[Federal Register Volume 68, Number 250 (Wednesday, December 31, 2003)]
[Notices]
[Pages 75606-75611]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-32020]


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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency


Pre-Disaster Mitigation Disaster Resistant University Grants

AGENCY: Federal Emergency Management Agency, Emergency Preparedness and 
Response Directorate, Department of Homeland Security.

ACTION: Notice of availability of Pre-Disaster Mitigation Disaster 
Resistant University grants.

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SUMMARY: The Federal Emergency Management Agency (FEMA) gives notice of 
the availability of Pre-Disaster Mitigation (PDM) Disaster Resistant 
University (DRU) grants. 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 and planning activities at 
universities that have demonstrated commitment to such activities 
through prior DRU efforts, and for planning and project activities for 
universities that have not undertaken DRU activities.

DATES: States, and federally recognized Indian Tribal governments that 
complete grant applications must submit them on paper to the 
appropriate FEMA Regional Office on or before midnight, eastern time, 
March 1, 2004. If the non-Federal cost share requirement cannot be met 
by the application deadline due to pending State and/or local 
legislative approval or fiscal year timelines, the Applicant still must 
submit the application by March 1, 2004, including a notation in the 
Budget Narrative and a letter to the FEMA Regional Director providing 
an explanation and stating that the cost share will be available by 
March 30, 2004. The Applicant must follow-up with a written 
certification to the FEMA Regional Director by March 30, 2004, to 
verify that non-Federal cost share funding is approved and available 
for immediate use if the application is selected by FEMA.

ADDRESSES: FEMA Regional Offices:

FEMA Region I--Serving Maine, New Hampshire, Vermont, Rhode Island, 
Connecticut, and Massachusetts: J.W. McCormack POCH Building, Boston, 
MA 02109.
FEMA Region II--Serving New York, New Jersey, Puerto Rico, and the U.S. 
Virgin Islands: 26 Federal Plaza, Rm. 1307, New York, NY 10278-0001.
FEMA Region III--Serving the District of Columbia, Delaware, Maryland, 
Pennsylvania, Virginia, and West Virginia: 1 Independence Mall, 6th 
Floor, 615 Chestnut Street, Philadelphia, PA 19106-4404.
FEMA Region IV--Serving Alabama, Florida, Georgia, Kentucky, 
Mississippi, North Carolina, South Carolina, and Tennessee: 3003 
Chamblee Tucker Road, Atlanta, GA 30341.
FEMA Region V--Serving Illinois, Indiana, Michigan, Minnesota, Ohio, 
and Wisconsin: 536 S. Clark Street, 6th Floor, Chicago, IL 60605.
FEMA Region VI--Serving Arkansas, Louisiana, New Mexico, Oklahoma, and 
Texas: FRC 800 North Loop 288, Denton, TX 76209-3698.
FEMA Region VII--Serving Iowa, Kansas, Missouri, and Nebraska: 2323 
Grand Avenue, Suite 900, Kansas City, MO 64108-2670.
FEMA Region VIII--Serving Colorado, Montana, North Dakota, South 
Dakota, Utah, and Wyoming: Denver Federal Center, Building 710, Box 
25267, Denver, CO 80225-0267.
FEMA Region IX--Serving Arizona, California, Hawaii, Nevada, the 
Territory of American Samoa, the Territory of Guam, and the 
Commonwealth of the Northern Mariana Islands: 1111 Broadway, Suite 
1200, Oakland, CA 94607-4052.
FEMA Region X--Serving Alaska, Idaho, Oregon, and Washington: Federal 
Regional Center, 130 228th Street, SW., Bothell, WA 98021-9796.

FOR FURTHER INFORMATION CONTACT: 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: [email protected].

SUPPLEMENTARY INFORMATION:

Authority and Appropriations

    The PDM program was 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, to 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.
    $150 million was made available for the PDM grant program under 
Consolidated Appropriations Resolution, 2003, Public Law 108-7, to be 
awarded generally on a competitive basis and without reference to State 
allocations, quotas, or other formula-based allocation of funds. A 
Notice of Funds Availability for the PDM planning grants was published 
on March 3, 2003, at 68 FR 10018. A Notice of Funds Availability for 
the PDM competitive grant program was published on July 7, 2003 at 68 
FR 40284.
    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.

