicants to avoid situations where local 
officials with oversight authority might benefit financially from the grant disbursement. 

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SECTION 1. GRANT APPLICATION GUIDANCE 


Applicants must comply with guidelines for awarding and administering sub-grants at 44 

C.F.R. Part 13.37. 
1.4 ELIGIBLE ACTIVITIES AND ASSOCIATED COSTS 
Mitigation plans and projects must be long-term, feasible, and meet all requirements referenced 
in the PDM Guidance. Projects also must demonstrate cost-effectiveness. 
The following are eligible activities for the PDM program: 


. 
Mitigation planning activities (See Section 3, Mitigation Planning Sub-application 
Guidance); 

. 
Mitigation project activities (See Section 4, Mitigation Project Sub-application 
Guidance); and 


. 
Applicant management costs (See Section 2, Applicant Management Costs). 

1.5 INELIGIBLE ACTIVITIES 
Mitigation planning and project sub-applications must meet all requirements referenced in the 
PDM Guidance. Specific ineligible mitigation planning activities are listed in Section 3.2, 
Ineligible Mitigation Planning Activities. Ineligible project activities are listed in Section 4.2, 
Ineligible Project Activities. 

1.6 APPLICATION PROCESS 
1.6.1.1 APPLICATION PERIOD 
The PDM application period will open following receipt of appropriations (See Section 1.2.2, 
Appropriation). The application period will be posted on FEMA’s website: 
http://www.fema.gov/government/grant/pdm/index.shtm. PDM grant applications must be 
submitted to FEMA by the application deadline. Applications, including all supporting 
documentation, will not be accepted after February 5, 2007, at 11:59:59 p.m. Eastern 
Standard Time. 

Sub-applicants should consult the official designated point of contact for their Applicant 
State/ Tribe/Territory for more information regarding the application process. Applicants are 
strongly encouraged to establish an earlier deadline for Sub-applicants to submit sub-
applications in order to allow time to review and prioritize sub-applications (See Section 
1.6.3, Applicant Review of Sub-applications) as well as enter any paper sub-applications into 
FEMA’s Electronic Grants (eGrants) System (See Section 1.6.2, FEMA’s Electronic Grants 
System). 

1.6.1.2 FEMA’S ELECTRONIC GRANTS SYSTEM 
Applicants must use the electronic grants (eGrants) management system: 
https://portal.fema.gov to submit a PDM grant application to include planning, project, and 
management cost sub-applications. Only PDM-C grant applications submitted through the 
eGrants system will be accepted. If a Sub-applicant does not use the eGrants system, the 
Applicant must enter the Sub-applicant’s paper sub-application(s) into the eGrants system on 
their behalf using the Paper Sub-application Intake function. Paper planning and project sub-

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applications that follow the eGrants format are available in the eGrants system for Sub-
applicants to use. Applicants must provide an original and two copies of any paper 
supporting documentation that cannot be electronically attached to the eGrants application 
(e.g., engineering drawings, photos, maps) to the appropriate Regional Office. However, the 
entire application, including all paper documentation, must be received by the appropriate 
FEMA Regional office by the application deadline. Paper duplicates of attachments 
submitted with sub-applications in eGrants are not necessary. 

FEMA requires Applicants to use eGrants for the PDM program as it facilitates the 
competitive process and simplifies the selection and award process. FEMA has developed the 
eGrants system to meet the intent of the eGovernment initiative authorized by Public Law 
106–107, passed on November 20, 1999. This initiative requires that all government agencies 
both streamline the grant application processes and provide the means to electronically 
create, review, and submit a grant application via the Internet. 

FEMA’s eGrants system incorporates all elements of the PDM application in a user-friendly 
format for both Applicant and Sub-applicant use. The electronic process replaces the paper-
based process in that Sub-applicants’ planning and project sub-applications may be 
electronically submitted to the Applicant for review and approval in eGrants. Then, the 
Applicant must attach the Sub-applicants’ sub-applications to a grant application along with 
the Applicant’s own planning, project, and management cost sub-applications, if any, for 
submission to FEMA. FEMA uses the eGrants system to monitor ongoing performance, 
manage the flow of Federal funds, and close out the grant award when all work is completed. 

In addition to the online help available within the eGrants system and the Grantee and Sub-
grantee Quick Reference Guides available at https://portal.fema.gov, FEMA has established 
an eGrants Helpdesk to provide technical assistance to Applicants and Sub-applicants 
completing sub-applications and grant applications in the eGrants system. The eGrants 
Helpdesk can be reached via telephone: 1 (866) 476-0544 or e-mail: mtegrants@dhs.gov. 
Standard hours of operation are 9 a.m. to 5 p.m. Eastern Time. Hours may be extended 
during the application period. 

1.6.1.3 APPLICANT REVIEW OF SUB-APPLICATIONS 
Applicants must review and approve all sub-applications in eGrants before they can be 
attached to a grant application. Applicants should review all planning and project sub-
applications for eligibility, completeness, and consistency with the Applicant’s 
Standard/Enhanced hazard mitigation plan and the goals and objectives of the applicable 
tribal/local/university hazard mitigation plan (See Section 1.3.3.1, Planning Requirements). 
Applicants may return sub-applications to Sub-applicants for revisions as necessary in 
eGrants. 

FEMA strongly encourages Applicants to review the Sub-applicant’s responses to the 
Evaluation Information questions, including the assessment of the frequency and severity of 
hazards for mitigation planning activities (See Section 3.6, Evaluation Information), and the 
Benefit Cost Analysis (BCA) for mitigation projects (See Section 4.8, Evaluation 
Information), which will support competitiveness in the National Ranking process (See 

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SECTION 1. GRANT APPLICATION GUIDANCE 


Section 1.8.2, National Ranking). The Applicant may wish to revise or augment this 
information in consultation with the Sub-applicant. 

