Cooooppeerraattiinngg TTeecchhnniiccaall Paarrttnneerrss Guuiiddaannccee Dooccuumeenntt FFiissccaall Yeeaarr 22000055 (Please check the FEMA website at http://www.fema.gov/fhm/ctp_guid.shtm for updated versions of this document.) There are several beneficial reasons for partnering with State, local, and regional organizations to produce National Flood Insurance Program (NFIP) maps: q The data used for local permitting and planning will also be the basis for the NFIP map, facilitating more efficient floodplain management. q The CTP Program provides the opportunity to interject a tailored, local focus into a national program; thus, where unique conditions may exist the special approaches to flood hazard identification that may be necessary can be taken. q The partnership mechanism provides the opportunity to pool resources and extend the productivity of limited public funds. q For participating in the CTP Program, community Partners will receive Community Rating System credits, which may lead to discounted flood insurance premiums for property owners. (Additional information on the Community Rating System is available on the FEMA website at http://www.fema.gov/nfip/crs.shtm. In support of the CTP Program, FEMA has committed to the following: q Recognize the contributions made by FEMA’s State, regional, and local Partners by providing timely and accurate flood hazard information. q Maximize the use of Partners’ contributions as a means of leveraging limited public funds to the fullest extent while maintaining essential NFIP standards. q Fully integrate Partners into the flood hazard data development process with the corresponding authorities and responsibilities. q Provide training and technical assistance to the Partners when appropriate. q Facilitate mentoring to increase capability for both existing and Potential Partners. CTP Guidance Document for FY 2005 October 2004 2 Administration FEMA and its Partners will administer activities under the CTP Program through close and frequent coordination. There are four formal agreements involved—Partnership Agreements, Mapping Activity Statements, Letter of Map Change (LOMC) Mapping Activity Statement and Cooperative Agreements. Each Partner will enter into a Partnership Agreement with the appropriate FEMA Regional Office. The Partnership Agreement is a broad statement of principle, emphasizing the value of the NFIP’s three components of insurance, floodplain management, and mapping. The Partnership Agreement recognizes the fundamental importance of flood hazard identification in the successful reduction of future flood losses and the Partner’s commitment to the effort. The Partnership Agreement is a prerequisite to any further activities under the CTP Program. The Partnership Agreement template may be viewed or downloaded from the FEMA website at http://www.fema.gov/fhm/dl_moa.shtm. As the Partner and FEMA identify specific tasks to undertake, Mapping Activity Statements (MASs) will be developed to define the project scope and the roles and responsibilities of all Partners involved in a particular Flood Map Project. Developing the MASs will be a collaborative effort where both the Partner(s) and FEMA contribute data and units of work to maximize the extent, accuracy, and usability of flood hazard studies to best meet local, State, and Federal needs, while minimizing costs for all parties. The MAS is a key component of the Cooperative Agreement package because it defines the activities that will be accomplished, the entity responsible for them, how the activities will be funded, and the nature of the working relationship between FEMA and its Partners. The MAS template may be viewed or downloaded from the FEMA website at http://www.fema.gov/fhm/dl_atemp.shtm. Partners that participate in the long-term map maintenance of Digital FIRMS can sign the LOMC MAS agreement. This agreement allows a partner to take ownership of the LOMC process. Developing the LOMC MAS will be a collaborative effort between the Partner(s) and FEMA. Partners should develop a MAS that addresses goals and performance measures. These MASs should have a strong linkage to FEMA’s Regional and National goals and performance measures (see Table 1). Table 1. FY04-FY09 National Key Performance Parameter (KPP) and Indicators (KPIs) The Key Performance Parameter (KPP) for Multi-Hazard Flood Map Modernization is: Parameter Threshold Objective Change #1 Change #2 KPP % of the population whose safety is improved through availability of accurate flood risk data in GIS format 85% 100% N/A N/A CTP Guidance Document for FY 2005 October 2004 3 Targets Management Indicators FY04 FY05 FY06 FY07 FY08 FY09 KPI 1 % of population with digital GIS flood data available on-line 20% 50% 65% 75% 85% 97% KPI 2 % of population with adopted maps that meet quality standards 10% 20% 35% 50% 70% 90% KPI 3 Leveraged digital GIS flood data 20% 20% 20% 20% 20% 20% KPI 4 % of appropriated funds sent to CTPs 20% 25% 33%* 33%* 33%* 33%* * Percentages are subject to change pending further review. For projects that meet eligibility requirements, FEMA may award funds through the mechanism of a Cooperative Agreement. The Cooperative Agreement provides for the disbursement of Federal funds and defines the legal responsibilities associated with it. A Cooperative Agreement is not required for locally funded mapping activities. Activities FEMA may provide technical assistance, training, and/or data to a Partner to support flood hazard data development activities. As funding levels permit, the mapping activities for which Partners may receive funding in fiscal year 2005 through a Cooperative Agreement with FEMA are summarized in Table 2. The Cooperative Agreements awarded for mapping activities under the CTP Program are intended to supplement, not supplant, ongoing mapping efforts by a Partner, whether it be a community/tribal government, regional agency, or State agency. The FEMA funds would be in addition to the resources provided by the Partner for the mapping activities. Table 2. Fundable Mapping Activities Activity Partners Description Refinement or Creation of Approximate Zone A Boundaries The Partner works with FEMA to perform analyses to refine Zone A boundaries shown on the effective Flood Insurance Rate Map (FIRM) or create new Zone A areas to be included on the FIRM. Emphasis is placed on automated analysis and production techniques. Hydrologic and Hydraulic Analyses and Floodplain Mapping Community Regional Agency State Agency The Partner develops digital engineering data and floodplain mapping using Geographic Information System (GIS)-based or traditional hydrologic and hydraulic modeling. CTP Guidance Document for FY 2005 October 2004 4 Coastal Flood Hazard Analyses and Floodplain Mapping The Partner develops digital engineering data and floodplain mapping using GIS-based or traditional coastal flood hazard analysis methods. Digital Flood Insurance Rate Map (DFIRM) Preparation The Partner digitizes information from the effective hardcopy FIRM and prepares a DFIRM that meets FEMA specifications. Redelineation of Detailed Floodplain Boundaries Using Updated Topographic Data The Partner redelineates the effective floodplain boundaries shown on the FIRM using more upto- date topographic data. GIS technology is used, where available. Digital Topographic Data Development The Partner develops digital topographic data for flood hazard identification purposes. Scoping up to 10% Up to 10% of the total estimated funding may be provided to do an extensive project scope that leads to the development of the Mapping Activity Statement. Post Preliminary Processing Community Regional Agency State Agency The partner processes the DFIRM product from Preliminary stage through adoption. Outreach Community Regional Agency State Agency The partner performs outreach to stakeholders to improve the acceptance of the maps into the community. CTP Guidance Document for FY 2005 October 2004 5 While no funding under the CTP Program will be provided to Partners for the mapping activitie s listed in Table 3, FEMA may provide technical assistance, support, and/or data for an activity. Table 3. Non-Fundable Activities Activity Partners Description Digital Base Map Inventory Regional Agency State Agency The Partner performs an investigation and provides an inventory of base maps meeting FEMA specifications for NFIP communities in a particular region or State. Digital Base Map Data Sharing The Partner supplies base map data for use in producing a DFIRM. The base map must comply with FEMA minimum accuracy requirements and be distributable by FEMA to the public in hardcopy and electronic formats. DFIRM Maintenance The Partner assumes responsibility for longterm, periodic maintenance of the DFIRM. This can include base map and/or flood hazard information, as well as assuming ownership of the LOMC process. Hydrologic and Hydraulic Review The Partner reviews hydrologic and hydraulic studies prepared for FEMA-funded flood data updates and/or map revisions processed under Part 65 of the NFIP regulations. The review focuses on compliance with the technical and regulatory requirements contained in Guidelines and Specifications for Flood Hazard Mapping Partners, the pertinent NFIP regulations, as well as standard accepted engineering practices. Assessment of Community Mapping Needs (to support FEMA’s Mapping Needs Update Support System)) The Partner performs a detailed community-by-community assessment of mapping needs for every mapped (including flood data updates and map maintenance) and unmapped NFIP community within its jurisdiction. The Partner then submits the results of the assessment to FEMA for inclusion in the Mapping Needs Update Support System database. Technical Standards Agreement Community Regional Agency State Agency The Partner works with FEMA to adopt specific technical standards or processes appropriate for local conditions for NFIP flood mapping purposes. CTP Guidance Document for FY 2005 October 2004 6 Eligibility Criteria Partnerships are established based on the following criteria: q The Potential Partner must have existing processes and/or systems in place to support mapping or data collection activities that contribute to flood hazard identification. Non-Federal funding must support these processes and/or systems. q The Potential Partner must have the capability to perform, implement, or contract the mapping activities for which it is applying. This capability may be indicated through (but not limited to) a FEMA Regional Office review of both the map products previously prepared by the Partner and the existing map production processes or systems the Partner intends to use for CTP Programrelated mapping activities. q The Potential Partner must be a community that participates in the NFIP and is in good standing in the Program