[[Page 75607]]

Background

    PDM Disaster-Resistant University grants are intended to support 
efforts by universities to reduce and manage their vulnerability to 
hazards. Over the past decade, disasters have cost the Federal 
government, private insurers, and universities billions of dollars. 
These costs usually arise from losses due to such impacts as damage to 
university facilities, or education and research interruption. For 
example, the 1989 Loma Prieta earthquake caused Stanford University to 
spend over $300 million in building repairs over 10 years. The PDM DRU 
grant program provides a significant opportunity to raise risk 
awareness and to reduce the Nation's disaster losses at universities 
through pre-disaster mitigation planning, and the implementation of 
planned, pre-identified, cost-effective mitigation measures that are 
designed to reduce injuries, loss of life, and damage and destruction 
of property from all hazards, including damage to critical facilities, 
and research operations.
    In FY 2000, under different funding authorities, FEMA selected six 
DRU pilot universities, which have made significant strides to ensure 
that their campuses are disaster resistant. For example, ``Building a 
Disaster Resistant University'' (Appendix A), a publication that was 
developed and revised by pilot universities in conjunction with FEMA, 
will serve as a guide for universities that seek to become disaster 
resistant. (Guide available at www.fema.gov/fima/dru.shtm).

To build on the success and mitigation efforts of the pilot initiative 
for DRU and to continue supporting past DRU efforts, FEMA is making PDM 
funds available specifically for mitigation benefiting universities, 
including awards of approximately $100,000 each for 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.
    FEMA encourages Historically Black Colleges & Universities (HBCU) 
and Tribal Colleges & Universities (TCU) to participate in PDM DRU 
activities, and encourages States to facilitate HBCU and TCU 
opportunities to improve their disaster resistance through risk 
management tools and other mitigation activities, through their 
respective consortia or individually. FEMA also encourages pilot DRUs 
to build on previous mitigation efforts by identifying and implementing 
mitigation projects that reduce the risk of loss for the university.

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.
    In keeping with the intent of FEMA's overall policy, ``Government-
to-Government Relations with American Indian and Alaska Native Tribal 
Governments,'' published at 64 FR 2095, Jan. 12, 1999, Federally 
recognized Indian Tribal governments may choose to apply for PDM DRU 
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.) Some State regulations prohibit the 
State from acting as an Applicant for an Indian Tribe. In such cases, 
or if the Tribe chooses, the Tribal government may act as its own 
Applicant. However, when legally permitted, Indian Tribal governments 
are encouraged to continue existing relationships with the State as the 
Applicant.

Sub-Applicant Eligibility

    Other 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.
    All Applicants and Sub-Applicants, or the community they are 
located within, must be participating in the National Flood Insurance 
Program (NFIP) if they have been identified through the NFIP as having 
a Special Flood Hazard Area (SFHA) (a Flood Hazard Boundary Map (FHBM) 
or Flood Insurance Rate Map (FIRM) has been issued). In addition, the 
community must not be on probation, suspended or withdrawn from the 
NFIP. If a State university in a SFHA is located within a community, 
and that community lacks jurisdiction to require the university to 
adopt floodplain management plans, the State in which the university is 
located must be in compliance with the floodplain management criteria 
in 44 CFR part 60.

Grant Application Process

    Interested universities and potential Sub-Applicants should consult 
the official designated point of contact in their State or Tribe for 
more information pertaining to their application process.
    It will be the Applicant's responsibility to determine which sub-
applications will be included in their final application to FEMA. The 
Applicant also must prioritize the sub-applications included in its 
application to FEMA. FEMA will use the information transmitted to 
evaluate applications and make award decisions, monitor ongoing 
performance and manage the flow of Federal funds, and to closeout the 
grant award when all work is completed.
    The Applicant will submit a paper application, which can be 
obtained from the FEMA Regional Office. The grant application should 
include:
    [sbull] The Applicant's DUNS number. To obtain a DUNS number call 
1-866-705-5711 or visit www.dunandbradstreet.com.
    [sbull] Application for Federal Assistance, Standard Form 424;
    [sbull] Budget Information--Construction Program, FEMA Form 20-15; 
or
    [sbull] Budget Information--Non-Construction Program, FEMA Form 20-
20;
    [sbull] Budget Narrative explaining cost items that have been 
budgeted;
    [sbull] Summary Sheet for Assurances and Certification, FEMA Form 
20-16;
    [sbull] Assurances--Non-Construction Program, FEMA Form 20-16A; or,
    [sbull] Assurances--Construction Program, FEMA Form 20-16B;
    [sbull] Certification Regarding Lobbying; Debarment, Suspension and 
Other Responsible Matters; and Drug-Free Workplace Requirements, FEMA 
Form 20-16C;
    [sbull] Disclosure of Lobbying Activities, Standard Form LLL;
    [sbull] Approved Indirect Cost Agreement, if applicable;
    [sbull] Documentation for the hazard risk assessment determination. 
This is only required as part of mitigation planning sub-applications 
(see Supplemental Questions);
    [sbull] Complete Benefit-Cost Analysis documentation for mitigation 
projects;
    [sbull] Program Narrative for the sub-application for which PDM DRU 
funding is requested. The Applicant must priority rank each sub-
application included in the Program Narrative based on the Applicant's 
mitigation plan. Only