Applicants should certify that they have evaluated the activities included in each sub-
application to address all program requirements, thereby meeting the program criteria 
outlined under section 203(g) of the Stafford Act; and that they will be implemented in 
accordance with 44 C.F.R. Part 13, Uniform Administrative Requirements for Grants and 
Cooperative Agreements to State and Local Governments. 

In addition, the Applicant should provide a narrative in the comment field for the sub-
application in eGrants to describe: 

. 
Whether the proposed activity meets the Applicant’s mitigation objectives as stated in 
the Applicants’ hazard mitigation plan and the goals and objectives of the Subapplicant’s 
mitigation strategy; 

. 
Whether the proposed activity is feasible and will provide a long–term, independent 
solution to mitigate natural hazards; and 

. 
If the Sub-applicant is able to manage the grant funds and complete the activity in the 
time specified. 

1.6.2 GRANT APPLICATION CHECKLIST 
Applicants must provide the following in their PDM grant application in order to be eligible 
for consideration: 

1. 
Applicant Information: Provide name, type, and State of the Applicant, State and 
Federal tax numbers, Federal Employer Identification Number, DUNS number. 
Indicate whether the Applicant has a Smartlink account, whether the application is 
subject to review by the Executive Order 12372 process (select “Program is not 
covered by E.O. 12372” in eGrants), and whether the Applicant is delinquent on any 
Federal debt; 
2. 
Contact Information: Provide the name, agency, and address for the point of contact 
for the grant application; 
3. 
Sub-grant applications: 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; 
4. 
Schedule: Provide the title of the grant application and the overall projected 
performance period for the grant, and ensure that the work schedule for each sub-
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application included with the grant application is appropriate (See Section 1.3.4.6, 

Performance Period); 

5. 
Budget: Ensure that the requested Cost Estimate for each sub-application is 
acceptable and provide the grant budget class for each item. Provide documentation 
to support Applicant and Sub-applicant status as a small and impoverished 
community, if appropriate, for Federal cost share of up to 90% (See Section 1.7, Cost 
Share Requirements). Provide an Approved Indirect Cost Agreement, if applicable; 
6. 
Properties: Ensure that all of the properties, including alternatives, in each project 
sub-application are included, if applicable; and 
7. 
Assurance and Certifications: Complete the Assurances. Non-Construction 
Programs, FEMA Form 20-16A, if applicable; Certification Regarding Lobbying; 
Debarment, Suspension and Other Responsible Matters; and Drug-Free Workplace 
Requirements, FEMA Form 20-16C; and Disclosure of Lobbying Activities, Standard 
Form LLL, if applicable. 
1.7 COST SHARE REQUIREMENTS 
FEMA will contribute up to 75% of the total amount approved under the grant award to 
implement approved activities. At least 25% of the total eligible costs must be provided from a 
non-Federal source. Funding is restricted to a maximum of $3 million Federal share per each 
project sub-application and $1 million Federal share per each planning sub-application (See 
Section 1.3.4, Program Restrictions). 

1.7.1 SMALL AND IMPOVERISHED COMMUNITIES 
Grants awarded to “small and impoverished communities” may receive a Federal cost share 
of up to 90% of the total amount approved under the grant award to implement eligible 
approved activities in accordance with the Stafford Act. Documentation must be submitted 
with the sub-application to support the eligibility for a higher FEMA cost share. If 
documentation is not submitted with the sub-application, then FEMA will provide no more 
than 75% of the total eligible costs. 

A small and impoverished community must meet all of the following criteria: 

. 
Must be a community of 3,000 or fewer individuals that is identified by the State as a 
rural community, and is not a remote area within the corporate boundaries of a larger 
city; 

. 
Must be economically disadvantaged, with residents having an average per capita 
annual income not exceeding 80% of the national per capita income, based on best 
available data. (The Department of Commerce Bureau of Economic Analysis (BEA) 
website states that the per capita personal income for the United States in 2003 was 
$31,619.) More up-to-date information may be used. Please see the BEA web site at: 

http://www.bea.gov; 

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. 
Must have a local unemployment rate that exceeds by one-percentage point or more 
the most recently reported, average yearly national unemployment rate. (According to 
the U.S. Bureau of Labor Statistics (USBL), the current average unemployment rate 
for 2005 is 5.2%. For up-to-date information, please see the USBL web site located 
at: http://stats.bls.gov/; and 

. 
Must meet any other factors as determined by the State/Tribe/Territory in which the 
community is located. 

1.7.2 NON-FEDERAL COST SHARE 
The non-Federal cost share must be in direct support of the approved activities and must be 
an eligible cost for PDM funding. All contributions, cash and in-kind or any combination 
thereof, may be accepted as part of the non-Federal cost share. In lieu of requesting pre-
award costs, Applicants and Sub-applicants may submit eligible costs incurred prior to award 
but after the PDM application period has opened as their non-Federal cost share. Indirect 
costs may be included as part of the total project cost however, indirect costs in excess of the 
10% management costs limit may not be used as part of the cost share (See Section 2.1, 
Eligible Management Cost Activities). 

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

. 
Department of Housing and Urban Development Community Development Block 
Grant (CDBG) monies if used for property acquisition projects as long as the 
projects are eligible under the CDBG program; 

. 
The U.S. Small Business Administration loan funds and the U.S. Department of 
Agriculture’s Farm Service Agency loan funds, which lose their Federal identity once 
the loan is approved; 

. 
Tribal Health Services 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; 

. 
Appalachian Regional Commission funds per Section 302(a)(3) of the Appalachian 
Regional Development Act of 1965; 

. 
Funds derived from Title III of the Secure Rural Schools Act (P.L. 106-393) so long 
as the use also is consistent with the purposes of that Act; and 

. 
The NFIP Increased Cost of Compliance (ICC) claim payment from previous flood 
events to the extent that the period for making such a claim remains open. 

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1.7.2.1 COST SHARE DOCUMENTATION 
Requirements for in-kind contributions can be found in 44 C.F.R. Part 13.24. In-kind 
contributions must be comprised of eligible program costs. The following documentation 
is required for third-party cash and in-kind contributions: 

. 
Record of donor; 

. 
Dates of donation; 

. 
Rates for staffing, equipment or usage, supplies, etc.; 

. 
Amounts of donation; and 

. 
Deposit slips for cash contributions. 

