Jordan Williams presented "Phase and Forget?" at the 2016 Association of State Floodplain Managers conference.

1. June 23, 2016
Phase and Forget?
How to Move Phased HMGP Projects to Construction
Jordan Williams, CFM

2. Hazard Mitigation
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Sustained action to reduce or eliminate
long-term risk to human life and
property from hazards.
The only phase of emergency
management specifically dedicated to
breaking the cycle of damage,
reconstruction, and repeated damage.

3. Hazard Mitigation Assistance
 HMA programs reduce community vulnerability to disasters and
their effects, promote individual and community safety and
resilience, and promote community vitality after an incident
 Pre-Disaster Mitigation (PDM)
 Provides funds for hazard mitigation planning and projects on an annual
basis.
 Available annually and nationally competitive
 Flood Mitigation Assistance (FMA)
 Provides funds for flood hazard mitigation projects as well as plan
development on an annual basis.
 Priority to Repetitive Flood Claims, Severe Repetitive Loss, and NFIP
properties Available annually and nationally competitive
 Hazard Mitigation Grant Program (HMGP)
 Assists in implementing long-term hazard mitigation measures following a
major disaster.

4. Hazard Mitigation Assistance
 HMA programs reduce community vulnerability to disasters and
their effects, promote individual and community safety and
resilience, and promote community vitality after an incident
 Pre-Disaster Mitigation (PDM)
 Provides funds for hazard mitigation planning and projects on an annual
basis.
 Available annually and nationally competitive
 Flood Mitigation Assistance (FMA)
 Provides funds for flood hazard mitigation projects as well as plan
development on an annual basis.
 Priority to Repetitive Flood Claims, Severe Repetitive Loss, and NFIP
properties Available annually and nationally competitive
 Hazard Mitigation Grant Program (HMGP)
 Assists in implementing long-term hazard mitigation measures following a
major disaster.

5. What is a phased project?
 Projects that receive funding in phases to complete complex
activities and to allow the Applicant to develop a full work
scope/data package to support the full project description.
 Phase 1: Design and Application Development
 Phase 2: Construction
 HMGP phasing does NOT equal partial solution/phased
construction
 Some application components will be based on assumptions
and engineering judgement
 Can be a great tool to allow communities to implement more
complex projects
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6. The Number$
For Hurricane Sandy in New York
 HMGP Ceiling is approximately $1.4 Billion
 Approximately 50% is going to phased projects
 33% is awaiting obligation pending Phase 2 approval
For Hurricane Katrina in Louisiana
 Approximately $450 Million allocated to phased projects
in January 2015
 Approximately $375 Million yet to be obligated
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7. Why do projects get phased?
 Communities don’t have a lot of technical staff on
 Cost of design plans
 Need for more detailed engineering analysis such as H&H
 Complicated EHP
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FEMA/Jennings

8. Examples
 Larger complex community drainage
projects
 Large critical facility building retrofits
 Bridge upgrades
HMGP phasing does NOT equal partial solution/phased construction
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FEMA/Booher

9. What should be in the initial application?
 Scope of work
 Available engineering analysis
 Cost estimate
 Benefit cost analysis
 EHP requirements
 Clearly stated assumptions
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10. How do we move these forward?
 Clear guidance on Phase 1 deliverables
 Maintain accountability
 Frequent and honest communication
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FEMA News Photo

11. What are our recommendations?
 Set clear deliverables and milestones in award letters
 Consider time it will take State/Subapplicant to procure a designer
 Consider the time it will take for FEMA and the State to review
 Award letter should include:
 Engineering analysis required
 H&H
 Geotechnical reports
 Required design milestones
 30%, 60%, 90%
 Detailed cost-estimate
 Benefit-cost analysis
 EHP Requirements
 TIMELINES!
 Projects should be evaluated/
confirmed along the way
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12. What are our recommendations?
 Require Progress Reports and Status meetings
 Avoid phase and forget
 Review along the way
 If deliverables show that a project will not meet HMA requirements
then adjust or deny
 Don’t keep investing in projects that will not get approved
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FEMA/Booher

13. What are our recommendations?
 Joint review of materials versus submitting and
corresponding through an RFI
 Use RFI’s to document the process and to ensure accountability
 But work together to break the cycle of endless back and forth
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14. What are our recommendations?
 States should consider using Advance Assistance
versus phasing a project
 Advance Assistance can be used to develop
mitigation strategies and obtain data to prioritize,
select, and develop complete HMGP applications
 Under HMGP: 25% of ceiling or $10 Million
(whichever is less)
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15. What are our recommendations?
 Not every complex and/or incomplete project needs to be
phased, some can be ‘approvable’ through an RFI
 FEMA/State should not use phasing as an extended way to
avoid saying “No”
 Phased projects are not meant to be a band aid
 Wastes resources
 Organized file managment
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16. Recommendations and Conclusions
 Need to avoid “Phase and forget”
 This process can be more work than traditional applications
 Communication is key to success
 These projects can work and provide better comprehensive
mitigation solutions
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FEMA/Caliendo

17. Questions?
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