[[Page 75608]]

one sub-application should be ranked per number 1, 2, 3, etc. The 
Program Narrative should include:
    (1) Individual activity location and name of Sub-Applicant and 
university;
    (2) Timeline/schedule for each activity;
    (3) Individual activity costs, including Federal and non-Federal 
shares;
    (4) Activity-specific scopes of work, including a list of 
properties, if applicable;
    (5) Certification that the Applicant has evaluated the included 
activities, that they meet all PDM/DRU program eligibility criteria 
(see www.fema.gov/fima/dru.shtm), and that they will be implemented in 
accordance with 44 CFR part 13, Uniform Administrative Requirements for 
Grants and Cooperative Agreements to State and Local Governments;
    (6) Responses to the Supplemental Questions for each Sub-Applicant 
activity for evaluation (Supplemental Questions are available for 
Applicants and Sub-Applicants on the FEMA website: www.fema.gov/fima/dru.shtm);
    (7) For proposals for mitigation projects: Recommendations and 
documentation regarding the environmental review required by 44 CFR 
part 10, Environmental Considerations, and other applicable laws and 
executive orders, including responses to Established Questions and 
complete environmental/historic documentation (the environmental/
historic Established Questions are available for Applicants and Sub-
Applicants on the FEMA Web site: www.fema.gov/fima/dru.shtm); and
    (8) For proposals benefiting a former university recipient of DRU 
assistance: A brief description of past DRU efforts, including:
    [sbull] Appointment or selection of a DRU coordinator.
    [sbull] Formation of a campus partnership committee to direct the 
DRU activities that includes university, private sector, and local 
officials.
    [sbull] Performance of a risk assessment to define, evaluate and 
prioritize the loss reduction and management activities that address 
the natural hazards vulnerabilities on campus.
    [sbull] Development and adoption of a strategic loss reduction and 
management plan.
    [sbull] If applicable, communication of the university's risks and 
plans for managing them to stimulate partnerships, and associated DRU 
mitigation successes.
    [sbull] If applicable, implementation of a strategic loss reduction 
plan that identified mitigation activities.
    (9) Assurance that the sub-application is complete and addresses 
all program requirements including the Supplemental Questions, thereby 
meeting the program criteria outlined under section 203(g) of the 
Stafford Act.

National Priorities

    For FY 2003 funds, FEMA has established a national priority of 
providing mitigation funds to benefit a representative range of 
universities, based on the type of hazard addressed, geography, size, 
and academic community served. This includes consideration of 
Historically Black Colleges & Universities (HBCU) and Tribal Colleges & 
Universities (TCU).
    FEMA encourages HBCU and TCU to participate in PDM DRU activities, 
and encourages States to facilitate HBCU and TCU opportunities to 
improve their disaster resistance through risk management tools and 
other mitigation activities. Communicating with these universities via 
their respective consortia may be the most efficient and effective 
means of benefiting the university's mitigation efforts. There are 117 
HBCU nationwide and 34 TCU. Such institutions may be relatively small, 
receive less research funding, and may generally have fewer resources. 
For example, according to the National Center for Education Statistics, 
total enrollment shown at any TCU for fall 1998 did not exceed 2000 
students, and only three such institutions showed enrollment over 1000. 
Working with a consortium can maximize DRU mitigation benefits to these 
institutions. Through a university consortium, universities can share 
expertise among the consortium members, including other HBCU or TCU. A 
consortium may also facilitate decisions on the allocation of future 
resources and program direction.
    In addition, FEMA encourages universities who have demonstrated 
mitigation through past DRU efforts to sustain the momentum of those 
efforts by taking the opportunity to identify mitigation projects for 
implementation that can build on mitigation planning and other 
activities they have already accomplished.