According to 44 Code of Federal Regulation 13.24, this documentation is to be held at the 
Applicant and Sub-applicant level. 

FEMA REVIEW, NATIONAL RANKING, NATIONAL EVALUATION, AND 

NATIONAL TECHNICAL REVIEW 

1.8.1 FEMA REVIEW 
FEMA will review all planning (See Section 3.8.1, FEMA Review) and project (See Section 
4.10.1, FEMA Review) sub-applications to ensure Eligibility and Completeness. Sub-
applications that do not satisfy either the Eligibility or Completeness requirements will be 
removed from consideration. 

For the 2007 competitive PDM program, each State will receive at least $500,000 provided 
the sub-applications for at least that amount are submitted that meet all the eligibility 
requirements of the program as stated in this guidance. FEMA will select for further review 
sub-applications to States for at least $500,000, subject to the eligibility requirements. If the 
amount of eligible sub-applications within a State exceeds $500,000, FEMA will select for 
further review the first $500,000 of sub-applications in the order of the most competitive 
within the State. If the State does not submit eligible sub-applications for at least $500,000 
the State will not receive the minimum $500,000. All remaining eligible sub-applications 
will compete nationally for the remaining PDM funds. 

1.8.2 NATIONAL RANKING 
FEMA will score all eligible mitigation planning and project sub-applications on the basis of 
predetermined, objective, quantitative factors (See Section 2.4, National Ranking and 
Evaluation and Section 3.8.2, National Ranking) to calculate a National Ranking Score for 
each sub-application. Applicant management cost sub-applications will not be scored but will 
be awarded based on planning and project sub-applications awarded for each Applicant (See 
Section 2, Applicant Management Costs).All mitigation planning and project sub-
applications will be sorted in descending order based on National Ranking Scores. FEMA 
will forward from the National Ranking to the National Evaluation the highest scoring sub-

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applications representing no less than 150% of available funds. FEMA may also include 
the two highest scoring sub-applications from tribal Applicants in the National Evaluation, if 
not already included in the 150%. In addition, all eligible sub-applications from small and 
impoverished communities will be forwarded to the National Evaluation. 

1.8.3 NATIONAL EVALUATION 
National panels chaired by FEMA and composed of representatives from FEMA 
Headquarters and Regions, other Federal agencies, States, Territories, Federally-recognized 
Indian tribal governments, and local governments will convene to evaluate the mitigation 
planning and project sub-applications forwarded from the National Ranking. Evaluators will 
score sub-applications based on predetermined qualitative factors (See Section 2.4, National 
Ranking and Evaluation and Section 4.10.3, National Evaluation) to calculate a National 
Evaluation Score for each sub-application. 

FEMA will ensure that panel evaluations are conducted consistently and fairly with no 
conflicts of interest. All mitigation planning and project sub-applications will be granted 
equal consideration during the National Evaluation regardless of their National Ranking 
Score. Applicant management cost sub-applications will not be scored but will be awarded 
based on planning and project sub-applications awarded for each Applicant (See Section 2, 
Applicant Management Costs). After the National Evaluation is completed, all planning and 
project sub-applications will be sorted in descending order based on National Evaluation 
Scores. 

1.8.4 TECHNICAL REVIEW 
FEMA will conduct the following technical reviews (See Section 4.10.4, Technical Review) 
for the highest scoring project sub-applications representing no less than 150% of available 
funding: 

. 
BCA; and 

. 
Engineering Feasibility. 

Project sub-applications that do not meet cost-effectiveness and engineering feasibility 
requirements will be removed from consideration and will not be selected for further review. 

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SELECTION, FEMA PRE-AWARD ACTIVITIES, AND AWARDS 

1.9.1 SELECTION 
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-
applications from each State in order until the projects and/or plans within a State are at least 
$500,000. 

Second, all remaining eligible sub-applications (including those from Indian tribal 
governments) 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 or a guarantee of an award. 

1.9.2 FEMA PRE-AWARD ACTIVITIES 
After selection and prior to grant award, FEMA Regional Offices will work with Applicants 
who have mitigation planning and project sub-applications selected for further review to 
implement required pre-award activities, such as verifying Applicant and Sub-applicant 
commitments and understanding of grant terms. FEMA also may, at its discretion, request 
information or documentation from Applicants to support certain planning or project sub-
applications as part of pre-award activities (See Section 3.9, FEMA Pre-award Activities and 
Section 4.11, FEMA Pre-award Activities). Applicants must respond to requests for 
information from the FEMA Regional Offices regarding their sub-applications within the 
specified timeframe. Please note that pre-award activities are not considered notification or 
guarantee of an award. 

FEMA will complete the Environmental/Historic preservation compliance review for 
projects selected for further review as part of pre-award activities (See Section 4.11, FEMA 
Pre-award Activities). Project sub-applications will not be awarded and projects can not be 

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initiated until FEMA has completed the Environmental/Historic Preservation review. 
Additional compliance information for the Environmental/Historic Preservation review is 
available at http://www.fema.gov/plan/ehp/index.shtm. 

1.9.3 AWARDS 
Regional Offices will provide an award package to the Applicant for successful sub-
applications once pre-award activities are completed. An award package consists of an award 
letter, 76-10a, and Articles of Agreement that must be signed by the Applicant and returned 
to FEMA for approval before funds can be awarded. The Applicant must agree to abide by 
the grant award terms and conditions as set forth in the Articles of Agreement. Draft Articles 
of Agreement, CFDA #97.017, for the PDM program are available on the website: 
http://www.fema.gov/government/grant/pdm/index.shtm or from the Regional Offices (See 
Section 1.14, Regional Contact Information). 