as determined by the FEMA Regional Office, or be a State or regional agency that serves communities that participate in the NFIP. q The Potential Partner should demonstrate its ability to leverage funding received from FEMA. The National Goal for leverage is 20%. However, the more funding a Partner is able to leverage improves their probability of increases in funding from FEMA for current and future mapping activities. Partners that receive funding from FEMA through a Cooperative Agreement must be able to perform the financial management activities required as part of the Cooperative Agreement (i.e., account for Federal funds, prepare financial reports). At a minimum, FEMA requires that a financial status report be provided quarterly. To assist partners with meeting this requirement, FEMA has created a recommended template for their use, and it should be submitted to your FEMA Regional CTP Coordinator. FEMA Regional Offices will assist Partners with these financial management activities as necessary. FEMA will evaluate these criteria periodically, and the criteria may be enhanced further in the future. Technical Capabilities In addition to the eligibility criteria described above, a Potential Partner must have in-house staff capabilities in the appropriate technical area for the given mapping activity. If the work for any portion of a mapping activity is contracted, the Potential Partner must have in-house staff capable of monitoring the contractor(s) and approving the products developed by the contractor(s). For these purposes, “capability” means demonstrated experience in the performance of, or management through contracting of, similar activities. Evaluation Criteria Throughout the project and at the end of the period of performance for each MAS, FEMA will evaluate the effectiveness of the partnership to determine eligibility for future mapping activities under the CTP Program. If FEMA determines that the partnership has proven insufficient to complete the established project or achieve the goals of the partnership, FEMA’s funding of the mapping activity may be cancelled. CTP Guidance Document for FY 2005 October 2004 7 FEMA will base its evaluation of the Partner’s demonstrated performance on the following criteria: q Continued maintenance of the processes or systems in place to support mapping or data collection activit ies that contribute to flood hazard identification (e.g., continued data collection for changing flood hazards and related development, continued upgrades to data collection or mapping capabilities to incorporate new technologies, preparation of multiple -year mapping or data collection plans); q Commitment to existing, and continued support of, mapping data and products through the postpreliminary review and map adoption phases; q Adherence to standards for timeliness, completeness, and quality of reports and products submitted to the FEMA Regional Office; and q Ability to cooperate and coordinate with the staff of the following organizations during all phases of the mapping activity as needed: FEMA Regional Office; Hazard Identification Section of the Mitigation Division in the FEMA Headquarters Office in Washington, DC; and designated FEMA contractors. Standards Unless otherwise indicated in specific MASs, all flood hazard identification activities will be accomplished in accordance with the relevant portio ns of the NFIP regulations (44CFR Parts 59-77) as well as the standards contained in FEMA's Guidelines and Specifications for Flood Hazard Mapping Partners, which can be downloaded from the FEMA website at http://www.fema.gov/fhm/dl_cgs.shtm. With the development of new and improved technology, FEMA has established new standard tools to assist mapping partners in their efforts. For partners with existing systems and technologies, please refer to Appendix N of the Guidelines and Specifications for Flood Hazard Mapping Partners, for acceptable data capture standards. Certification All data generated under MASs must meet the applicable certification requirements for the identification and publication of flood hazard information in FIRM form as indicated in 44 CFR Part 65, Identification and Mapping of Special Hazard Areas. Some States have adopted more stringent mapping standards than the minimum NFIP regulatory requirements. For these cases, Partners must coordinate all activities with the State to ensure the MASs are reviewed and concurred upon, and all map products resulting from a CTP Program-related mapping activity must meet State certification requirements. State Role The role filled by a State will be a function of its authority and capabilities. Some States have developed Map Modernization Management Support business plans, which explain in detail their capability and capacity to manage Map Modernization in their state. These plans also include an explanation of the State’s role in the CTP Program. Some states also review map revisions as part of their regulatory responsibilities. As with the options available to communities and regional agencies, interested State agencies will be expected to have in-house staff capabilities to fulfill the CTP Program-related mapping activity it would like to perform. State agencies that do not participate in the CTP Program will continue the traditional functions of the State Coordinating Office as they relate to any activities performed by participating Partners in that state. In general, the activities that a State agency might perform are the same as those CTP Guidance Document for FY 2005 October 2004 8 identified for communities, with the addition of collection and assessment of community mapping needs and a base map inventory. Funding CTP Program-related activities may be funded based on FEMA’s priority of mapping needs, the availability of FEMA funds for mapping, and the amount of leverage provided by the CTP Partner. If FEMA funds are provided, the Partner may receive funds through a Cooperative Agreement. Because the FEMA mapping budget varies annually, the amount of funding for CTP Program-related activities also will vary. Any awards made in accordance with the guidance will be subject to the availability of funds. Each FEMA Regional Office will determine how much of its annual mapping budget will be allocated to mapping activities under the CTP Program. Typically, the funding for CTP Program-related Flood Map Projects is allocated through one Cooperative Agreement once the MAS is signed. However, for large or complex projects, extensive planning may need to be performed before the MAS is developed. For such projects, the Cooperative Agreement may be processed in a phased approach. Use of the phased approach will alleviate the need for extensions of performance periods and project revisions and improve overall efficiency through the development of a thorough project scope. In such instances, the FEMA Regional Office may allocate up to 10 percent of the total estimated funding for the project to the Partner to develop a project scope and MAS. Once the MAS is signed and in place, the Partner may then request the remaining funding required for completing the project. Contracting Contractors used by Partners for FEMA -funded activities must meet the requirements of Part 13 of the Code of Federal Regulations (44 CFR Part 13), Uniform administrative requirements for grants and cooperative agreements to state and local governments. Within Part 13, §13.36 covers procurement standards that must be followed for any mapping-related activities for which a Partner wishes to contract with another party. Items in this Part include, but are not limited to, contract administration and record keeping, notification requirements, review procedures, competition, methods of procurement, and cost and pricing analysis. Part 13 may be downloaded in PDF or text format from the U.S. Government Printing Office website at http://www.access.gpo.gov/nara/cfr/waisidx_02/44cfr13_02.html. If requested by the Partner, FEMA will provide assistance to a Partner on developing selection criteria for contracted tasks. All work must meet the certification requirements described below. Cooperative Agreement Management FEMA-funded activities must meet the requirements of 44 CFR Part 13, which sets forth requirements for Cooperative Agreement administration and management. These requirements include, but are not limited to, record keeping, allowable costs, and processes for use of contractors. Part 13 may be downloaded from the U.S. Government Printing Office website at http://www.access.gpo.gov/nara/cfr/waisidx_02/44cfr13_02.html. FEMA Regional staff should review any open CTP cooperative agreements prior to issuing additional funds to the same partner. Ensure that financial and progress reports are current and indicate that adequate progress has been made on the previous agreement. The partners are required to report at least semi-annually to the Regions to demonstrate progress in meeting agreed-upon program-related activities contained in the previous cooperative agreement. Some CTP Guidance Document for FY 2005 October 2004 9 regions may require quarterly reporting to satisfy unique regional grants management requirements. (See the quarterly report template toward the end of this binder.) Regions are held accountable for funds expended through CTP and must require that their partners document work so that progress can be tracked. Partners must report on the progress of the activities identified in the agreement, and are expected to cooperate with Regions by submitting documentation or other evidence that demonstrates work completed. Additional FEMA Assistance FEMA offers an array of technical and programmatic assistance to Partners participating in the CTP Program, free of charge, including the resources listed below. q Archived support data will be available from FEMA’s National Service Provider. Available information includes: Ø Copies of FEMA-issued Letters of Map Change (i.e., Letters of Map Amendment, Letters of Map Revision); Ø Engineering and mapping Flood Insurance Study backup data; Ø Data collected as part of the FEMA Mapping Needs Assessment Process; and Ø FEMA’s rule-based engineering software packages, including CHECK-2, CHECK-RAS, FISPLOT, and RASPLOT. q FEMA will offer three different types of training courses: The Introductory course, the Intermediate course, and an Advanced Cooperating Technical Partners Course. The Introductory Course is intended for both new and potential CTPs while the Intermediate Course is intended for existing CTPs only. The Intermediate Course and the Advanced Cooperating Technical Partners Course are intended for current CTP members who are active mapping partners, and who are responsible for administering the CTP Program for a state agency, regional agency, or local community partner and/or