Eligible Activities and Associated Costs

    General. Proposals must be for mitigation activities that benefit a 
university or universities. Proposals may be for mitigation planning 
activities or for mitigation projects, though proposals benefiting 
universities demonstrating mitigation planning through past DRU efforts 
must include a mitigation project.
    DRU Mitigation Planning. Applicants and Sub-Applicants may request 
mitigation planning funds to assist universities and university 
consortia in mitigation planning, including delivery of mitigation 
planning workshops, the development of risk assessments, and the 
development of university mitigation plans that are consistent with the 
planning criteria outlined in 44 CFR 201.6(b-d). Examples of planning 
activities to address in a mitigation plan are as follows:
    [sbull] Risk assessment: Identification of hazards and 
vulnerabilities, an estimation of potential losses to campus 
facilities;
    [sbull] Identification of potential mitigation actions and their 
priority for implementation;
    [sbull] Identification of methods to foster communication with 
neighboring jurisdictions regarding disaster mitigation through 
measures such as:
    (a) University collaboration activities involving faculty and/or 
students,
    (b) Use of campus facilities for posting emergency procedures,
    (c) Disaster exercises on university grounds or in conjunction with 
the community;
    [sbull] Identification of a broad range of sources for funding and 
technical assistance to sustain loss reduction and risk communication 
activities in the future; and
    [sbull] Development of a Business Continuity Plan for central 
administrative, teaching, and research functions.
    A university consortium may request funds to carry out ``model'' 
planning activities that would be used by members of the consortium. 
Multi-hazard mitigation planning must primarily focus on natural 
hazards but may also address hazards caused by non-natural forces.
    Up to 10 percent of the funds requested in the sub-application may 
be used for information dissemination activities regarding cost-
effective mitigation technologies in order to develop and maintain 
mutually beneficial partnerships among the DRU pilot universities, 
newly selected DRUs, and with underserved communities. Such activities 
should strive to promote a greater awareness of the institutional 
benefits of mitigation planning and to facilitate the implementation of 
appropriate mitigation actions. These activities may include outreach 
efforts and products (brochures and videos, etc.) related to the 
proposed mitigation activity that will help with the progress of the 
DRU universities and serve as models for other universities.

[[Page 75609]]