If an Applicant or Sub-applicant does not accept an award, FEMA may select additional 
eligible planning and project sub-applications for further review (See Section 1.9.1, 
Selection) in the order they were ranked or return the funds to the National Pre-Disaster 
Mitigation Fund for the next grant cycle. Awarded PDM planning and project sub-
applications will be listed on the FEMA website: 
http://www.fema.gov/government/grant/pdm/index.shtm. 

1.9.4 NOTIFICATION OF STATUS OF SUB-APPLICATIONS 
FEMA will notify Applicants of sub-applications that do not satisfy Eligibility and 
Completeness requirements (See Section 1.8.1, FEMA Review); sub-applications that are not 
forwarded to National Evaluation following the National Ranking (See Section 1.8.2, 
National Ranking); project sub-applications that do not meet cost-effectiveness and 
engineering feasibility requirements (See Section 1.8.4, Technical Review), and sub-
applications that are not selected for further review by the Approving Federal Official (See 
Section 1.9.1, Selection). 

Additional eligible planning and project sub-applications may be selected for further review 
(See Section 1.9.1, Selection) as additional funds become available after reconsideration 
requests have been analyzed (See Section 1.10, Reconsideration), awards are not accepted 
(See Section 1.9.3, Awards), award amounts are reduced, or additional funds are appropriated 
to the National Pre-Disaster Mitigation Fund. Eligible planning and project sub-applications 
will be sorted by National Evaluation Score, and the highest scored sub-applications will be 
selected in order up to the amount of funds available. 

1.10 RECONSIDERATION 
At its discretion, FEMA may review a decision regarding a planning or project sub-application 
that does not meet PDM requirements only where there is an indication of material, technical, or 
procedural error that may have influenced FEMA’s decision. As PDM grants are awarded on a 
competitive basis, FEMA will not consider new information provided in the request for 
reconsideration. FEMA encourages Applicants to incorporate any new information into 
applications for future grant cycles. There will be no reconsideration regarding the amount of 
Applicant management costs (See Section 2, Applicant Management Costs). In addition, 

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Applicants who are not awarded any PDM funds may not receive reimbursement for 
management costs. 

Applicants must send requests for reconsideration based upon material, technical, or procedural 
error to the FEMA Regional Director within 60-calendar days of the date of notification of 
FEMA’s decision. The Regional Director will analyze the reconsideration request and make a 
recommendation to the Director of the Mitigation Division at Headquarters or his designee. 
FEMA’s decision to uphold or overturn a decision regarding a sub-application that does not meet 
PDM requirements is final. 

A small percentage of funds will be set aside to fund additional planning and project sub-
applications after reconsideration requests have been analyzed. FEMA may convene a panel to 
determine the National Evaluation Score (See Section 1.8.3, National Evaluation), if necessary, 
for any sub-applications that FEMA overturns a decision. Overturned sub-applications and the 
remaining eligible planning and project sub-applications will be sorted by National Evaluation 
Score, and the highest scored sub-applications will be selected for further review up to the 
amount of funds available (See Section 1.9.1, Selection, Section 1.9.2, FEMA Pre-award 
Activities, and Section 1.9.3, Awards). Remaining funds may be used to fund additional eligible 
sub-applications on the waiting list or returned to the National Pre-Disaster Mitigation Fund for 
use in the next grant cycle. 

1.11 PERFORMANCE PERIOD 
The performance period is the period of time specified in the Agreement Articles (see Draft Pre-
Disaster Mitigation Agreement Articles, available on the PDM web page: 
http://www.fema.gov/government/grant/pdm/index.shtm or from the FEMA Regional Offices) 
during which the Applicant and Sub-applicant is expected to complete the grant/sub-grant 
activities and to incur and expend funds approved for the PDM grant. The performance period 
for the grant shall begin on the date that the grant is awarded and end on the last day of the 
performance period of the longest sub-grant awarded to the Applicant. Neither planning sub-
grants nor project sub-grants may be awarded with a performance period exceeding three years 
(See Section 1.3.4, Program Restrictions). Planning and project sub-applications that propose a 
work schedule in excess of three years will not be accepted. 

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

1.12 EXTENSIONS 
Requests for extensions to the performance period will be considered but will not be 
automatically approved. In accordance with FEMA's Financial and Acquisition Management 
Division’s Extension Policy, the Regional Office may extend the performance period up to one 
year. Requests for a period of performance extension must be submitted in writing to the 
Regional Director and must be supported by adequate justification in order to be processed. This 
justification is a written explanation of the reason or reasons for an extension and must 
demonstrate that work is in progress and will be completed within the extended period of 
performance. 

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The justification must address the following areas to enable the review of extension requests: 

1. 
Submission Date: The request must be submitted at least 60-calendar days prior to the 
expiration date of the performance period; 
2. 
Reason for Delay: Identify the status of the activity and give a brief description for the 
delay (e.g., weather conditions); 
3. 
Budget: Identify the remaining funds, both FEMA share and local cost share, available 
for the extended period and outline how the funds will be used. Identify sources of 
additional funding if remaining FEMA funds and cost share will not support the 
extension request; 
4. 
Plan for Completion: Identify the objectives necessary to complete the activity, 
completion date for each objective, and list the position/person responsible for oversight 
of completion of the activity; 
5. 
Completion Date: Identify the projected completion date for the activity; and 
6. 
No change of scope: Provide a certification that the activity will be completed within the 
extended period without any modification to the original Scope of Work (SOW) 
approved by FEMA. 
If a second extension becomes necessary, then the Grantee must submit an additional formal 
written request to the FEMA Regional Director. As with the first request, the second extension 
request must be made no later than 60-calendar days prior to the expiration of the initially 
extended period of performance and must include a justification for the extension that addresses 
the six items noted above. Per FEMA policy, the second extension request is sent from the 
FEMA Region to FEMA Headquarters for consultation and review. 

Should any sub-grant performance period be extended, the grant performance period will be 
extended as well; however, the extension should be conditioned so that all completed sub-grants 
are closed out within their individual performance periods. The total extended period of 
performance for planning and project sub-grants shall not exceed five years. 

