97.063 Pre-Disaster Mitigation Disaster Resistant Universities

Published on AidPage by IDILOGIC on Jun 24, 2005

Administered by:

US Federal Government Agency (see all agencies)
Department Of Homeland Security
CFDA #: 97.063

Purpose of this program:

The PDM program assist States and communities to implement a sustained pre-disaster natural hazard mitigation program to reduce overall risk to population, buildings and infrastructure, while also reducing reliance on funding from actual disaster declarations. FEMA is now making available approximately $3.6 million of PDM funds as Disaster Resistant University (DRU) grants to State, local and Tribal governments for pre-disaster mitigation activities that benefit universities.

Possible uses and use restrictions...

The Federal Emergency Management Agency (FEMA) will provide PDM funds to assist universities, through State and local governments, to implement a sustained pre-disaster natural hazard mitigation program to reduce overall risk to facilities, research assets, students and faculty. These funds will be competitively awarded with a National priority of ensuring that program funds benefit a representative range of universities, based on hazard type, size, geography, and academic community served, which includes consideration of Historically Black Colleges and Universities and Tribal Colleges and Universities. Funds are available for hazard mitigation project activities at universities that have demonstrated commitment to such activities through prior Disaster Resistant University efforts, and for planning and project activities for universities that have not undertaken DRU activities. Allowable costs will be governed by 44 CFR Part 13, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments and OMB Circular A-87, Cost Principles for State, Local, and Indian Tribal Governments.

Who is eligible to apply...

Any State, including the District of Columbia, the U.S. Virgin Islands, the Commonwealth of Puerto Rico, Guam, American Samoa, the Trust Territories of the Pacific Islands, and the Mariana Islands, is eligible as well as Indian tribal governments.

Eligible Applicant Categories:
Eligible Functional Categories:

Grant awards will be determined in accordance with OMB Circulars No. A-102, Grants and Cooperative Agreements with State and Local Governments and A-87, Cost Principles for State, Local and Indian Tribal Governments.

Note:This is a brief description of the credentials or documentation required prior to, or along with, an application for assistance.

About this section:

This section indicates who can apply to the Federal government for assistance and the criteria the potential applicant must satisfy. For example, individuals may be eligible for research grants, and the criteria to be satisfied may be that they have a professional or scientific degree, 3 years of research experience, and be a citizen of the United States. Universities, medical schools, hospitals, or State and local governments may also be eligible. Where State governments are eligible, the type of State agency will be indicated (State welfare agency or State agency on aging) and the criteria that they must satisfy.

Certain federal programs (e.g., the Pell Grant program which provides grants to students) involve intermediate levels of application processing, i.e., applications are transmitted through colleges or universities that are neither the direct applicant nor the ultimate beneficiary. For these programs, the criteria that the intermediaries must satisfy are also indicated, along with intermediaries who are not eligible.

How to apply...

Application Procedure:

The State point of contact reviews, prioritizes, and selects from university applicants. The State submits an application to FEMA identifying the eligible mitigation activities for which funding is requested. Applications must be submitted in a paper format, and must include: (1) Standard Form 424, Application for Federal Assistance, (2) FEMA Form 20-15 Budget Information-Construction Programs, (3) FEMA Form 20-20 Budget Information-Non-construction Programs, (4) 20-16(A)-(C) Assurances and Certifications, (5) Standard Form LLL Disclosure of Lobbying Activities, and (6) Program Narrative identifying the activities for which funding is requested, and other applicable documents as described in Section V of the DRU Program Guidance.

Note: Each program will indicate whether applications are to be submitted to the Federal headquarters, regional or local office, or to a State or local government office.

Award Procedure:

The total award is to be used as specified in the approved application. In compliance with Federal laws and executive orders, FEMA will conduct the final environmental review and approval for all activities.

Note: Grant payments may be made by a letter of credit, advance by Treasury check, or reimbursement by Treasury check. Awards may be made by the headquarters office directly to the applicant, an agency field office, a regional office, or by an authorized county office. The assistance may pass through the initial applicant for further distribution by intermediate level applicants to groups or individuals in the private sector.