    DRU Mitigation Projects. Multi-hazard mitigation projects must 
primarily focus on natural hazards but may also address hazards caused 
by non-natural forces. The following are eligible types of mitigation 
projects:
    [sbull] Structural and non-structural retrofitting (including 
designs and feasibility studies when included as part of the 
construction project) for wildfire, seismic, wind or flood hazards 
(e.g., elevation, storm shutters, hurricane clips--seismic bracing or 
reinforcement);
    [sbull] Minor structural flood hazard control or protection 
projects that may include vegetation management, and stormwater 
management (e.g., culverts, floodgates, retention basins); and
    [sbull] Localized flood control projects, such as certain ring 
levees and floodwall systems, that are designed specifically to protect 
critical facilities and that do not constitute a section of a larger 
flood control system.
    Mitigation projects must also meet the following general criteria:
    (1) Be cost-effective and substantially reduce the risk of future 
damage, hardship, loss, or suffering resulting from a major disaster, 
consistent with 44 CFR 206.434(c)(5) and related guidance, and have a 
Benefit-Cost Analysis that results in a benefit cost ratio of at least 
1.0. Mitigation projects without a Benefit-Cost Analysis or with a 
benefit-cost ratio less than 1.0 will not be considered for the PDM DRU 
grants. Mitigation projects with higher benefit-cost ratios will be 
more competitive. Applicants may use programs or mechanisms other than 
the FEMA benefit-cost model to conduct the Benefit-Cost Analysis; 
however the methodology used must be consistent with the FEMA benefit-
cost model and approved in advance by FEMA. For more information, see 
general PDM DRU Program Grant Guidance at www.fema.gov/fima/dru.shtm;
    (2) Be in conformance with the current FEMA-approved State hazard 
mitigation plan and any existing local or university mitigation plans;
    (3) Solve a problem independently or constitute a functional 
portion of a solution where there is assurance that the project as a 
whole will be completed, consistent with 44 CFR 206.434(c)(4);
    (4) Be in conformance with 44 CFR Part 9, Floodplain Management and 
Protection of Wetlands, 44 CFR part 10, Environmental Considerations. 
For more information, see general PDM DRU Program Grant Guidance at 
www.fema.gov/fima/dru.shtm;
    (5) Not duplicate the assistance that another Federal agency or 
program has the primary authority to provide, consistent with 44 CFR 
206.434(g);
    (6) Be located in a community that (a) does not have a SFHA, or (b) 
is participating in the NFIP if the community has an identified SFHA (a 
FHBM or FIRM has been issued). The community must not be on probation, 
suspended or withdrawn from the NFIP; and
    (7) Meet the requirements of Federal, State, and local laws.
    Up to 10 percent of the funds requested in the project sub-
application may be used for information dissemination activities 
regarding cost-effective mitigation technologies in order to develop 
and maintain mutually beneficial partnerships among the DRU pilot 
universities, newly selected DRUs, and with underserved communities. 
Such activities should strive to promote a greater awareness of the 
institutional benefits of mitigation planning and to facilitate the 
implementation of appropriate mitigation actions. These activities may 
include outreach (brochures and videos, etc.) related to the proposed 
mitigation project that will help with the progress of the DRU 
universities and serve as models for other universities.
    Applicant Management Costs. Applicants are encouraged to consider 
how to maximize the amount of funds used directly to benefit the 
university. Applicants may request up to 10 percent of the total 
planning and project grant funding requested for management costs to 
support the solicitation, review and processing of PDM DRU sub-
applications and awards, and to provide technical assistance to Sub-
Applicants, including assisting Sub-applicants with Benefit-Cost 
Analysis and environmental and historic documentation. Care must be 
taken not to provide more technical assistance to one Sub-Applicant 
than another to avoid the appearance of pre-selection. If requested, 
indirect costs must be included as part of management costs and must be 
supported with a current Indirect Cost Rate approved by a Federal 
Cognizant Agency. However, in no case will the amount of funding 
awarded for management costs exceed 10 percent of the total amount 
awarded for mitigation planning and project sub-grants. There is no 
waiver to increase Applicant Management Costs.
    Applicants that request management costs must submit a separate 
sub-application for their management costs. Management costs must be 
supported with source documentation. Management costs will not affect 
competitiveness of planning or project proposals submitted by the 
Applicant and do not need a Benefit-Cost Analysis. Funding for 
Applicant management costs will not be awarded until all planning and 
project sub-applications have been awarded to ensure that Applicant 
management costs do not exceed 10 percent of the total planning and 
project sub-grant awards. Management costs will be cost shared with up 
to 75 percent of eligible costs provided by FEMA and at least 25 
percent provided by a non-Federal source to the maximum Federal share 
approved by FEMA.
    Sub-Applicant Management Costs. Sub-Applicants may request a 
maximum of 5 percent of the total grant funding requested for 
management costs to support approved planning activities or projects. 
Sub-Applicant management costs must be supported with budget narrative 
clearly justifying all proposed costs. Sub-Applicant management costs 
must be included as part of the planning activity or project costs and, 
therefore, must be included in the Benefit-Cost Analysis for projects. 
If requested, indirect costs must be included as part of the Management 
Costs and must be supported with a current Indirect Cost Rate approved 
by a Federal Cognizant Agency. There is no waiver to increase Sub-
Applicant Management Costs.

Ineligible Activities

    Ineligible Mitigation Projects. The following mitigation projects 
are ineligible for the PDM program:
    [sbull] Major flood control projects such as dikes, levees, 
floodwalls, seawalls, groins, jetties, dams, waterway channelization; 
beach nourishment or renourishment;
    [sbull] Warning systems;
    [sbull] Engineering designs that are not integral to a proposed 
project;
    [sbull] Feasibility studies that are not integral to a proposed 
project;
    [sbull] Drainage studies that are not integral to a proposed 
project;
    [sbull] Generators that are not integral to a proposed project;
    [sbull] Phased or partial projects;
    [sbull] Flood studies or mapping; and
    [sbull] Response and communication equipment.
    Cost Overruns. The PDM DRU program is a competitive grant program 
and therefore award amounts are final. There are no cost overruns 
associated with this program.