1.13 REPORTING REQUIREMENTS 
The following reports are required from Grantees: 

1.13.1 FEDERAL CASH TRANSACTION REPORTS 
If the Grantee uses the Health and Human Services (HHS) Payment Management System-
SMARTLINK, the Grantee shall submit to FEMA a copy of the SF 272, Federal Cash 
Transaction Report submitted to the HHS. 

1.13.2 FINANCIAL STATUS REPORTS 
The Grantee shall submit Financial Status Reports, FF 20-10, to the FEMA Regional Office 
within 30-days from the end of the first Federal quarter following the initial grant award. The 
Regional Director may waive the initial report. The Grantee shall submit quarterly financial 

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status reports thereafter until the grant ends. Reports are due on January 30, April 30, July 30, 
and October 30. 

Financial Quarterly Reports will be available for completion in the eGrants system. Financial 
reports must include the activity name or other identification, expenditures, and payment-todate 
information (reference 44 C.F.R. Part 13.40 “Monitoring and Reporting” for additional 
information). 

Note: The Regional Director may suspend draw downs from the HHS/Payment Management 
System-SMARTLINK if quarterly financial reports are not submitted on time. 

1.13.3 PERFORMANCE REPORTS 
The Grantee shall submit performance/progress reports for each grant award to the FEMA 
Regional Office within 30-days from the end of the first Federal quarter following the initial 
grant award. The Regional Director may waive the initial report. The Grantee shall submit 
quarterly performance/progress reports thereafter until the grant ends. Reports are due on 
January 30, April 30, July 30, and October 30. 

Quarterly Performance Reports will be available for completion in the eGrants system. 
Performance/progress reports must include the activity name or other identification as well 
as: 

. 
Describe significant activities and developments that have occurred that show 
performance during the quarter, including a comparison of actual accomplishments to 
the objectives established in the sub-application; 

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

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

1.13.4 FINAL REPORTS 
The Grantee shall submit a Final Financial Status Report and Performance Report within 90days 
from Grant Award Performance Period expiration date, per 44 C.F.R. Part 13.50 
available on the web at: http://www.whitehouse.gov/omb/grants/sf272.pdf. Final Financial 
and Performance Reports will be available for completion in the eGrants system. 

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

FEMA Region I - Serving Connecticut, Maine, Massachusetts, New Hampshire, Rhode 
Island, and Vermont: 99 High Street, 6th Floor, Boston, MA 02110-2356. (617) 832-4761 / 

(617) 956-7559 
FEMA Region II - Serving New York, New Jersey, Puerto Rico, and the U.S. Virgin 

Islands: 26 Federal Plaza, Suite 1337, New York, NY 10278-0002. (212) 680-3600 

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

FEMA Region IV - Serving Alabama, Florida, Georgia, Kentucky, Mississippi, North 
Carolina, South Carolina, and Tennessee: 3003 Chamblee Tucker Road, Atlanta, GA 303414112. 
(770) 220-5400 

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

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

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

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

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

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

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SECTION 2 APPLICANT MANAGEMENT COSTS 


Applicants may apply for a maximum of 10% of the total funds requested in their PDM grant 
application budget (Federal and non-Federal shares) for management costs to support the 
planning and project sub-applications included as part of their PDM grant application. 
Applicants requesting Applicant management costs must submit a separate Management Costs 
sub-application in eGrants, or the funds requested will not be considered. Applicants may not 
request Sub-applicant management costs in their own planning or project sub-applications under 
any circumstance. 

2.1 ELIGIBLE MANAGEMENT COST ACTIVITIES 
Eligible management cost activities include: 

. 
The solicitation, review, and processing of PDM planning and project sub-applications 
and sub-grant awards; 

. 
Providing technical assistance to Sub-applicants regarding BCA and 
Environmental/Historic Preservation documentation; 


. 
Geocoding mitigation projects selected for further review (See Section 4.3, Mitigation 
Project Requirements); 

. 
Delivery of technical assistance (e.g., plan reviews, planning workshops) intended to 
support the implementation of planning and project activities; 

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

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

. 
Hiring staff to perform the above activities. 

Management cost activities must be consistent with Office of Management and Budget Circular 
A-87, Cost Principles for State and Local Governments. 

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

2.1.1 PRE-AWARD MANAGEMENT COSTS 
Eligible management costs incurred prior to the grant award, but after the PDM application 
period has opened, are identified as pre-award management costs. FEMA may allow pre-
award management costs at its discretion and as funds are available. In most cases, 
Applicants may be reimbursed for eligible pre-award management costs incurred prior to 
award but after the PDM application period has opened. Eligible pre-award management 

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costs should be included as separate line items in the Cost Estimate for the management cost 
sub-application. 

In lieu of requesting pre-award management costs, Applicants may submit eligible 
management costs incurred prior to award but after the PDM application period has opened 
as their non-Federal cost share (See Section 1.7.2, Non-Federal Cost Share). 

2.2 COST SHARE 
Management costs must be cost shared with a non-Federal share of at least 25%. For example, an 
Applicant with planning and project sub-applications totaling $1 million (Federal and non-
Federal shares) may apply for up to $100,000 Applicant management cost with a Federal share 
of $75,000. An exception is when the Applicant can demonstrate its status as a small and 
impoverished community. In that case, the Federal cost share may increase up to 90% (See 
Section 1.7.1, Small and Impoverished Communities) with a corresponding decrease in the 
required non-Federal share. 