Deadlines and process...


Applications for FY 2003 PDM/DRU competitive grants must be submitted to the Director of the applicant's respective FEMA Regional Office by the deadline published for submission of applications.

Note: When available, this section indicates the deadlines for applications to the funding agency which will be stated in terms of the date(s) or between what dates the application should be received. When not available, applicants should contact the funding agency for deadline information.

Range of Approval/Disapproval Time

Whenever possible, within 60 days of receipt of the application, the Regional Director will approve or deny the sub-grant activities in writing, to allow the grantee to process the approved sub-grant awards.

Preapplication Coordination

FEMA will allocate the PDM funds annually to each FEMA Region for distribution among the States. FEMA will notify eligible States of the expected funding amounts prior to the beginning of each fiscal year. Local governments should consult the official designated point of contact in their State for more information on the process the State requires to be followed in applying for assistance. This program is excluded from coverage under E.O. 12372.

Note: This section indicates whether any prior coordination or approval is required with governmental or nongovernmental units prior to the submission of a formal application to the federal funding agency.


Not applicable.

Note: In some cases, there are no provisions for appeal. Where applicable, this section discusses appeal procedures or allowable rework time for resubmission of applications to be processed by the funding agency. Appeal procedures vary with individual programs and are either listed in this section or applicants are referred to appeal procedures documented in the relevant Code of Federal Regulations (CFR).


Not applicable.

Note: In some instances, renewal procedures may be the same as for the application procedure, e.g., for projects of a non-continuing nature renewals will be treated as new, competing applications; for projects of an ongoing nature, renewals may be given annually.

Who can benefit...

Eligible Sub-applicants include State agencies, including State universities; Federally recognized Indian Tribal governments; and local governments, to include State recognized Indian Tribes, authorized tribal organizations, and Alaska Native villages, are eligible to apply to the Applicant as Sub-applicants. Private universities are not eligible to apply as Sub-applicants; however, they may request an eligible entity to submit an application for their proposed activity on their behalf.

About this section:

This section lists the ultimate beneficiaries of a program, the criteria they must satisfy and who specifically is not eligible. The applicant and beneficiary will generally be the same for programs that provide assistance directly from a Federal agency. However, financial assistance that passes through State or local governments will have different applicants and beneficiaries since the assistance is transmitted to private sector beneficiaries who are not obligated to request or apply for the assistance.

What types of assistance...

How much financial aid...

Range and Average of Financial Assistance

FEMA is making PDM funds available specifically for mitigation benefiting universities, including awards of approximately $100,000 each for pre-disaster mitigation activities that benefit universities, and additional awards of up to $500,000 each for pre-disaster hazard mitigation activities that benefit universities that have demonstrated commitment to hazard mitigation through prior FEMA-assisted DRU efforts.

Note: This section lists the representative range (smallest to largest) of the amount of financial assistance available. These figures are based upon funds awarded in the past fiscal year and the current fiscal year to date. Also indicated is an approximate average amount of awards which were made in the past and current fiscal years.


(Grants) FY 04 $3,600,000; FY 05 est not available; and FY 05 est not available.

Note: The dollar amounts listed in this section represent obligations for the past fiscal year (PY), estimates for the current fiscal year (CY), and estimates for the budget fiscal year (BY) as reported by the Federal agencies. Obligations for non-financial assistance programs indicate the administrative expenses involved in the operation of a program.

Account Identification


Note: Note: This 11-digit budget account identification code represents the account which funds a particular program. This code should be consistent with the code given for the program area as specified in Appendix III of the Budget of the United States Government.

Examples of funded projects...


About this section

This section indicates the different types of projects which have been funded in the past. Only projects funded under Project Grants or Direct Payments for Specified Use should be listed here. The examples give potential applicants an idea of the types of projects that may be accepted for funding. The agency should list at least five examples of the most recently funded projects.

Program accomplishments...