managing the technical aspects of mapping activities and will be offered through the FEMA Emergency Management Institute. The following topics relevant to the Advanced Cooperating Technical Partners Course will be included in the training (visit http://www.fema.gov/fhm/ctp_train.shtm for additional information on training opportunities at the Emergency Management Institute): Ø Topographic Data Development; Ø Base Mapping and Digital Flood Maps; and Ø Map Production and Processing Requirements. q Specific technical and programmatic support, such as peer review, modeling guidance, base map selection, and/or tailored training, also may be provided by FEMA through designated FEMA contractors. q General technical and programmatic information regarding the NFIP and the FEMA Flood Hazard Mapping Program can be downloaded from FEMA’s Flood Hazard Mapping website at http://www.fema.gov/fhm. Program Management FEMA Regional Offices will manage all activities under the CTP Program. The FEMA Regional CTP Coordinators are listed below. CTP Guidance Document for FY 2005 October 2004 10 Region I (Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, and Vermont) Dean Savramis 99 High Street, 6th Floor Boston, MA 02110 Telephone: (978) 461-5323 E-mail: dean.savramis@dhs.gov Region II (New Jersey, New York, Puerto Rico, and US Virgin Islands) Paul Weberg 26 Federal Plaza, Room 1337 New York, NY 10278-0002 Telephone: (212) 680-3638 E-mail: paul.weberg@dhs.gov Region III (Delaware, District of Columbia, Maryland, Pennsylvania, Virginia, and West Virginia) Nikki Roberts One Independence Mall 615 Chestnut Street, 6th Floor Philadelphia, PA 19106-4404 Telephone: (215) 931-5575 for Nikki Roberts E-mail: nikki.roberts@dhs.gov Region IV (Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina, South Carolina, and Tennessee) Laura Algeo 3003 Chamblee Tucker Road Atlanta, GA 30341 Telephone: (770) 220-5515 E-mail: laura.algeo@dhs.gov CTP Guidance Document for FY 2005 October 2004 11 Region V (Illinois, Indiana, Michigan, Minnesota, Ohio, and Wisconsin) Ken Hinterlong, Team Lead 536 South Clark Street, 6th Floor Chicago, IL 60605 Telephone: (312) 408-5529 E-mail: ken.hinterlong@dhs.gov Mary Jo Mullen (Indiana, Michigan, and Ohio) 536 South Clark Street, 6th Floor Chicago, IL 60605 Telephone: (312) 408-5541 E-mail: maryjo.mullen@dhs.gov Lee Traeger (Illinois, Minnesota, and Wisconsin) 536 South Clark Street, 6th Floor Chicago, IL 60605 Telephone: (312) 408- 5538 E-mail: lee.traeger@dhs.gov Region VI (Arkansas, Louisiana, New Mexico, Oklahoma, and Texas) Gary Zimmerer (Arkansas and Louisiana) Federal Regional Center, 800 North Loop 288, Room 206 Denton, TX 76210-3698 Telephone: (940) 898-5161 E-mail: gary.zimmerer@dhs.gov Jim Orwat (New Mexico and Oklahoma) Federal Regional Center, 800 North Loop 288, Room 206 Denton, TX 76210-3698 Telephone: (940) 898-5302 E-mail: james.orwat@dhs.gov Jack Quarles (Texas) Federal Regional Center, 800 North Loop 288, Room 206 Denton, TX 76210-3698 Telephone: (940) 898-5156 E-mail: jack.quarles@dhs.gov Region VII (Iowa, Kansas, Missouri, and Nebraska) Bob Franke 2323 Grand Avenue, Suite 900 Kansas City, MO 64108-2670 Telephone: (816) 283-7073 E-mail: bob.franke@dhs.gov CTP Guidance Document for FY 2005 October 2004 12 Region VIII (Colorado, Montana, North Dakota, South Dakota, Utah, and Wyoming) John Liou or Marijo Camrud Denver Federal Center, Bldg. 710, Box 25267 Denver, CO 80225-0267 Telephone: (303) 235-4836 Telephone: (303) 235-4835 E-mail: john.liou@dhs.gov E-mail: marijo.camrud@dhs.gov Region IX (Arizona, California, Hawaii, Nevada, American Samoa, Guam, Marshall Islands and Northern Mariana Islands) Les Sakumoto (Northern California and Nevada) 1111 Broadway, Suite 1200 Oakland, CA 94607 Telephone: (510) 627-7183 E-mail: leslie.sakumoto@dhs.gov Ray Lenaburg (Southern California, Arizona, Hawaii, American Samoa, Guam, Marshall Islands and Northern Mariana Islands ) 1111 Broadway, Suite 1200 Oakland, CA 94607 Telephone: (510) 627-7181 E-mail: raymond.lenaburg@dhs.gov Region X (Alaska, Idaho, Oregon, and Washington) Dave Carlton or Joe Weber Federal Regional Center, 130 228th Street SW. Bothell, WA 98021-9796 Telephone: (425) 487-4703 E-mail: david.carlton@dhs.gov Telephone: (425) 487-4657 E-mail: joseph.weber@dhs.gov Federal Emergency Management Agency Agreement Articles – Cooperating Technical Partners GRANTEE: _____________________________________________________________________ AGREEMENT NUMBER: _____________ AMENDMENT NUMBER: _____________ PERFORMANCE PERIOD: _______________________________________________________ ARTICLE I – PROGRAM DESCRIPTION The roles and responsibilities of both FEMA and the Grantee under this agreement are outlined in the attached Mapping Activity Statement. The Grantee shall perform the work described in the Mapping Activity Statement, which is included as part of the application package, dated ________________ and revised on _______________ and made a part of these Cooperative Agreement Articles. ARTICLE II – PERIOD OF PERFORMANCE The period of performance shall be up to 24 months from the effective date of this Cooperative Agreement: ____________________ thru ____________________. ARTICLE III – AMOUNT AWARDED This Cooperative Agreement is for the administration and completion of an approved, cost shared, Cooperating Technical Partners Initiative. Cooperative Agreement funds shall not be used for other purposes. The budgeted estimates for object classes for this award are: Total Budget Federal Cost Share Non-Federal Cost Share Personnel _____________ _______________ ___________________ Fringe Benefit _____________ _______________ ___________________ Travel _____________ _______________ ___________________ Equipment _____________ _______________ ___________________ Supplies _____________ _______________ ___________________ Contractual _____________ _______________ ___________________ Construction _____________ _______________ ___________________ Other _____________ _______________ ___________________ Indirect Charges _____________ _______________ ___________________ Total Budget _____________ _______________ ___________________ 2 ARTICLE IV – REQUEST FOR ADVANCE/REIMBURSEMENT A. The Grantee shall be paid using the HHS Smartlink System, provided it maintains or demonstrates the willingness and ability to maintain procedures to minimize the time elapsing between the transfer of the funds and their disbursements by the Grantee. When these requirements are not met, the Grantee will be required to use the reimbursement method as the preferred funding method. Or – B. FEMA uses the Direct Deposit/Electronic Funds Transfer (DD/EFT) method of payment to its Grantees. To enroll in the DD/EFT, the Grantee must complete a Standard Form 1199A, Direct Deposit Form. The Grantee may be paid in advance, or reimbursed by completing the Standard Form (SF) 270, Request for Advance/Reimbursement. In accordance with Treasury regulations at 31 CFR, Part 205, the Grantee shall request funds not more than 3 business days prior to the day on which it makes a disbursement. C. Interest earned on advances will be handled in compliance with 44 CFR 13.21(i). ARTICLE V – FINANCIAL REPORTS The Grantee shall submit Financial Status Reports (using FEMA Form 20-10) to the FEMA Regional Office indicated below, within 30 days after the end of each quarter. Reporting dates are January 30, April 30, July 30 and October 30. The final Financial Status Report is due 90 days after the close of the cooperative agreement. In addition, if the Grantee uses Smartlink, it shall submit a Financial Cash Transactions Report (PMS 272) to the address shown below. FEMA Region ___ _____________________________ Attn: Assistance Officer, Operations Support Division _____________________________ NOTE: If the Request for Advance/Reimbursement is used for payment, the quarterly financial reports may be waived by FEMA with only the final Financial Status Report due 90 days after the close of the Cooperative Agreement. ARTICLE VI – PERFORMANCE REPORTS The Grantee shall submit performance reports to the FEMA Regional Office within 30 days after the end of 3 each quarter. Reporting dates are January 30, April 30, July 30 and October 30. The final performance report is due 90 days after the close of the cooperative agreement. The Grantee shall submit copies of the performance report to the FEMA Regional Office at the address listed in Article V. Grantees may request a waiver of the first quarter performance report from the Regional Assistance Officer. ARTICLE VII. GOVERNING PROVISIONS The Grantee and any sub-grantees shall comply with all applicable laws and regulations. A nonexclusive list of laws and regulations commonly applicable to FEMA grants is attached hereto for reference only. The Grantee and any Sub-Grantees shall also be bound by the Guidance Document, which is attached hereto [can also include NOFA, with appropriate citation]. The following Office of Management and Budget circulars are also applicable to this grant: [OMB Circular A-110 Uniform Administrative Requirements for Grants and Agreements with institutions of Higher Education, Hospitals, and Other Non-Profit Organizations OMB Circular A-102 Uniform Administrative Requirements for Grants and Cooperative Agreements with State and Local Governments] [OMB Circular A-87 Cost Principles for State and Local Governments OMB Circular A-21 Cost Principles for Educational Institutions OMB Circular A-122 Cost Principles for Nonprofit Organizations] OMB Circular A-133 Audits of States, Local Governments, and Non-Profit Organizations 4 Commonly Applicable Statutes and Regulations The Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended, 42 U.S.C. §§ 5121-5206 (Stafford Act). Title 44 of the Code of Federal Regulations (CFR) ARTICLE VIII – GRANT REVISIONS A. In compliance with 44 CFR 13.30, revisions to the grant award shall follow prior approval requirements found in 44 CFR Part 13.30. If the FEMA share of the cooperative agreement exceeds $100,000, for non-construction cooperative agreements, FEMA’s approval is required prior to the transfer of funds between total direct cost categories in the approved budget when such cumulative transfers exceed ten percent of the total budget. For all cooperative agreements, regardless of the amount of funding, the Grantee shall obtain prior written approval for any budget revision, which would result in the need for additional funds. If a grant provides funding for both construction and non-construction activities, the Grantee must obtain written approval from FEMA before making any fund or budget transfer from nonconstruction to construction or vice versa. A. No transfer of funds to agencies other than those identified in the approved cooperative agreement application shall be made without prior approval from