2.3 APPLICANT MANAGEMENT COST SUB-APPLICATION CHECKLIST 
Applicants must provide the following in their management cost sub-application in order to be 
eligible for consideration: 

1. 
Applicant Information: Provide name, type, and State of the Applicant, State and 
Federal tax numbers, and Federal Employer Identification Number; 
2. 
Contact Information: Provide the name, agency, and address for the point of contact for 
the Technical Assistance/Management Cost sub-application; 
3. 
Community Information: Indicate the entity that will benefit from the sub-application 
(use “Statewide”); 
4. 
Mitigation Plan Information: Indicate whether the Applicant is covered by a FEMA-
approved State/tribal Standard or Enhanced hazard mitigation plan; 
5. 
Mitigation Activity Information: Indicate the type, intent and title of the proposed 
activity; 
6. 
Hazard Information: Describe the area to be covered and identify the source of the 
hazards to be addressed by the activity; 
7. 
Scope of Work: Describe the goals and objectives of the activity and how they will be 
implemented, including timeline/schedule/milestones; 
8. 
Cost Estimate: Provide all anticipated and potential costs for each activity, including 
Federal and non-Federal shares, including an Approved Indirect Cost Agreement, if 
applicable. Indicate all pre-award costs as separate line items; 
9. 
Match Sources: Provide the non-Federal cost share for the proposed activity, including 
documentation to support the non-Federal cost share and Applicant status as a small and 
impoverished community, if appropriate, for Federal cost share of up to 90% (See Section 
1.7, Cost Share Requirements); 
10. Cost-Effectiveness Information: Management costs are exempt from a BCA; and 
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11. Assurances and Certifications: Complete the Summary Sheet for Assurances and 
Certification, FEMA Form 20-16; Assurances-Non-Construction Programs, FEMA Form 
20-16A; Certification Regarding Lobbying; Debarment, Suspension and Other 
Responsible Matters; Drug-Free Workplace Requirements, FEMA Form 20-16C; and 
Disclosure of Lobbying Activities, Standard Form LLL, if applicable. 
2.4 NATIONAL RANKING AND EVALUATION 
Applicant management costs will factor into neither the National Ranking nor the National 
Evaluation of planning or project sub-applications (See Section 1.8.2, National Ranking and 
Section 1.8.3, National Evaluation). 

2.5 SELECTION AND AWARD 
Applicant management costs will be approved for 10% of the total amount awarded (Federal and 
non-Federal shares) for the Applicant’s planning and project sub-grants, or the amount of 
management costs requested by the Applicant, whichever is less (See Section 1.9.1, Selection). 
There are no exceptions. FEMA may award management costs with the initial planning/project 
award and then amend an Applicant’s grant to increase management costs if and when additional 
planning/project sub-applications are awarded, or decrease management costs if any planning or 
project sub-applications are not awarded (See Section 2.1, Eligible Management Cost Activities). 
As part of the pre-award review process, the FEMA Regional Office will review all open PDM 
grants to ensure that all required reports have been submitted in a timely manner (See Section 
1.13, Reporting Requirements). Applicants who are not awarded PDM funds will not receive 
reimbursement for management costs. 

2.6 PERFORMANCE PERIOD 
The performance period for the Applicant management costs sub-grant shall begin on the date 
that the management costs sub-grant is awarded and end on the last day of the performance 
period for the grant (See Section 1.11, Performance Period). 

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SECTION 3 MITIGATION PLANNING SUB-APPLICATION GUIDANCE 


Mitigation plans are the foundation for effective hazard mitigation. The hazard mitigation plan is 
a demonstration of the commitment to reduce risks from natural hazards and serves as a guide for 
decision makers as they commit resources. Applicants/Sub-applicants must complete a planning 
sub-application for mitigation planning activities proposed for PDM funding. 

The PDM program is FEMA’s primary mechanism to provide grant assistance for mitigation 
planning. Therefore, States, Federally-recognized Tribal governments, local governments, and 
public colleges and universities are encouraged to submit planning sub-applications for the PDM 
program in order to develop, upgrade or comprehensively update their mitigation plans which, 
when approved by FEMA, will maintain their eligibility for future FEMA funding including 
PDM project grants. 

3.1 ELIGIBLE MITIGATION PLANNING ACTIVITIES 
Planning activities that develop State, tribal, local, and university hazard mitigation plans that 
meet planning criteria outlined in 44 C.F.R. Part 201 are eligible for the PDM program (See 
Section . The outcome of a mitigation planning grant award must result in an adopted FEMA-
approved hazard mitigation plan within three years of award (See Section 3.10, Performance 
Period). Therefore, it is essential that the SOW include sufficient time and resources for FEMA 
plan review, incorporation of needed revisions, plan adoption, and FEMA approval (See Section 
3.4, Scope of Work). 

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). Hazard mitigation planning 
activities must primarily focus on natural hazards but may also address hazards caused by 
manmade events. Plans may be either single or multi-jurisdictional. Countywide or multi-
jurisdictional hazard mitigation plans may be submitted for funding, as many mitigation issues 
are better resolved by evaluating hazards in a more comprehensive fashion. Funding is restricted 
to a maximum of $1 million Federal share per planning sub-application. 
3.1.1 NEW PLAN DEVELOPMENT 
A new hazard mitigation plan to meet 44 C.F.R. Part 201 requirements is appropriate for: 

. 
Jurisdictions at risk from a single or multiple natural hazards for which they can 
identify viable mitigation actions and with no existing hazard mitigation plan; and 

. 
Jurisdictions with existing hazard mitigation plans that do not fully address the 44 

C.F.R. Part 201 criteria (e.g., Flood Mitigation Assistance plan, Community Rating 
System plan). 
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3.1.2 UPGRADE 
A plan upgrade of an existing hazard mitigation plan compliant with 44 C.F.R. Part 201 is 
appropriate for: 

. 
States/Tribes/Territories with a Standard hazard mitigation plan preparing an 
Enhanced hazard mitigation plan; 


. 
Tribal Governments with a local hazard mitigation plan preparing a tribal 
Standard/Enhanced hazard mitigation plan; and 


. 
Local jurisdictions that participated in a multi-jurisdictional hazard mitigation plan 
preparing a single-jurisdictional hazard mitigation plan. 

Plan upgrades may include risk assessment activities as described in Section 3.1.4, Risk 
Assessment. 