Cost Share Requirement

    FEMA will contribute up to 75 percent of the total amount approved 
under the grant award, to implement approved activities. At least 25 
percent of the total approved under the grant award must be provided 
from a non-

[[Page 75610]]

Federal source. Grants awarded to small, impoverished communities may 
receive a Federal share of up to 90 percent of the total amount 
approved under the grant award, to implement eligible approved 
activities.
    All non-Federal contributions, cash and in-kind, are accepted as 
part of the non-Federal share. Except as allowed by Federal statute, no 
other Federal funds can be used as a cost share. Requirements for in-
kind contributions can be found in 44 CFR 13.24. In-kind contributions 
must be directly related to eligible program costs. The following 
documentation is required for third-party cash and in-kind 
contributions: record of source of donor, dates, rates, amounts, and 
deposit slips for cash contributions.

Evaluation and Award Processes

    National Evaluation. Disaster Resistant University mitigation 
proposals for PDM DRU grants will be evaluated and selected based on 
the following considerations (each applies to all proposals, unless 
specified for ``planning activities'' or ``projects''). The specific 
factors will carry more weight than the general criteria.
    [sbull] The extent to which the proposal benefits a university (or 
universities) that demonstrates the following general criteria:
    (1) Top level commitment to the concept of disaster resistance 
(Chancellor, President, etc.)
    (2) Capability to successfully carry out proposed mitigation 
activities and initiatives (i.e., expertise to carry out the relevant 
studies and assessments of hazards and risk, their impacts on its 
facilities, and project implementation);
    (3) For proposals benefiting former DRU universities, commitment to 
sustained mitigation demonstrated through past and ongoing DRU efforts, 
such as the selection of a DRU coordinator, partnering efforts, risk 
assessment and risk reduction planning activities, outreach and 
implementation of mitigation activities.
    [sbull] The extent to which the proposal addresses the following 
specific factors, listed in order of importance, are:
    (1) For mitigation planning activities, the university's assessment 
of risks by hazard (see Supplemental Questions);
    (2) For mitigation projects,
    a. Benefit-Cost ratio by hazard based on Applicant's Benefit-Cost 
Analysis;
    b. Whether the project protects critical facilities;
    c. Consistency with the State mitigation plan and any existing 
local/Tribal and university mitigation plans;
    d. Consistency with Federal laws and Executive Orders to include 
National Environmental Policy Act, National Historic Preservation Act, 
Clean Water Act, Floodplain Management, and Seismic Safety of Federal 
Buildings; and Federal programs such as American Heritage Rivers 
Initiative, SBA Disaster Loan Program and EPA Watershed Initiative;
    (3) The priority given to the sub-application by the Applicant;
    (4) Overall size and proportion of university population that will 
benefit, such as:
    a. Number of university employees and university-employer's rank 
(largest, second largest, etc. employer) in the community
    b. Value of goods and services purchased by university within the 
community
    c. University budget
    d. Total economic impact of university on community--indicate the 
effect university would have on community if a disaster strikes (major 
job shortage, loss of medical services, etc.);
    (5) Feasibility of methodology and outcome;
    (6) Implementation involves reasonable timeline and expectations;
    (7) Leverages State and local community involvement through 
partnerships;
    (8) Identifies appropriate outreach activities that advance 
mitigation;
    (9) Serves as a model for other universities;
    (10) Innovation and creativity used as part of the best available 
options;
    (11) Status of State/Tribal mitigation plans
    (12) For community Sub-Applicants:
    a. Status of the Sub-Applicant as a small, impoverished community.
    b. Community mitigation factors, such as community incentives (tax 
credits, waiver of building permit fees, and building codes), Community 
Rating System class, Cooperating Technical Partner, participation as a 
Firewise Community, and adoption of codes to include Building Code 
Effectiveness Grading Schedule, International Code Series and National 
Fire Protection Association 5000 Code.
    In making its selections, FEMA will also consider the PDM DRU 
National Priorities for FY 2003 funds. This includes mitigating a 
representative range of universities based on type of hazard addressed, 
geography, size, and academic community served, which includes 
consideration of Historically Black Colleges & Universities (HBCU) and 
Tribal Colleges & Universities (TCU). It also includes sustaining and 
building on prior DRU efforts through mitigation projects that reduce 
the risk of loss for past DRU universities.
    Selection/Award. For FY 2003 PDM DRU grants, awards will be 
governed by Consolidated Appropriations Resolution, 2003, Public Law 
108-7, section 203 of the Stafford Act, as amended by section 102 of 
the DMA, this notice, and PDM DRU program guidance, which will be made 
available to the public on the FEMA Web site: www.fema.gov/fima/dru.shtm.
    The Headquarters Approving Federal Official shall consider the 
National Evaluation criteria and factors listed above, the National 
priorities, and other pertinent information to determine which sub-
applications to approve. After the sub-applications are selected, FEMA 
Regional offices will work with Applicants whose sub-applications are 
selected to implement the grant award.

Environmental/Historic Preservation Review Process

    FEMA has determined, in accordance with 44 CFR 10.8 (d)(2)(iii), 
that mitigation planning activities have no impact on the environment 
and will require no further environmental or historic preservation 
review. However, mitigation projects will require environmental/
historic preservation review. Construction type activities usually 
require more extensive review, or even an environmental assessment with 
alternatives addressed, historic preservation consultation, or both. 
For selected mitigation projects that require any level of 
environmental/historic preservation review, FEMA will not award the 
grant and the Applicant may not initiate construction until FEMA has 
completed its review. FEMA will complete the environmental and historic 
preservation review with the assistance of both the Applicant and the 
Sub-Applicant.
    If after review of the responses to the established environmental/
historic questions, supporting documentation, and the consultations 
with regulatory/resource agencies, FEMA determines that certain 
compliance measures are required to address the environmental/historic 
impacts of a selected project, FEMA will notify the Applicant. The 
Applicant or Sub-Applicant may determine whether or not to accept the 
grant award based on the estimated additional cost of the compliance 
measures. The amount of the Federal share will not be increased to 
cover any additional costs. Therefore, it is essential that at the time 
of the application submission, Applicants and Sub-Applicants include 
costs associated with any anticipated environmental/historic 
preservation compliance measures or alternatives identified through the 
development of the

[[Page 75611]]

environmental/historic preservation documentation in the project 
budget.

Reporting Requirements

    The following report is required from universities that receive PDM 
DRU FY 03 funds:
    [sbull] Self-Assessment: University recipients are to include a 
detailed self-assessment at the end of the year (December 2004) that 
highlights best practices, issues, and ways to improve the PDM DRU 
grant program.
    The following reports are required from Applicants that are awarded 
PDM DRU grants (Grantees):
    [sbull] Federal Cash Transaction Reports: If the Grantee uses the 
U.S. Department of Health and Human Services (HHS) Payment Management 
System-SMARTLINK, the Grantee shall submit a copy of the PMS 272 Cash 
Transaction Report submitted to HHS and to FEMA, as well.
    [sbull] Financial Status Reports: The Grantee shall submit 
Financial Status Reports, SF 269 or 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 this 
initial report. The Grantee shall submit quarterly financial status 
reports thereafter until the grant ends. Reports are due on January 30, 
April 30, July 30, and October 30.
    [sbull] Performance Reports:
    (1) The Grantee shall submit performance reports (no format 
requirements) to the FEMA Regional Office within 30 days after end of 
each quarter. Reports are due January 30, April 30, July 30 and October 
30.
    (2) Quarterly performance reports shall consist of a comparison of 
actual accomplishment of the approved activity and report the name, 
completion status, expenditure, and payment-to-date of each approved 
activity/sub-grant award under the Grant Award.
    [sbull] Final Reports: The Grantee shall submit a Final Financial 
Status Report and Performance Report within 90 days from Grant Award 
Performance Period expiration date, per 44 CFR 13.50.
    [sbull] Enforcement: In reference to 44 CFR 13.43 Enforcement, the 
Regional Director may suspend drawdowns from the HHS/Payment Management 
System-SMARTLINK or take other remedial actions for non-compliance if 
quarterly performance reports are not submitted.

    Dated: December 22, 2003.
Anthony S. Lowe,
Mitigation Division Director, Emergency Preparedness and Response 
Directorate, Department of Homeland Security.
[FR Doc. 03-32020 Filed 12-30-03; 8:45 am]
BILLING CODE 9110-13-P