FEMA. B. Cost share contributions, cash and in-kind, must be in compliance with 44 CFR 13.24 or Cost Principles contained in the appropriate OMB Circular (A- __.) Except as allowed by Federal statute, no other Federal grant funds can be used as a match. The following documentation is required for cash contributions: Record of source of donor, dates, rates, amounts, and deposit slips. The following documentation is required for in-kind contributions: Record of donor, dates, rates, and amount. Requirements for in-kind contributions can be found in 44 CFR, Part 13.24 or OMB Circular A- 110.23. C. If a Grantee estimates that it will have unobligated funds remaining after the end of the performance period, the Grantee should report this to the FEMA Regional Office for disposition instructions. D. Requests for time extensions to the performance period will be considered but will not be granted automatically and must be supported by adequate justification in order to be processed. The justification shall contain the reason for the delay, an outline of remaining funds available to support the extended performance period and a description of the performance measures necessary to complete the project. ARTICLE IX – OTHER TERMS AND CONDITIONS The other terms and conditions of this agreement are as follows: 5 A. Prior to the start of any construction activity, the Grantee shall ensure that all applicable Federal, State, and local permits and clearances are obtained. B. Prior to the start of any project, it must be reviewed by FEMA for compliance with the National Environmental Policy Act (NEPA), as implemented under 44 CFR, Part 10. Grantees are encouraged to seek guidance from the FEMA Environmental Officer in complying with NEPA and other environmental requirements. The Grantee shall transfer to FEMA the appropriate share, based on the Federal support percentage, of any refund, rebate, credit or other amounts arising from the performance of this agreement, along with accrued interest, if any. D. The Grantee is free to copyright original work developed in the course of or under the agreement. FEMA reserves a royalty-free, nonexclusive and irrevocable right to reproduce, publish, or otherwise use, and to authorize others to use, the work for Government purposes. Any publication resulting from work performed under this agreement shall include an acknowledgement of FEMA financial support and a statement that the publication does not necessarily reflect FEMA’s views. ARTICLE X – AUDIT REQUIREMENTS All Grantees must follow the audit requirements of OMB Circular No. A-133, Revised. Non-Federal entities that expend $300,000 or more in Federal awards in a year shall have a single or program-specific audit conducted for that year in accordance with the provisions of A-133. ARTICLE XI – GENERAL PROVISIONS The following are hereby incorporated into this agreement by reference: 44 CFR Emergency Management and Assistance Regulations (This publication is available at www.4.law.cornell.edu/cfr/44cfr.htm#start) 44 CFR Part 10 Environmental Considerations 44 CFR Part 13 Uniform administrative requirements for grants and cooperative agreements to state and local governments 44 CFR Part 7 Nondiscrimination In Federally-Assisted Programs (FEMA) 44 CFR Part 17 Government wide debarment and suspension (nonprocurement) and government wide requirements for drugfree workplace (grants) 6 44 CFR Part 18 New restrictions on lobbying 44 CFR SUBCHAPTER B - Insurance and Hazard Mitigation 44 CFR SUBCHAPTER C - Fire Prevention and Control 44 CFR SUBCHAPTER D - Disaster Assistance 44 CFR SUBCHAPTER E - Preparedness 31 CFR 205.6 Funding techniques (This publication is available at www.4.law.cornell.edu/cfr/31cfrII.htm#start) OMB Circular A-102 Uniform Administrative Requirements for grants and Cooperative Agreements with State and Local Governments OMB Circular A-87 Cost Principles for State and Local Governments OMB Circular A-110 Uniform Administrative Requirements for Grants and Agreements With Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations OMB Circular A-21 Cost Principles for Educational Institutions OMB Circular A-122 Cost Principles for Nonprofit Organizations (All Circulars are available at www.whitehouse.gov/OMB/grants/index.html) Application Cooperative Agreement Application and Assurances contained therein received by FEMA on ______________________________. MMMS Guidance Document for FY 2005 October 2004 Maapp Mooddeerrnniizzaattiioonn Maannaaggeemeenntt Suuppppoorrtt Guuiiddaannccee Dooccuumeenntt FFiissccaall Yeeaarr 22000055 Background One of the key objectives of FEMA’s Map Modernization is to increase local involvement in, and ownership of, the flood mapping process. One of the ways of meeting this objective is Map Modernization Management Support (MMMS). As technologies have improved and applications have expanded dramatically, many States and regional agencies have become technologically sophisticated and have invested significant resources in flood hazard identification. In addition to the flood hazard mapping activities that agencies may undertake, there is a need for management activities that will contribute to the overall goal of the adoption of modernized flood maps. The MMMS Fiscal Year (FY) 2004 guidance introduced the need, given the magnitude and complexity of NFIP floodplain mapping needs, to encourage partnerships with multi-jurisdictional entities, such as Urban Drainage Districts, Water Management Authorities, etc. These partnerships in MMMS are also encouraged for FY 2005 provided these regional entities, along with States, submit an approved business plan. (In the remainder of this document, States and regional entities participating in MMMS are called MMMS Partners). Purpose The purpose of the MMMS is to provide, through a Cooperative Agreement, a means to ensure that MMMS Partners can support Map Modernization through activities that do not directly result in a Flood Insurance Rate Map. These activities include administration and management activities (see table 1 for specific activities). These funds are not used for conducting mapping projects or funding support from the National Service Provider (NSP). The activities identified above are documented in the 5-year business plan and also in the MMMS Partner’s description of its approach and capabilities for participation in Flood Map Modernization activities. Phase I of the program involves developing the business plan, and Phase II is the implementation of the activities identified in the plan. The purpose of this guidance document is to assist FEMA and MMMS Partners in preparing, developing, and managing the activities of MMMS. This document is organized to assist the MMMS Partner and FEMA in administration, funded activ ities, eligibility and evaluation criteria, scoring criteria, reporting requirements, technical capabilities, contracting requirements, standards, certification, funding, and Cooperative Agreement management. A list of FEMA MMMS regional coordinators also is provided. There are several reasons for partnering with State and regional organizations in the management of the modernization of National Flood Insurance Program (NFIP) maps: · Management participation will help to ensure that the products resulting from Map Modernization do not conflict and are complementary, not duplicative. MMMS Guidance Document for FY 2005 October 2004 2 · MMMS provides the opportunity to interject a tailored, local focus into a national program; thus, where unique conditions may exist, the special approaches to communication, coordination, and compliance that may be necessary can be taken. · The MMMS partnership mechanism provides the opportunity to pool resources and extend the productivity of limited public funds. In support of MMMS, FEMA has committed to the following: · Maximize the use of Partners’ contributions as a means of leveraging limited public funds to the fullest extent, while maintaining essential NFIP standards · Fully integrate Partners into the flood map development process with the corresponding authorities and responsibilities · Provide training and assistance to the Partners when appropriate · Facilitate mentoring to increase capability for both existing and potential Partners MMMS and the Multi-Year Flood Hazard Identification Plan The Multi-Year Flood Hazard Identification Plan (MHIP) is a 5-year (FY04–FY08) mapping project scheduling tool for providing reliable digital flood hazard data in a GIS format for every flood-prone county, parish, independent city, and territory in the Nation. As map production proceeds, FEMA will update the plan each spring and fall. The updates will include reports on progress of digital Flood Insurance Rate Map (DFIRM) production and revised sequencing in some cases for future fiscal years. MMMS business plans are key mechanisms for providing input to the MHIP updates. Specific input includes: Map production sequencing, funding allocations, and factors and methods identified as important by the MMMS Partner in terms of determining mapping priorities. Administration FEMA has elected to enter into Cooperative Agreements with its Partners. FEMA and its Partners will administer activities under MMMS through close and frequent coordination. This project anticipates a significant level of Federal involvement in the implementation of the proposed activities. FEMA will review and approve content and format of materials produced in conjunction with this project in order to obtain desired outcomes and outputs. Participants should have built a business plan with goals and performance measures. These plans should have a strong linkage to FEMA’s regional and national goals and performance measures (see table 1). For plans that meet eligibility requirements, FEMA may award funds through the mechanism of a Cooperative Agreement. The Cooperative Agreement provides for the disbursement of Federal funds and defines the legal responsibilities associated with it. MMMS Guidance Document for FY 2005 October 2004 3 Table 1. FY04–FY09 National Key Performance Parameter (KPP) and Indicators (KPIs) Parameter Threshold Objective Change #1 Change #2 KPP % of the population whose safety is improved through availability of accurate flood risk data in GIS format 85% 100% N/A N/A Targets Management Indicators FY04 FY05 FY06 FY07 FY08 FY09 KPI 1 % of population with digital GIS flood data available online 20% 50% 65% 75% 85% 97% KPI 2 % of population with adopted maps that meet quality standards 10% 20% 35% 50% 70% 90% KPI 3 Leveraged digital GIS flood data 20% 20% 20% 20% 20% 20% KPI 4 % of appropriated funds sent to CTPs 20% 25% 33%* 33%* 33%* 33%* * Percentages are subject to change pending further review. Activities As funding levels permit, the management activities, and recommended performance measures, for which Partners may receive funding in fiscal year 2005 through a Cooperative Agreement with FEMA, are summarized below. Additionally, the FEMA Regional Offices have evolved into strategic business units, who determine the success of the mapping efforts. Accordingly, the information and metrics required are more extensive and detailed than requested previously. To more closely align the MMMS business plans and the FEMA regional business plans, MMMS Partners are requested to measure their activities under broader measurement areas listed in column 1 of table 2, and provide a timeline detailing the description of activities listed in column 4 of table 2. (The timeline is used as a guide to both spending projections and completion of work product during the fiscal year. The timeline will also capture the need for project extensions, under spending, and overspending before the end of the budget cycle.) MMMS Guidance Document for FY 2005 October 2004 TABLE 2. PARTIAL DESCRIPTION OF MMMS ACTIVITIES MEASUREMENT AREA ACTIVITY RECOMMENDED PERFORMANCE MEASURE DESCRIPTION Operations Digital Base Map Inventory Minimum performance measures: Number of communities contacted for base map information versus total communities within study area; was all available information requested from the National Service Provider (NSP)? Did Partner coordinate with studies in neighboring jurisdiction(s)? The Partner performs an investigation and provides an inventory of base maps meeting FEMA specifications for NFIP communities in a particular region or State. Timeline: Operations Digital Base Map Data Sharing Minimum performance measures: How well did the tools or processes work for sharing base map information? Did the mapping information meet the minimum accuracy requirements as specified in FEMA’s Guidelines and Specifications for Flood Hazard Mapping Partners? The Partner supplies a base map for use in producing a DFIRM. The base map will comply with FEMA minimum accuracy requirements and be distributable by FEMA to the public in hard copy and electronic formats. Timeline: Operations DFIRM Maintenance Management Minimum performance measures: Was the process for how DFIRM maintenance management activities would occur well documented? Did it address how this information would be uploaded to the MIP? The Partner assumes responsibility for long-term, periodic maintenance of the DFIRM. This can include base map and/or flood hazard information. Operations Hydrologic and Hydraulic Review Management Minimum performance measures: Was a QA/QC plan developed? Was independent QA/QC staff identified? Did the project schedule allow sufficient time to perform QA/QC reviews? Did the QA/QC review address technical and regulatory requirements contained in FEMA’s Guidelines and Specifications for Flood Hazard Mapping Partner? Was the resolution of comments documented? The Partner manages the reviews of hydrologic and hydraulic studies prepared for FEMA-funded flood data updates and/or map revisions processed under Part 65 of the NFIP regulations. The review focuses on compliance with the technical and regulatory requirements contained in Guidelines and Specifications for Flood Hazard Mapping Partners, the pertinent NFIP regulations, as well as standard accepted engineering practices. MMMS Guidance Document for FY 2005 October 2004 5 TABLE 2. PARTIAL DESCRIPTION OF MMMS ACTIVITIES MEASUREMENT AREA ACTIVITY RECOMMENDED PERFORMANCE MEASURE DESCRIPTION Operations Assessment of Community Mapping Needs (to support FEMA’s Mapping Needs Update Support System - MNUSS) Minimum performance measures: Percentage of communities within study area that had mapping needs input to MNUSS database; was information input to MNUSS prior to scoping and updated following the scoping meeting? The Partner performs a detailed community-by-community assessment of mapping needs for every mapped (including flood data updates and map maintenance) and unmapped NFIP community within its jurisdiction. The Partner then submits the results of the assessment to FEMA for inclusion in the MNUSS database. Operations Technical Standards Agreement Minimum performance measures: Were technical standards adopted for engineering and mapping aspects that met minimum FEMA standards? Did they cover all aspects of the work? The Partner works with FEMA to adopt specific technical standards or processes appropriate for local conditions for NFIP flood mapping purposes. Operations Information Technology Systems Minimum performance measures: How effective were the developed systems or capabilities at archiving, organizing, distributing, or otherwise managing the digital FIRM and/or underlying map data? Were the tools developed according to schedule and budget? How well were they integrated with the MIP? The Partner develops and maintains an information technology system to archive, organize, distribute, and otherwise manage effective DFIRMs, preliminary DFIRMs, and/or underlying backup data such as DFIRM database, engineering models, etc). The system should distribute this data in an electronic format (e.g., web-based, CD-ROM, etc) to the public. Customers and Stakeholders Outreach Minimum performance measures: Were outreach activities described in enough detail? Were they init iated at the beginning of the project and carried through to the end? What were the key points when contact was needed with local communities? What number of outreach activities were completed versus proposed? How well did the activities satisfy the applicable standards from FEMA’s Guidelines and Specifications for Flood Hazard Mapping Partners? Were activities completed according to schedule and budget? Informational Mailing - Identify recipients of mass mailing; procure brochures from FEMA (assumes one existing tri-fold brochure in self-mailing format, no envelopes required); print mailing labels; affix proper postage; and take to post office for mailing. Timeline: Community Meetings - Determine when and where the meeting will be held; identify staff roles and responsibilities; advertise the meeting; prepare agenda and other handout and presentation materials to explain the purpose of the meeting and the mapping project; provide on-site meeting support to explain the purpose of the mapping project, opportunities for involvement, MMMS Guidance Document for FY 2005 October 2004 6 TABLE 2. PARTIAL DESCRIPTION OF MMMS ACTIVITIES MEASUREMENT AREA ACTIVITY RECOMMENDED PERFORMANCE MEASURE DESCRIPTION Outreach (continued) and how to provide comments; provide opportunity for the public to submit comments; provide on-site logistics and meeting support; and develop evaluation form, distribute, and assess results. Timeline: Website Posting - Develop a new website to provide information geared towards the general public, technical audiences, and other stakeholder groups (such as the FEMA website which guides users based on their interest in the maps such as one button for property owners, one for lenders, insurers, etc.); provide an overview of the mapping project; access to preliminary and final FIRMs; contacts and links for further information on FEMA, State, and other local websites. Multi-Media Promotional Activities - Develop press release using template provided by FEMA; contact local media and place press release; follow up with media contacts periodically to encourage them to use press releases in articles, cover key events through live footage of community meetings or other key events; contact radio and television stations to request announcements to advertise meetings; offer to provide knowledgeable officials for interview on radio and/or television talk shows; write articles and publish in trade journals, newsletters, other existing publications that are available to the public; and develop fact sheets, announcements, or brochures and distribute through public libraries, schools, and/or locally-sponsored public events. Operations Minimal Support Activities Minimum performance measures: How much information was provided versus requested, and what level of detail was provided in the business plan? The Partner works with FEMA to provide support and information useful for map modernization efforts such as population, percentage of insurance policy base, the Partner’s vision for implementation, coordination with the FEMA Regional office, recognizing and calling MMMS Guidance Document for FY 2005 October 2004 7 TABLE 2. PARTIAL DESCRIPTION OF MMMS ACTIVITIES MEASUREMENT AREA ACTIVITY RECOMMENDED PERFORMANCE MEASURE DESCRIPTION attention to gaps and shortfalls. Operations Managing Updates to National Management Information System Minimum performance measures: Was accurate information provided? Did technical submittals meet the data capture standards, and was information provided in a timely manner? The Partner assumes responsibility for ensuring that required updates to National Management Information System are made in an accurate and timely manner. Learning and Growth Training Efforts to State and Local Officials Minimum performance measures: Was a training program developed with topics, schedule, and targeted audiences? Did the topics address tasks included in the scope of engineering and mapping? What percentage of the State or local officials attended the training? The Partner participates in the development and deployment of training in subjects that will encourage the use of digital flood mapping products. Customers and Stakeholders Coordination and Effort in Building Partnerships Minimum performance measures: How many communities were identified and contacted? What percentage of the communities contacted actually participated? How many CTP Partnership Agreements (or MOUs) were signed? Survey community officials to determine if they intend to actively contribute to, and participate in, flood map modernization or flood map maintenance activities. Take steps to foster mutually beneficial partnerships that achieve shared outcomes. Learning and Growth Staffing Minimum performance measures: Were the resources identified sufficient to support Map Modernization activities? Were they technically capable? Were they able to manage the work within budget and schedule? Did they provide status information in a timely manner? Provision of staff dedicated to activities that promote the flood mapping process and the adoption of effective maps by NFIP communities. MMMS Guidance Document for FY 2005 October 2004 8 TABLE 2. PARTIAL DESCRIPTION OF MMMS ACTIVITIES MEASUREMENT AREA ACTIVITY RECOMMENDED PERFORMANCE MEASURE DESCRIPTION Customers and Stakeholders Compliance / Map Adoption Minimum performance measures: Were State and local officials associated with map adoption identified prior to the scoping meeting? Were they kept informed throughout the study? Were they given sufficient notice regarding document reviews and/or meetings? Was there adequate coordination with FEMA compliance staff? Did the Partner provide assistance and/or participate in the development of ordinances for map adoption (e.g., were example ordinances provided)? Coordination and assistance activities that will ensure new flood maps are adopted by NFIP communities. Note: Many States and regional model ordinances have a provision in the ordinance that allows for map revisions to be automatically adopted. The FY 2004 CAP-SSSE Guidance required that State Coordinators have their State model ordinances evaluated by their State Attorney General’s Office to ensure that the automatic adoption of maps is legal in their State. States that have not yet completed this mandatory activity must do so before May 1, 2005. Operations Digital Map Adoption Minimum performance measures: Has or will the State consult with their State Attorney General to ascertain whether digital data may be adopted in lieu of paper maps by May 1, 2005? Section 107 of the Flood Insurance Reform Act of 2004 states that for the purposes of flood insurance and floodplain management, FEMA digital flood hazard data and paper maps are interchangeable and legally equivalent provided that they meet FEMA accuracy standards. States are encouraged to consult with their State Attorney General to ascertain whether digital data may be adopted in lieu of paper maps. MMMS Guidance Document for FY 2005 October 2004 The Cooperative Agreements awarded for management activities under MMMS are intended to supplement, not supplant, ongoing mapping efforts by a Partner, whether it be a State or regional agency. The FEMA funds would be in addition to the resources provided by the Partner for mapping management activities. FEMA will evaluate these activities periodically, and the listing of fundable activities may be enhanced or modified in the future. Allowable Costs Funds awarded cannot necessarily pay for all costs that the Partner might incur in the course of carrying out the project. Allowable costs are determined by reference to the Office of Management and Budget Circulars A-122, “Cost Principles for Nonprofit Organizations;” A-21, “Cost Principles for Education Institutions;” and A-87, “Cost Principles for State, Local and Indian Tribal Governments.” Generally, costs that are allowable inclu de salaries, equipment, supplies, travel, and training, as long as these are “necessary and reasonable.” Eligibility Criteria Partnerships are established based on the following criteria: · The potential Partner must have existing processes and/or systems in place to support the management of mapping or data collection activities that contribute to flood hazard identification. These processes and/or systems must be supported by non-Federal funding. · The potential Partner must have the capability to perform the management activities for which it is applying. This capability may be indicated through (but not limited to) a FEMA regional office review of both previous performances by the Partner and the existing processes or systems the Partner intends to use for MMMS-related activities. A summary of accomplishments from the previous year should be included in the business plan. · The potential Partner must be a State, regional agency, or federally recognized Tribe that serves communities that participate in the NFIP. · Partners that receive funding from FEMA through a Cooperative Agreement must be able to perform the financial management activities required as part of the Cooperative Agreement (i.e., account for Federal funds, prepare financial reports). FEMA regional offices will assist Partners with these financial management activities. · The potential Partner should demonstrate its ability to leverage funding received from FEMA. The national goal for leverage is 20%. However, the more funding a Partner is able to leverage, the higher their probability of receiving increases in funding from FEMA for current and future management. FEMA will evaluate these criteria periodically, and the criteria may be enhanced further in the future. In addition to the eligibility criteria listed above, FEMA may additionally evaluate each business plan for eligibility based on a scoring system that assigns a weight to each activity the MMMS Partner will MMMS Guidance Document for FY 2005 October 2004 10 undertake. Table 3 describes a recommended method of scoring a business plan. The suggested weights should be adjusted based on regional needs and priorities. Table 3. MMMS Business Plan Eligibility Scoring Method When business plans are reviewed, the reviewer(s) may follow the recommended weights above. The reviewer shall score how the MMMS Partner addressed how they will accomplish the activities selected, determine the points, and normalize the score. Additionally, a column may be added that allows the reviewer to comment on how the Partner can improve the score. If a MMMS partner in your Region will be writing a Business Plan for FY 2005, but did not develop a plan for FY 2004, please refer to the Flood Map Modernization Business Plan template below. I. Your vision for supporting Multi-Hazard Flood Map Modernization (Map Mod) a. Describe your current efforts i. Flood hazard data (may include references to State Plans prepared in 2002, 2003, and any updates) ii. Flood hazard mapping Minimal Participation / Minimal Funded Plan (Activities providing useful information, but not providing service) Activities Suggested Weight (0 - 4) Provide State's population 2 Provide percentage of insurance policy base 4 Provide vision for implementation 4 Coordination with Region's support for Map Mod 3 Recognizing gaps and shortfalls 3 Soft Support (Heavy participation without map production management) Activities Suggested Weight (5 -10) Outreach efforts 10 Assessment of community mapping needs in support of MNUSS 10 Digital base map inventory 10 Digital base map data sharing 10 Training efforts to State and local officials 8 Coordination and effort in building partnerships 8 Information technology systems 10 Staffing 5 Project scoping participation 8 Management and Map Maintenance (Strong participation in map production and/or maintenance) Activities Suggested Weight (11 – 15) Program management planning for multiple flood mapping projects 15 Hydrology and Hydraulics Review Management 15 DFIRM maintenance Management 14 Technical standards agreement for State and/or local efforts 14 Performing metrics and goals (planned vs. actual) 12 Compliance / map adoption management 15 Reporting requirements 15 MMMS Guidance Document for FY 2005 October 2004 11 iii. NFIP activities that meet or exceed minimum NFIP criteria (including plans and legislation that support Map Mod activities) b. Describe what you want to achieve II. Needs and Plan/Strategy a. Project Description i. Outline how the State/locality will develop or maintain the capability and capacity for managing the Flood Map Modernization efforts b. Justification i. Describe how you will help achieve the goals listed in the Multi-hazard Flood Map Modernization Objectives ii. For each activity chosen, describe your staff capabilities, existing resources, and training needs 1. These activities may include, but are not limited to, the “Partial Description of MMMS Activities” in Table 2 of the MMMS Guidance 2. Other activities may include management or support activities that you believe will advance the objectives of Map Mod iii. Describe or define existing shortfalls (staffing or other resources) iv. Relate your proposed activities to your Governor’s or Department’s existing strategic plan(s), as available (or other documented support of the chief executive officer or board of directors) v. Project Plan 1. Describe your project management plan that will ensure that goals and activities you propose will successfully be accomplished, include: a. Project timeline b. Resource/Staffing (federal, state, local, contractor) c. Deliverable(s) d. Reporting e. Assurance III. Performance Goals/Cost and Schedule Measures a. For each activity you proposed in Section II, identify: i. How it benefits the State ii. How it supports the Map Mod objectives b. Explain your system for tracking and reporting cost, schedule, and performance i. Measures of performance IV. Alternatives/Varying Funding Levels a. Given the following alternative funding levels, describe federal funding, state/locality/partner funding, and performance over a 5-year period: i. Full – Adequate funding to accomplish each proposed activity that meets Map Mod objectives. Show funding per year for a 5-year period. ii. Medium – Approximately 2/3 of full funding to accomplish the prioritized activities that meet Map Mod objectives. Show funding and prioritization of activities per year for a 5- year period. iii. Low – Approximately 1/3 of full funding to accomplish only the top prioritized activities that meet Map Mod objectives. Show funding and prioritization of activities per year for a 5-year period. iv. State or Locally Funded - Activities that do not require Federal funds. b. Explain how FEMA funding will fill the shortfalls identified in Section II c. Explain how the State/local match, where applicable, will be provided. MMMS Guidance Document for FY 2005 October 2004 12 Reporting Requirements States and regional agencies are required to report at least semi-annually to the Regions to demonstrate progress in meeting agreed-upon performance measures contained in the business plans. Some regions may require quarterly reporting to satisfy unique regional grants management requirements. (See the quarterly report template toward the end of this binder.) Regions are held accountable for funds expended through MMMS and must require that their States and regional agencies document work so that progress can be tracked. States and regional agencies that prepared business plans in FY 2004 must report on the progress of the activities identified in the plan, and are expected to cooperate with Regions by submitting documentation or other evidence that demonstrates work completed. MMMS Partners must report on progress already made in FY 2003-2004 activities. Technical Capabilities In addition to the eligibility criteria described above, a potential Partner must have in-house staff capabilities in the appropriate technical areas sufficient to perform the specified management activitie s. If the work for any activity is contracted, the potential Partner must have in-house staff capable of monitoring the contractor(s) and approving the products developed by the contractor(s). For these purposes, “capability” means demonstrated experience in the performance of, or management through contracting of, similar activities. Evaluation Criteria Throughout the project and at the end of the period of performance, FEMA will evaluate the effectiveness of the partnership to determine eligibility for future activities under the MMMS Program. If FEMA determines that the partnership has proven insufficient to complete the established project or achieve the goals of the partnership, FEMA’s funding of the management activities may be discontinued. FEMA will base its evaluation of the Partner’s demonstrated performance on the following criteria: q Management and continued support of, flood hazard identification and mapping activities conducted with and by FEMA based on established performance metrics; q Adherence to standards for timeliness and completeness of reports, products, and the selection of MMMS business plans, based on the internal/external scoring process submitted to the FEMA Regional Office; and q Level of cooperation and coordination with the staff of the following organizations during all phases of the MMMS activities as needed: FEMA Regional Office; Risk Identification Branch of the Mitigation Division in the FEMA Headquarters Office in Washington, DC; and designated FEMA contractors. Assessment of Future Business Plans Each Regional office must decide how to distribute its available MMMS funds, based on the merit of their participants’ Business Plans. For FY 2005, each MMMS partner should perform a self-assessment of their FY 2004 Business Plans and make any adjustments necessary. Successes from previous years MMMS Guidance Document for FY 2005 October 2004 13 will directly correspond to the partners’ ability to receive future funding under MMMS; therefore, a summary of accomplishments from the previous year should be thoroughly documented. Standards Unless otherwise indicated in specific agreements, all flood hazard identification management activities will be accomplished in accordance with the relevant portions of the NFIP regulations (44 CFR Parts 59– 77) as well as the standards contained in FEMA's Guidelines and Specifications for Flood Hazard Mapping Partners, which can be downloaded from the FEMA Website (http://www.fema.gov/fhm/dl_cgs.shtm). Certification Any data generated under Cooperative Agreements must meet the applicable certification requirements for the identification and publication of flood hazard information as indicated in 44 CFR Part 65, Identification and Mapping of Special Hazard Areas. Some States have adopted more stringent mapping standards than the minimum NFIP regulatory requirements. For these cases, Partners must coordinate all activities with the State to ensure that products are reviewed and concurred upon, and all products resulting from an MMMS-related management activity must meet State certification requirements. Funding MMMS activities may be funded based on FEMA’s priority of mapping needs, the availability of FEMA funds, and the resources contributed by the MMMS Partner. Therefore, funding is competitive and discretionary (not guaranteed). All funds will be provided through a Cooperative Agreement. Because the FEMA mapping budget varies annually, the amount of funding for MMMS-related activities also will vary. Any awards made in accordance with the guidance will be subject to the availability of funds. MMMS funding is distributed in two phases. MMMS partners who are developing a plan for FY 2005 that did not submit a plan in FY 2004 may receive the full amount of phase I funding ($30,000) provided the partner submits an approved business plan. A reduced amount of phase I funding ($10,000) will be provided to MMMS partners in FY 2005 who are revising their FY 2004 Business Plans based on the MHIP or Regional input. Phase II is the implementation of the activities identified in the business plan. The Regions will determine individual levels of funding for each partner based solely upon the activities proposed and the level of commitment shown in the approved business plans. Contracting Contractors used by Partners for FEMA -funded activities must meet the requirements of Part 13 of the Code of Federal Regulations (44 CFR Part 13), Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments. Within Part 13, §13.36 covers procurement standards that must be followed for any mapping management-related activities for which a Partner wishes to contract with another party. Items in this Part include, but are not limited to, contract administration and record keeping, notification requirements, review procedures, competition, methods of procurement, and cost and pricing analysis. Part 13 may be downloaded in PDF or text format from the U.S. Government Printing Office Website (http://www.access.gpo.gov/nara/cfr/waisidx_02/44cfr13_02.html). MMMS Guidance Document for FY 2005 October 2004 14 If requested by the Partner, FEMA will provide assistance in developing selection criteria for contracted tasks. All work must meet the certification requirements described above. Cooperative Agreement Management MMMS activities must meet the requirements of 44 CFR Part 13, which sets forth requirements for Cooperative Agreement administration and management. These requirements include, but are not limited to, record keeping, allowable costs, and processes for use of contractors. Part 13 may be downloaded from the U.S. Government Printing Office Website (http://www.access.gpo.gov/nara/cfr/waisidx_02/44cfr13_02.html). FEMA Regional staff should review any open MMMS cooperative agreements prior to issuing additional funds to the same partner. Ensure that financial and progress reports are current and indicate that adequate progress has been made on the previous agreement. Additional FEMA Assistance FEMA offers an array of technical and programmatic assistance to MMMS Partners, free of charge, including the resources listed below. q Archived support data will be available from the FEMA National Service Provider. Available information includes: Ø Copies of FEMA-issued Letters of Map Change (that is, Letters of Map Amendment, Letters of Map Revision) Ø Data collected as part of the FEMA mapping needs assessment process Ø FEMA’s rule-based engineering software packages, including CHECK-2, CHECK-RAS, FISPLOT, and RASPLOT Ø Access to FEMA’s Community Information System (CIS), which is a centralized repository of information about the NFIP. (CIS is community-based and contains community status information, contact information, local map repositories, effective flood maps, Letters of Map Change, flood study activity underway, and aggregate flood insurance policy information.) q Training courses will be offered through FEMA’s Emergency Management Institute. Examples of courses relevant to MMMS and the floodplain mapping program are listed below (visit http://www.fema.gov/fhm/ctp_train.shtm for additional information on training opportunities at the Emergency Management Institute): Ø Up-To-Date Maps Through Partnerships Ø Assessment of Community Mapping Needs Ø Developing a Project Scope and Outreach Strategy Ø Cooperative Agreements and Use of Contractors Ø Mapping Activity Statements and Technical Support Data Notebooks Ø Topographic Data Development Ø Flood Hazard Data Development Ø Base Mapping and Digital Flood Maps Ø Map Production and Processing Requirements q Specific technical and programmatic support, such as peer review, base map selection, and/or tailored training, also may be provided by FEMA through designated FEMA contractors. MMMS Guidance Document for FY 2005 October 2004 15 q General technical and programmatic information regarding the NFIP and the FEMA Flood Hazard Mapping Program can be downloaded from FEMA’s Flood Hazard Mapping Website (http://www.fema.gov/fhm). Program Management FEMA Regional Offices will manage all activities under MMMS. The FEMA Regional MMMS Coordinators are listed below. Region 1 (Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, and Vermont) Dean Savramis 99 High Street, 6th Floor Boston, MA 02110 Telephone: (978) 461-5323 E-mail: dean.savramis@dhs.gov Region 2 (New Jersey, New York, Puerto Rico, and US Virgin Islands) Paul Weberg 26 Federal Plaza, Room 1337 New York, NY 10278-0002 Telephone: (212) 680-3638 E-mail: paul.weberg@dhs.gov Region 3 (Delaware, District of Columbia, Maryland, Pennsylvania, Virginia, and West Virginia) Jon Janowicz One Independence Mall 615 Chestnut Street, 6th Floor Philadelphia, PA 19106-4404 Telephone: (215) 931-5524 E-mail: jon.janowicz@dhs.gov Region 4 (Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina, South Carolina, and Tennessee) Bruce Buckerfield 3003 Chamblee Tucker Road Atlanta, GA 30341 Telephone: (770) 220-5397 E-mail: bruce.buckerfield@dhs.gov Region 5 (Illinois, Indiana, Michigan, Minnesota, Ohio, and Wisconsin) Ken Hinterlong, Team Lead 536 South Clark Street, 6th Floor Chicago, IL 60605 Telephone: (312) 408-5529 E-mail: ken.hinterlong@dhs.gov Mary Jo Mullen (Indiana, Michigan, and Ohio) Telephone: (312) 408-5541 E-mail: maryjo.mullen@dhs.gov Lee Traeger (Illinois, Minnesota, and Wisconsin) MMMS Guidance Document for FY 2005 October 2004 16 Telephone: (312) 408- 5538 E-mail: lee.traeger@dhs.gov Region 6 (Arkansas, Louisiana, New Mexico, Oklahoma, and Texas) Gary Zimmerer (Arkansas and Louisiana) Federal Regional Center, 800 North Loop 288, Room 206 Denton, TX 76210-3698 Telephone: (940) 898-5161 E-mail: gary.zimmerer@dhs.gov Jim Orwat (New Mexico and Oklahoma) Federal Regional Center, 800 North Loop 288, Room 206 Denton, TX 76210-3698 Telephone: (940) 898-5302 E-mail: james.orwat@dhs.gov Jack Quarles (Texas) Federal Regional Center, 800 North Loop 288, Room 206 Denton, TX 76210-3698 Telephone: (940) 898-5156 E-mail: jack.quarles@dhs.gov Region 7 (Iowa, Kansas, Missouri, and Nebraska) Rich Leonard 2323 Grand Avenue, Suite 900 Kansas City, MO 64108-2670 Telephone: (816) 283-7009 E-mail: richard.leonard@dhs.gov Region 8 (Colorado, Montana, North Dakota, South Dakota, Utah, and Wyoming) John Liou or Marijo Camrud Denver Federal Center, Bldg. 710, Box 25267 Denver, CO 80225-0267 Telephone: (303) 235-4836 Telephone: (303) 235-4835 E-mail: john.liou@dhs.gov E-mail: marijo.camrud@dhs.gov Region 9 (Arizona, California, Hawaii, Nevada, American Samoa, Guam, Marshall Islands and Northern Mariana Islands) Les Sakumoto (Northern California and Nevada) 1111 Broadway, Suite 1200 Oakland, CA 94607 Telephone: (510) 627-7183 E-mail: leslie.sakumoto@dhs.gov Ray Lenaburg (Southern California, Arizona, Hawaii, American Samoa, Guam, Marshall Islands and Northern Mariana Islands ) 1111 Broadway, Suite 1200 Oakland, CA 94607 Telephone: (510) 627-7181 E-mail: raymond.lenaburg@dhs.gov MMMS Guidance Document for FY 2005 October 2004 17 Region 10 (Alaska, Idaho, Oregon, and Washington) Dave Carlton Federal Regional Center, 130 228th Street SW. Bothell, WA 98021-9796 Telephone: (425) 487-4703 E-mail: david.carlton@dhs.gov Federal Emergency Management Agency Agreement Articles – Map Modernization Management Support GRANTEE: _____________________________________________________________________ AGREEMENT NUMBER: _____________ AMENDMENT NUMBER: _____________ PERFORMANCE PERIOD: _______________________________________________________ ARTICLE I – PROGRAM DESCRIPTION The roles and responsibilities of both FEMA and the Grantee under this agreement are outlined in the attached Mapping Activity Statement. The Grantee shall perform the work described in the Mapping Activity Statement, which is included as part of the application package, dated ________________ and revised on _______________ and made a part of these Cooperative Agreement Articles. ARTICLE II – PERIOD OF PERFORMANCE The period of performance shall be up to 24 months from the effective date of this Cooperative Agreement: ____________________ thru ____________________. ARTICLE III – AMOUNT AWARDED This Cooperative Agreement is for the administration and completion of an approved, cost shared, Cooperating Technical Partners Initiative. Cooperative Agreement funds shall not be used for other purposes. The budgeted estimates for object classes for this award are: Total Budget Federal Cost Share Non-Federal Cost Share Personnel _____________ _______________ ___________________ Fringe Benefit _____________ _______________ ___________________ Travel _____________ _______________ ___________________ Equipment _____________ _______________ ___________________ Supplies _____________ _______________ ___________________ Contractual _____________ _______________ ___________________ Construction _____________ _______________ ___________________ Other _____________ _______________ ___________________ Indirect Charges _____________ _______________ ___________________ Total Budget _____________ _______________ ___________________ 2 ARTICLE IV – REQUEST FOR ADVANCE/REIMBURSEMENT A. The Grantee shall be paid using the HHS Smartlink System, provided it maintains or demonstrates the willingness and ability to maintain procedures to minimize the time elapsing between the transfer of the funds and their disbursements by the Grantee. When these requirements are not met, the Grantee will be required to use the reimbursement method as the preferred funding method. Or – B. FEMA uses the Direct Deposit/Electronic Funds Transfer (DD/EFT) method of payment to its Grantees. To enroll in the DD/EFT, the Grantee must complete a Standard Form 1199A, Direct Deposit Form. The Grantee may be paid in advance, or reimbursed by completing the Standard Form (SF) 270, Request for Advance/Reimbursement. In accordance with Treasury regulations at 31 CFR, Part 205, the Grantee shall request funds not more than 3 business days prior to the day on which it makes a disbursement. C. Interest earned on advances will be handled in compliance with 44 CFR 13.21(i). ARTICLE V – FINANCIAL REPORTS The Grantee shall submit Financial Status Reports (using FEMA Form 20-10) to the FEMA Regional Office indicated below, within 30 days after the end of each quarter. Reporting dates are January 30, April 30, July 30 and October 30. The final Financial Status Report is due 90 days after the close of the cooperative agreement. In addition, if the Grantee uses Smartlink, it shall submit a Financial Cash Transactions Report (PMS 272) to the address shown below. FEMA Region ___ _____________________________ Attn: Assistance Officer, Operations Support Division _____________________________ NOTE: If the Request for Advance/Reimbursement is used for payment, the quarterly financial reports may be waived by FEMA with only the final Financial Status Report due 90 days after the close of the Cooperative Agreement. ARTICLE VI – PERFORMANCE REPORTS The Grantee shall submit performance reports to the FEMA Regional Office within 30 days after the end of 3 each quarter. Reporting dates are January 30, April 30, July 30 and October 30. The final performance report is due 90 days after the close of the cooperative agreement. The Grantee shall submit copies of the performance report to the FEMA Regional Office at the address listed in Article V. Grantees may request a waiver of the first quarter performance report from the Regional Assistance Officer. ARTICLE VII. GOVERNING PROVISIONS The Grantee and any sub-grantees shall comply with all applicable laws and regulations. A nonexclusive list of laws and regulations commonly applicable to FEMA grants is attached hereto for reference only. The Grantee and any Sub-Grantees shall also be bound by the Guidance Document, which is attached hereto [can also include NOFA, with appropriate citation]. The following Office of Management and Budget circulars are also applicable to this grant: [OMB Circular A-110 Uniform Administrative Requirements for Grants and Agreements with institutions of Higher Education, Hospitals, and Other Non-Profit Organizations OMB Circular A-102 Uniform Administrative Requirements for Grants and Cooperative Agreements with State and Local Governments] [OMB Circular A-87 Cost Principles for State and Local Governments OMB Circular A-21 Cost Principles for Educational Institutions OMB Circular A-122 Cost Principles for Nonprofit Organizations] OMB Circular A-133 Audits of States, Local Governments, and Non-Profit Organizations 4 Commonly Applicable Statutes and Regulations The Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended, 42 U.S.C. §§ 5121-5206 (Stafford Act). Title 44 of the Code of Federal Regulations (CFR) ARTICLE VIII – GRANT REVISIONS A. In compliance with 44 CFR 13.30, revisions to the grant award shall follow prior approval requirements found in 44 CFR Part 13.30. If the FEMA share of the cooperative agreement exceeds $100,000, for non-construction cooperative agreements, FEMA’s approval is required prior to the transfer of funds between total direct cost categories in the approved budget when such cumulative transfers exceed ten percent of the total budget. For all cooperative agreements, regardless of the amount of funding, the Grantee shall obtain prior written approval for any budget revision, which would result in the need for additional funds. If a grant provides funding for both construction and non-construction activities, the Grantee must obtain written approval from FEMA before making any fund or budget transfer from nonconstruction to construction or vice versa. A. No transfer of funds to agencies other than those identified in the approved cooperative agreement application shall be made without prior approval from FEMA. B. Cost share contributions, cash and in-kind, must be in compliance with 44 CFR 13.24 or Cost Principles contained in the appropriate OMB Circular (A- __.) Except as allowed by Federal statute, no other Federal grant funds can be used as a match. The following documentation is required for cash contributions: Record of source of donor, dates, rates, amounts, and deposit slips. The following documentation is required for in-kind contributions: Record of donor, dates, rates, and amount. Requirements for in-kind contributions can be found in 44 CFR, Part 13.24 or OMB Circular A- 110.23. C. If a Grantee estimates that it will have unobligated funds remaining after the end of the performance period, the Grantee should report this to the FEMA Regional Office for disposition instructions. D. Requests for time extensions to the performance period will be considered but will not be granted automatically and must be supported by adequate justification in order to be processed. The justification shall contain the reason for the delay, an outline of remaining funds available to support the extended performance period and a description of the performance measures necessary to complete the project. ARTICLE IX – OTHER TERMS AND CONDITIONS The other terms and conditions of this agreement are as follows: 5 A. Prior to the start of any construction activity, the Grantee shall ensure that all applicable Federal, State, and local permits and clearances are obtained. B. Prior to the start of any project, it must be reviewed by FEMA for compliance with the National Environmental Policy Act (NEPA), as implemented under 44 CFR, Part 10. Grantees are encouraged to seek guidance from the FEMA Environmental Officer in complying with NEPA and other environmental requirements. The Grantee shall transfer to FEMA the appropriate share, based on the Federal support percentage, of any refund, rebate, credit or other amounts arising from the performance of this agreement, along with accrued interest, if any. D. The Grantee is free to copyright original work developed in the course of or under the agreement. FEMA reserves a royalty-free, nonexclusive and irrevocable right to reproduce, publish, or otherwise use, and to authorize others to use, the work for Government purposes. Any publication resulting from work performed under this agreement shall include an acknowledgement of FEMA financial support and a statement that the publication does not necessarily reflect FEMA’s views. ARTICLE X – AUDIT REQUIREMENTS All Grantees must follow the audit requirements of OMB Circular No. A-133, Revised. Non-Federal entities that expend $300,000 or more in Federal awards in a year shall have a single or program-specific audit conducted for that year in accordance with the provisions of A-133. ARTICLE XI – GENERAL PROVISIONS The following are hereby incorporated into this agreement by reference: 44 CFR Emergency Management and Assistance Regulations (This publication is available at www.4.law.cornell.edu/cfr/44cfr.htm#start) 44 CFR Part 10 Environmental Considerations 44 CFR Part 13 Uniform administrative requirements for grants and cooperative agreements to state and local governments 44 CFR Part 7 Nondiscrimination In Federally-Assisted Programs (FEMA) 44 CFR Part 17 Government wide debarment and suspension (nonprocurement) and government wide requirements for drugfree workplace (grants) 6 44 CFR Part 18 New restrictions on lobbying 44 CFR SUBCHAPTER B - Insurance and Hazard Mitigation 44 CFR SUBCHAPTER C - Fire Prevention and Control 44 CFR SUBCHAPTER D - Disaster Assistance 44 CFR SUBCHAPTER E - Preparedness 31 CFR 205.6 Funding techniques (This publication is available at www.4.law.cornell.edu/cfr/31cfrII.htm#start) OMB Circular A-102 Uniform Administrative Requirements for grants and Cooperative Agreements with State and Local Governments OMB Circular A-87 Cost Principles for State and Local Governments OMB Circular A-110 Uniform Administrative Requirements for Grants and Agreements With Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations OMB Circular A-21 Cost Principles for Educational Institutions OMB Circular A-122 Cost Principles for Nonprofit Organizations (All Circulars are available at www.whitehouse.gov/OMB/grants/index.html) Application Cooperative Agreement Application and Assurances contained therein received by FEMA on ______________________________.