3.1.3 COMPREHENSIVE REVIEW AND UPDATE 
A comprehensive review and update of an existing hazard mitigation plan is appropriate for 
States, tribal governments, and local jurisdictions to meet the three or five year requirements 
under 44 C.F.R. Part 201. In addition, eligible activities may include: 

. 
Address data deficiencies identified in a previously approved hazard mitigation plan. 
The updated hazard mitigation plan may include a revised risk assessment, but must 
include a modified mitigation strategy and specific, related actions items. The 
planning sub-application must cite the location(s) in the current approved hazard 
mitigation plan where the data deficiencies are being addressed; 

. 
Address process limitations such as participation, public input and plan maintenance 
already identified in a previously approved hazard mitigation plan. The planning sub-
application must cite the location(s) in the current approved hazard mitigation plan 
where the process limitations are being addressed; and 

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

Comprehensive review and updates to hazard mitigation plans may include risk assessment 
activities as described in Section 3.1.4, Risk Assessment. 

3.1.4 RISK ASSESSMENT 
Risk assessment activities, including the use of HAZUS and Geographic Information 
Systems (GIS), may be submitted as part of a planning sub-application. Risk assessment 
activities may include the mapping of hazards, (with the exception of flood mapping, (See 
Section 3.2, Ineligible Mitigation Planning Activities), at-risk structures, including critical 
facilities, and repetitive flood loss structures, the location of at risk structures, land use, and 
populations. However, these limited mapping activities must be completed as part of a risk 
assessment and must lead to a new or appropriately amended mitigation strategy that 
addresses actions derived from the new information. All grants must lead to an approved 
plan. The most complex and difficult task in the plan development can be the risk 
assessment. Therefore, if Applicants or Sub-applicants only need assistance in completing 

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this section of the plan, and they are applying for PDM grant assistance, the application must 
also indicate how the rest of the plan will be completed. In fact, Applicants and Sub-
applicants are encouraged to complete the mitigation strategy and the rest of the plan using in 
house resources, and contract out only the risk assessment portion of the plan development. 
Mapping activities must be identified as separate line items in the Cost Estimate (see Section 
3.5, Cost Estimate). 

Mapping activities must not duplicate eligible mapping activities available under any other 
Federal program or agency, such as NFIP flood mapping activities (See Section 1.3.4, 
Program Restrictions). Applicants/Sub-applicants are required to make use of already 
developed materials and to seek available resources, such as State mapping initiatives and 
GIS resource repositories, and: 

. 
FEMA’s Hazard Mapping Initiative: 

http://msc.fema.gov/webapp/wcs/stores/servlet/CategoryDisplay?storeId=10001&cata 

logId=10001&langId=


1&categoryId=12001&parent_category_rn=12001&type=1&stateId=&countyId=&co 

mmunityId=&stateName=&countyName=&communityName=&dfirm_kit_id=&dfir 

mCatId=null&isCountySelected=null&isCommSelected=null&userType=G&urlUser 

Type=G&sfc=0&cat_state; 

. 
U.S. Geological Survey (USGS) National Map View: http://nationalmap.usgs.gov; 
and 

. 
FEMA’s Hazards U.S. (HAZUS): 
http://www.fema.gov/plan/prevent/hazus/index.shtm. 


Risk assessment activities must be identified as separate line items in the Cost Estimate (See 
Section 3.5, Cost Estimate) for the planning sub-application in order to be considered. 

3.1.5 INFORMATION DISSEMINATION 
Sub-applicants may apply for up to 10% of the funds requested for their mitigation planning 
sub-application for information dissemination activities. These activities may include: public 
awareness, education, public notices, marketing and outreach and must relate directly to the 
planning sub-application. Information dissemination activities should be identified as 
separate line items in the Cost Estimate (See Section 3.5, Cost Estimate) for the planning 
sub-application. 

3.1.6 SUB-APPLICANT MANAGEMENT COSTS 
Sub-applicants may include a maximum of 5% of the total funds requested (Federal and non-
Federal shares) for their planning sub-application for management costs to support the 
planning activities. Sub-applicant cost activities must be consistent with the Office of 
Management and Budget Circular A-87, Cost Principles for State and Local Governments. 
Sub-applicants requesting management costs should provide supporting documentation and 
include these costs as separate line items in the Cost Estimate (See Section 3.5, Cost 
Estimate) for the planning sub-application. Applicants may not request Sub-applicant 

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management costs in their own planning sub-applications under any circumstance (See 

Section 2, Applicant Management Costs). 

Indirect costs, if requested, must be included as part of the Sub-applicant management costs, 
not to exceed 5% of the total cost of the planning sub-application. Indirect costs in excess of 
the 5% management costs limit may not be used as the non-Federal cost share. There will be 
no exception to permit the increase in Sub-applicant management costs, and in no case will 
the total Federal share for any planning activity, including management costs, exceed $1 
million. Indirect costs must be supported with current Indirect Cost Rates approved by a 
Federal Cognizant Agency. 

3.1.7 PRE-AWARD PLANNING COSTS 
Eligible planning costs incurred prior to the grant award, but after the PDM application 
period has opened, are identified as pre-award planning costs. FEMA may fund pre-award 
planning costs at its discretion and as funds are available. Applicants and Sub-applicants may 
be reimbursed for pre-award planning costs for activities directly related to the development 
of the proposed planning activity, such as workshops, meetings and data collection. Pre-
award planning costs should be identified as separate line items in the Cost Estimate (See 
Section 3.5, Cost Estimate) for the planning sub-application. 

In lieu of requesting pre-award planning costs, Applicants and Sub-applicants may submit 
eligible costs incurred prior to award but after the PDM application period has opened as 
their non-Federal cost share (See Section 1.7.2, Non-Federal Cost Share). 

3.2 INELIGIBLE MITIGATION PLANNING ACTIVITIES 
In addition to the specific ineligible planning activities listed below, any planning effort that 
duplicates benefits received for the same purpose (i.e., an existing planning grant that has 
not closed prior to the PDM application deadline) (See Section 1.3.4.2, Duplication of Benefits) 
or that is within the primary authority of another Federal program (See Section 1.3.4.3, 
Duplication of Programs) will be considered ineligible. 

The following planning activities are not eligible for the PDM grant program: 

. 
Flood studies or flood mapping; 

. 
Mapping activities that are not part of a risk assessment; 

. 
Risk assessments, technical assistance, studies, or workshops not resulting in a FEMA-
approved hazard mitigation plan; 

. 
Information dissemination activities exceeding 10% of the total cost of the planning sub-
application or that are not tied directly to a PDM planning sub-application; 

. 
Any ground disturbing activity that would initiate the environmental review and 
compliance process; 


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


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. 
Limited revisions and amendments that do not result in a comprehensive hazard 
mitigation plan update. 


3.3 MITIGATION PLAN REQUIREMENTS 
Planning activities must meet the following criteria: 

. 
The outcome of a mitigation planning sub-grant award must be a FEMA-approved hazard 
mitigation plan that complies with the requirements of 44 C.F.R. Part 201. Hazard 
mitigation plans must be reviewed, adopted by the jurisdiction, and FEMA-approved 
before the end of the performance period (See Section 3.10, Performance Period); 

. 
For Sub-applicants, a completed Local Plan Review Worksheet available on the FEMA 
website: http://www.fema.gov/plan/mitplanning/guidance.shtm or from the Regional 
Office (See Section 1.14, Regional Contact Information) must be submitted to FEMA 
with the hazard mitigation plan, demonstrating that all criteria required for approval have 
been addressed within the hazard mitigation plan; 

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

. 
Mitigation planning activities must focus primarily on natural hazards but also may 
address hazards caused by manmade forces; 

. 
Local, multi-jurisdictional, or college/university planning activities must be consistent 
with the goals and objectives identified in the Applicant’s hazard mitigation plan; 

. 
Planning activities to upgrade or comprehensively update an existing FEMA-approved 
hazard mitigation plan must clearly build on the existing hazard mitigation plan and 
result in a significant improvement in quality, detail, and/or involvement of a broader 
range of public and private sector partners; 

. 
Planning activities must be unique to hazard mitigation planning and not primarily 
associated with programs for which another Federal program has the primary authority 
(See Section 1.3.4, Program Restrictions) [e.g., the Natural Resources and Conservation 
Service has primary responsibility for funding watershed management plans]; and 

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

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

The mitigation planning sub-application SOW must describe the development of a hazard 
mitigation plan that complies with FEMA’s regulatory requirements in 44 C.F.R. Part 201. The 

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SOW must first state whether the proposed planning activity will result in an initial hazard 
mitigation plan, upgrade, or comprehensive update of an existing hazard mitigation plan. If the 
latter, the reason(s) for the update (e.g., acquisition of better data, recent disaster activity, 
changes in local growth and development trends) must be provided. 

A mitigation planning SOW should consist of two main elements: a description of the planning 
process and a work schedule for plan development. Both of these elements should clearly 
demonstrate the Applicant’s familiarity with the applicable regulatory requirements and the 
available technical and programmatic guidance. Planning sub-applications that do not include an 
adequate description of the proposed planning activity will be less competitive, or in some cases 
may be removed from consideration. 

A sample outline and content for a planning SOW to assist in developing an adequate description 
of the proposed planning activity is available on the FEMA Mitigation Planning webpage: 
http://www.fema.gov/plan/mitplanning/index.shtm to assist Applicants and Sub-applicants in 
developing planning sub-applications. 

3.4.1 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 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. 

3.4.2 WORK SCHEDULE 
The work schedule should indicate the anticipated timeline for each step of the process and 
should allow sufficient time for State and FEMA review, preparation of any required 
revisions, subsequent reviews, formal plan adoption, and FEMA approval. The application 
will be more competitive if it clearly describes a methodology or process for completing the 
plan within the established schedule. 

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3.4.3 SCOPE OF WORK CHANGES, INCLUDING COST OVERRUNS 
FEMA will not consider changes to the SOW between the close of the application period and 
the completion of the selection process (See Section 1.9.1, Selection) and no changes will be 
approved for cost over-runs. Requests for changes to the SOW after award are permissible as 
long as they do not change the nature of the activity. Requests must be supported by adequate 
justification from the Applicant/Grantee in order to be processed. The justification is a 
description of the proposed change; a written explanation of the reason or reasons for the 
change; an outline of remaining funds available to support the change; and a description of 
the work necessary to complete the activity. All approvals will be at FEMA’s discretion, and 
there is no guarantee that SOW changes will be approved. 

3.5 COST ESTIMATE 
The Cost Estimate describes all anticipated and potential costs associated with the proposed 
planning activity and represents the Sub-applicant’s best estimate of the total value of the 
proposed activity. Sufficient detail should be provided regarding various cost item categories 
such as labor, materials, equipment, subcontract costs, etc, and include anticipated cash and in-
kind (donated) non-Federal cost share. In particular, the labor cost line item must estimate 
anticipated donated in-kind labor from various community agencies and/or other participating 
jurisdictions that will count toward the non-Federal cost share in order to be considered. 

The Cost Estimate must include: 

. 
Costs associated with any mapping activities or risk assessment, information 
dissemination activities, and Sub-applicant management costs: These must be identified 
as separate line items in order to be considered to ensure that cost thresholds for these 
activities are not exceeded (See Section 3.1, Eligible Mitigation Planning Activities); 

. 
Pre-award costs: Indicate all costs that may be incurred prior to grant award but 
subsequent to the PDM application period opening. These should be identified as 
separate line items (See Section 3.1.7, Pre-award Planning Costs); and 


. 
Potential cost under-runs: Indicate any item for which a cost has been over-estimated 
which could result in a cost under-run. (For example, if the quotation received from a 
contractor will increase if the sub-application is not awarded for up to one year after the 
date of the receipt of initial quotation, this cost should be over-estimated and noted as 
such.) 

Back-up documentation for all costs, including the basis for each, (e.g., salary and fringe benefit 
rates for per