Presently, under different funding authorities, FEMA selected six pilot universities, Tulane University, University of Alaska/Fairbanks, University of California/Berkeley, University of Miami, University of North Carolina/Wilmington, and University of Washington. These DRUs made great strides to ensure that their campuses are disaster resistant. For example, Building a Disaster Resistant University (Available at http://www.fema.gov/pdf/fima/dru_report.pdf) developed by the University of California/Berkeley, and revised by the University of North Carolina/Wilmington in conjunction with FEMA and the other pilot universities will serve as a guide for universities that seek to become disaster resistant. See report located at http://www.fema.gov/fima/dru.shtm.

Criteria for selecting proposals...

In selecting and prioritizing the local and Indian tribal governments to receive assistance, the State should take into consideration the priorities established in the State Mitigation Plan and relevant criteria under Section 203(g) of the Stafford Act.

Assistance considerations...

Length and Time Phasing of Assistance

Grants are awarded for the total dollar amount, but the release of the funds is on an as-needed basis. The initial performance period for the entire grant shall not exceed 24 months. If performance reports reveal that there is no work in progress implementing the grant or any sub-grant, FEMA will determine whether or not to extend the performance period.

Formula and Matching Requirements

FEMA will contribute up to 75 percent of the cost of activities approved for funding. At least 25 percent of the total eligible costs will be provided from a nonfederal source. Grants awarded to small and impoverished communities may receive a Federal cost share of up to 90 percent of the total cost to implement eligible PDM activities. FEMA has adopted the Environmental Protection Agency's definition for a Small and Impoverished Community, which must meet all of the following criteria: it 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; it must be economically disadvantaged, with residents having an average per capita annual income not exceeding 80 percent of national per capita income, based on best available data; it must have a local unemployment rate that exceeds by one percentage point or more, the most recently reported, average yearly national unemployment rate; and it must meet any other factors identified in the State Plan in which the community is located. All contributions, cash and in-kind, are accepted as part of the nonfederal matching share. Except as allowed by Federal statute, no other Federal grant funds can be used as a match. The following documentation is required for matching contributions: record of source of donor, dates, rates, amounts, and deposit slips (cash contributions only). Requirements for in-kind contributions can be found in OMB Circular A-102, Common Rule, 44 CFR 13.24.

A formula may be based on population, per capita income, and other statistical factors. Applicants are informed whether there are any matching requirements to be met when participating in the cost of a project. In general, the matching share represents that portion of the project costs not borne by the Federal government. Attachment F of OMB Circular No. A-102 (Office of Management and Budget) sets forth the criteria and procedures for the evaluation of matching share requirements which may be cash or in-kind contributions made by State and local governments or other agencies, institutions, private organizations, or individuals to satisfy matching requirements of Federal grants or loans.

Cash contributions represent the grantees' cash outlay, including the outlay of money contributed to the grantee by other public agencies, institutions, private organizations, or individuals. When authorized by Federal regulation, Federal funds received from other grants may be considered as the grantees' cash contribution.

In-kind contributions represent the value of noncash contributions provided by the grantee, other public agencies and institutions, private organizations or individuals. In-kind contributions may consist of charges for real property and equipment, and value of goods and services directly benefiting and specifically identifiable to the grant program. When authorized by Federal legislation, property purchased with Federal funds may be considered as grantees' in-kind contribution.

Maintenance of effort (MOE) is a requirement contained in certain legislation, regulations, or administrative policies stating that a grantee must maintain a specified level of financial effort in a specific area in order to receive Federal grant funds, and that the Federal grant funds may be used only to supplement, not supplant, the level of grantee funds.

Post assistance requirements...


Grantees are required to submit quarterly financial and performance reports. The grantee will also report the progress of each sub-grant award in their quarterly reports, per 44 CFR Part 13.40 and 41. Reports are due 30 days after the end of each quarter. Report dates are January 30, April 30, July 31, and October 30. Final financial and performance reports are due 90 days after the expiration or termination of grant support, per 44 CFR Part 13.50. Reports are to be submitted to the FEMA Regional Director.

Note: This section indicates whether program reports, expenditure reports, cash reports or performance monitoring are required by the Federal funding agency, and specifies at what time intervals (monthly, annually, etc.) this must be accomplished.


