[Code of Federal Regulations]
[Title 44, Volume 1]
[Revised as of October 1, 2007]
From the U.S. Government Printing Office via GPO Access
[CITE: 44CFR302.5]

[Page 550-552]
 
              TITLE 44--EMERGENCY MANAGEMENT AND ASSISTANCE
 
 CHAPTER I--FEDERAL EMERGENCY MANAGEMENT AGENCY, DEPARTMENT OF HOMELAND 
                                SECURITY
 
PART 302_CIVIL DEFENSE-STATE AND LOCAL EMERGENCY MANAGEMENT ASSISTANCE PROGRAM 
 
Sec.  302.5  Allocations and reallocations.

    (a) The Director shall allocate the entire amount of funds available 
for the purposes of this program from the appropriation for each fiscal 
year. The allocation made to each State represents the total amount of 
funds available to pay the Federal share of necessary and essential 
civil defense personnel and administrative expenses of the State and its 
participating subdivisions during the fiscal year.
    (b) The first calculation for developing the allocation for each 
State will be a formula distribution in accordance with section 205(d) 
of the Act, made by applying the following percentages to the total sum 
of Emergency Management Assistance in the President's budget request to 
Congress:
    (1) Fifty (50) percent will be allocated on the basis of the prior-
year State allocations, in fulfilment of the statutory requirement to 
give due regard to ``the relative state of development of

[[Page 551]]

civil defense readiness of the State'' (State and local levels).
    (2) Thirty-three (33) percent will be allocated on the basis of the 
ratio of the State's population to the national population (50 States, 
District of Columbia, and Puerto Rico), in fulfilment of the statutory 
requirements to give due regard to ``population'' and to ``the 
criticality of target and support areas and the areas which may be 
affected by natural disasters with respect to the development of the 
total civil defense readiness of the Nation.''
    (3) Fifteen (15) percent will be divided equally among the 50 
States, the District of Columbia, and Puerto Rico.
    (4) In consonance with the statutory provision allowing the Director 
to prescribe other factors concerning the State allocations, the 
remaining two (2) percent will be held temporarily in reserve, to be 
used first to fund the four territories of the Virgin Islands, American 
Samoa, Guam, and the Commonwealth of the Northern Mariana Islands. 
Conditions peculiar to those areas make strict application of the 
mathematical formula in Sec.  302.5(b) inequitable. Therefore, the 
Director will consider prior-year allocations, percentage of total 
United States population, and the factors set out in Sec.  302.5(e) (1), 
(2), (4), and (5) in determining their allocations. The remaining 
balance of the reserve fund will then be used to restore any State which 
would receive less by formula share than its formula share for the 
previous fiscal year, provided that the reserve balance is sufficient to 
do this for all such States. Any remaining balance after this has been 
done will constitute a supplemental fund from which the Director will 
consider State requests for additional funding and the needs of any 
interstate civil defense authorities.
    (c) For initial planning purposes only, each State will then be 
informed of the figure by the Regional Director. The State will base its 
initial EMA application upon that figure but may request a smaller 
amount or with appropriate justification a larger amount.
    (d) The amount requested by the State shall not exceed 50 percent of 
its estimate of necessary and essential State and local personnel and 
administrative expenses for the fiscal year.
    (e) The formula distribution shall be reviewed and evaluated, and 
adjusted as appropriate, by the Director, based on the current situation 
in each State, the requests of all States, and recommendations by the 
Regional Directors. The Director will consider the following five 
factors:
    (1) The ability of the State and its subgrantees to effectively 
expend such an amount for necessary and essential civil defense 
personnel and administrative purposes. Past performance is a factor in 
this determination.
    (2) Special circumstances existing in the State at the time of 
allocating which require unusual expenditures for civil defense.
    (3) Conditions peculiar to the State which make strict application 
of mathematical formula inequitable either to that State or other 
States.
    (4) The relative cost of civil defense personnel and administrative 
services in that State; that is, whether such costs are considerably 
above or below the national average for similar services and expenses.
    (5) Substantial changes in the civil defense readiness of the State 
not reflected by its recent civil defense expenditures.
    (f) In September of each year, based on applications received and 
recommendations by the Regional Directors, the Director will make a 
tentative allocation to the States. This will include adjustments for 
States that have indicated they will not be using the total of the 
formula distribution amount. States can then revise their earlier plans 
and applications to more nearly reflect the level of funding expected to 
become available.
    (g) A State may provide to the Regional Director a preliminary 
annual submission in an amount not to exceed its tentative allocation.
    (h) By September 30 (or as soon thereafter as feasible), the 
Director will make a formal allocation based on, or subject to, 
appropriation by Congress and allotment of the funds. This allocation 
for each State may include any additional amounts from the reserve 
portion of the EMA funds, and

[[Page 552]]

shall be in accordance with the regulations in this part and CPG 1-3.
    (i) Upon the appropriation becoming available, and if requested by a 
State, the Regional Director may approve such State's preliminary annual 
submission (if found to meet all requirements in this part and CPG 1-3) 
in an appropriate amount which does not exceed the amount of the State's 
share of the Director's formal allocation of the Federal appropriation. 
An award document obligating Federal funds on the basis of the approved 
preliminary annual submission may be executed in accordance with the 
provisions of CPG 1-3.
    (j) Based on and within 60 days after notification of its formal 
allocation, each State must provide to the Regional Director a final 
annual submission which meets all requirements in this part and CPG 1-3. 
If no changes are necessary, a State and the Regional Director may adopt 
in writing the State's preliminary annual submission as its final annual 
submission. If no award document was executed based on a State's 
preliminary annual submission, such document will be executed on the 
basis of that State's approved final annual submission.
    (k) With regard to any State whose award document was executed 
pursuant to a preliminary annual submission covering only part of its 
formal allocation, upon approval (by the Regional Director) of the final 
annual submission (including a revised statement of work supporting the 
additional funding request) the Regional Director shall execute an 
amended award document obligating the balance of such State's formal 
allocation.
    (l) After being advised of its annual formal allocation, if a State 
fails to submit, within 60 days, an approvable annual submission in the 
amount of its allocation, the Regional Director may reallocate the 
unused portion to other States in the region in such amounts as in his/
her judgment will best assure adequate development of the civil defense 
capability of the Nation. The exception to this authority is in the 
event a State, or local jurisdiction, refuses to participate in attack 
preparedness activities. EMA funds withheld or returned for that reason 
are to be released to headquarters for reallocation on a national basis. 
In addition, the Regional Director may from time to time reallocate the 
amounts released by a State from its allocation as no longer being 
required for utilization in accordance with an approved annual 
submission and award document.
    (m) Immediate notice to the headquarters EMA Program Manager of 
State reallocations is required in the form of copies of EMA-approved 
Annual Submission amendment documents, accompanied by copies of 
assistance award/amendment documents signed by regional and State 
authorized officials of both the releasing and recipient States.
    (n) There is no dollar ceiling on the amount of funds that may be 
reallocated among States in a region. However, at any time that there 
are funds surplus to the eligible needs of the States within a region, 
those funds should be promptly released to headquarters for reallocation 
to other States with unfunded additional requirements.
    (o) On July 1 of each fiscal year, the authority to reallocate EMA 
funds shall revert to the Director. In addition, any excess EMA funds 
available on that date, or that become available during the remainder of 
the fiscal year, are to be promptly released to headquarters for 
reallocation by the Director.

[48 FR 44211 Sept. 28, 1983, as amended at 51 FR 12521, Apr. 11, 1986; 
51 FR 43924, Dec. 5, 1986; 56 FR 29905, July 1, 1991]