In accordance with the provisions of OMB Circular No. A- 133 (Revised, June 27, 2003), Audits of States, Local Governments, and Nonprofit Organizations, nonfederal entities that expend financial assistance of $500,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $500,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133.

Note: This section discusses audits required by the Federal agency. The procedures and requirements for State and local governments and nonprofit entities are set forth in OMB Circular No. A-133. These requirements pertain to awards made within the respective State's fiscal year - not the Federal fiscal year, as some State and local governments may use the calendar year or other variation of time span designated as the fiscal year period, rather than that commonly known as the Federal fiscal year (from October 1st through September 30th).


Grant records include financial and programmatic records, supporting documents, statistical records, and other records of recipient or sub-recipient which are required to be maintained by 44 CFR Part 13.42, program regulations or the grant agreement. Grant records shall be retained for a period of 3 years from the day the recipient submits its final expenditure report. If any litigation, claim, negotiation, audit, or other action involving the records has been started before the expiration of the 3-year period, the records must be retained until completion of the action and resolution of all issues which arise from it, or until the end of the regular 3-year period, whichever is later.

Note: This section indicates the record retention requirements and the type of records the Federal agency may require. Not included are the normally imposed requirements of the General Accounting Office. For programs falling under the purview of OMB Circular No. A-102, record retention is set forth in Attachment C. For other programs, record retention is governed by the funding agency's requirements.



The Pre-disaster Mitigation (PDM), authorized by Section 203 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (Stafford Act), 42 U.S.C. 5133, as amended by Section 102 of the Disaster Mitigation Act of 2000 (DMA), Public Law 106-390, 114 Stat. 1552.

Note: This section lists the legal authority upon which a program is based (acts, amendments to acts, Public Law numbers, titles, sections, Statute Codes, citations to the U.S. Code, Executive Orders, Presidential Reorganization Plans, and Memoranda from an agency head).

Regulations, Guidelines, And Literature

For fiscal year 2002 funds, awards will be governed by Section 203 of the Stafford Act, the Federal Register Notice of availability of Pre-Disaster Mitigation (PDM) Disaster Resistant Universities (DRU) grants, and program guidance, which will be made available to the public on the FEMA internet site: http://www.fema.gov/fima/dru.shtm. It is anticipated that proposed program regulations will be available in fiscal year 2004 and should be effective for fiscal year 2004 PDM/DRU grants.

Contact information...

Web Sites
Regional Or Local Office

See Additional Contact Information - FMR Help for the list of addresses of Federal Emergency Management Agency Regional Offices.

Note: This section lists the agency contact person, address and telephone number of the Federal Regional or Local Office(s) to be contacted for detailed information regarding a program such as: (1) current availability of funds and the likelihood of receiving assistance within a given period; (2) pre-application and application forms required; (3) whether a pre-application conference is recommended; (4) assistance available in preparation of applications; (5) whether funding decisions are made at the headquarters, regional or local level; (6) application renewal procedures (including continuations and supplementals) or appeal procedures for rejected applications; and (7) recently published program guidelines and material. However, for most federal programs, this section will instruct the reader to consult the so-called Appendix IV of the Catalog due to the large volume of Regional and Local Office Contacts for most agencies. This information is provided in Additional Contact Information (see below).

Headquarters Office

LaBrina Jones, Office of the Director/Administrator, Mitigation Division, FEMA, 500 C Street, SW., Room 404A, Washington, DC 20472, (202) 646-4331 or E-mail: LaBrina.Jones@dhs.gov.

Note: This section lists names and addresses of the office at the headquarters level with direct operational responsibility for managing a program. A telephone number is provided in cases where a Regional or Local Office is not normally able to answer detailed inquiries concerning a program. Also listed are the name(s) and telephone number(s) of the information contact person(s) who can provide additional program information to applicants.

Additional Contact Information (Appendix IV)

Due to the large volume of regional and local office contacts for most agencies, full contact information is also provided separately here in a PDF format: