final fy 2011 cap-ssse final program guidance.pdf

FISCAL YEAR 2011

COMMUNITY ASSISTANCE PROGRAM –

STATE SUPPORT SERVICES ELEMENT (CAP-

SSSE) PROGRAM GUIDANCE

GUIDANCE AND APPLICATION KIT

FEBRUARY 2011

U . S . D E P A R T M E N T O F H O M E L A N D S E C U R I T Y

Title of Opportunity: Community Assistance Program – State Support Services Element (CAP-SSSE) Program

Funding Opportunity Number:

Region I DHS-11-MT-023-001-99 Region II DHS-11-MT-023-002-99 Region III DHS-11-MT-023-003-99 Region IV DHS-11-MT-023-004-99 Region V DHS-11-MT-023-005-99 Region VI DHS-11-MT-023-006-99 Region VII DHS-11-MT-023-007-99 Region VIII DHS-11-MT-023-008-99 Region IX DHS-11-MT-023-009-99 Region X DHS-11-MT-023-010-99

Federal Agency Name: U.S. Department of Homeland Security (DHS) Federal Emergency Management Agency (FEMA)

Announcement Type: Initial Annual Funding Announcement

Dates: Completed applications must be submitted no later than 11:59 PM Eastern, March 04, 2011.

Additional overview information: This Guidance updates the Community Assistance Program – State Support Services Element (CAP-SSSE) guidance issued in Federal Fiscal Year 2010.

CONTENTS

Contents

Part I. FUNDING OPPORTUNITY DESCRIPTION

Part II. AWARD INFORMATION

Part III. ELIGIBILITY INFORMATION

A. Eligible Applicants

B. Cost Sharing

C. Eligible Activities and Requirements

D. Restrictions E. Other……………………………………………………………………………13 Part IV. APPLICATION AND SUBMISSION INFORMATION

A. Address to Request Application Package

B. Content and Form of Application

C. Submission Dates and Times

D. Intergovernmental Review E. Funding Restrictions……………………………………………….....……….16 Part V. APPLICATION REVIEW INFORMATION

A. Review Criteria

B. Review and Selection Process

C. Anticipated Announcement and Award Dates…………………………...…22

Part VI. AWARD ADMINISTRATION INFORMATION

A. Notice of Award

B. Administrative and National Policy Requirements C. Reporting Requirements…………………………………….....…………….30 Part VII. FEMA CONTACTS

PART I.

FUNDING OPPORTUNITY DESCRIPTION

Purpose of CAP-SSSE: The purpose of this program is to provide, through a State grant mechanism, a means to ensure that communities participating in the National Flood Insurance Program (NFIP) are achieving the flood loss reduction goals of the NFIP. CAP-SSSE is intended to accomplish this by providing funding to States to provide technical assistance to NFIP communities and to evaluate community performance in implementing NFIP floodplain management activities with the additional goal of building State and community floodplain management expertise and capability.

Authorities and Background: The CAP-SSSE Program derives its authority from the National Flood Insurance Act of 1968, as amended, the Flood Disaster Protection Act of 1973, and from 44 CFR Parts 59 and 60. The National Flood Insurance Act of 1968 prohibits the Administrator from providing flood insurance in a community unless that community adopts and enforces floodplain management measures that meet or exceed minimum criteria in 44 CFR Part 60.3. These floodplain management measures can take the form of floodplain management ordinances, building codes, or zoning provisions. The Act also directs FEMA to work closely with and provide any necessary technical assistance to States and communities participating in the NFIP. CAP-SSSE, through its State partnering agreement, is designed to make State personnel available to assist and supplement FEMA Regions in providing technical assistance to NFIP communities and in monitoring, evaluating, and pursuing corrective actions taken by communities in the performance of local floodplain management responsibilities. State officials can be particularly effective in delivering these services to communities because of their knowledge and familiarity with State governing authorities and how these interrelate with local floodplain management ordinance, as well as their knowledge of related State programs.

PART II.

AWARD INFORMATION

Emphasis on Compliance and Enforcement

In Fiscal Year 2011, the CAP-SSSE program will continue to focus on compliance and enforcement. While map adoption, disaster activities, training and other assistance activities remain important components of the Program’s overall community assistance strategy, a credible compliance and enforcement program is essential to meet the program’s goals of flood loss reduction.

The “Evaluation of the National Flood Insurance Program" supports this priority stating that, “the success of the NFIP depends on communities’ ensuring that buildings and other development within their jurisdiction are constructed and maintained according to these standards so that flood losses will be minimized. If communities…fail to adequately enforce the standards, then lives and property are placed in harm’s way;

buildings will suffer unnecessary flood damage; sound land use planning in floodplains will be discouraged; the NFIP’s actuarial soundness will be jeopardized; changes in public policies and regulations may be based on unreliable data; and the costs to society from future floods will increase unnecessarily.”

The NFIP Evaluation’s primary recommendation with respect to community compliance was to increase the number or Community Assistance Visits (CAVs) conducted annually. To gain maximum benefit from available resources and to ensure the NFIP remains responsive to the needs of all participating communities, FEMA has established a “risk based” priority approach for selecting communities for CAVs to ensure limited resources are applied in the communities most in need of this level of attention.

All States participating in CAP-SSSE are required to conduct CAVs and CACs.

The Regions will work with each State to determine the number and location of the CAVs and CACs to be performed each year.

Selection of Community Assistance Contacts (CACs) and Community Assistance Visits (CAVs) A risk based approach is intended to help ensure that limited staff resources are applied to the communities most in need of a CAV or CAC in each fiscal year in a cost-effective manner. The selection of CACs and CAVs to be conducted in FY 2011 shall use the CAV Tier 1 Prioritization Tool as guidance for determining which communities should receive a CAV. While Selection of CAVs using the Tier 1 tool is required, states and regions may, by exception, select Tier 2 communities for CAVs, with justification added to the CAV Comment Field in the Community Information System (CIS).

Special Attention to Mechanical, Electrical, and Utility Equipment and Flood Openings The NFIP Evaluation also concluded that the most common type of violation found in the Study’s quantitative assessment of building compliance were mechanical and utility equipment located below the Base Flood Elevation (BFE) and openings that do not meet requirements at 44 CFR §60.3(c)(5). Between them, these two types of violations accounted for 50 percent of the violations found within the sample. To improve enforcement of these requirements, special consideration and attention should be paid to mechanical, utility and openings requirements during CAVs.

State CAVs In coordination with the State NFIP Coordinator, Regional Offices may determine that a CAV of the State floodplain management program is appropriate. Regional staff may request assistance with coordination with State agencies or officials, the collection of data and other assistance in preparation of conducting the CAV.

Emphasis on State Strategic Planning

Strategic planning is a collaborative business practice that can be used by FEMA and the states to establish a vision for an effective and comprehensive state floodplain management program and CAP-SSSE partnership.

In FY 2010, FEMA coordinated with the Association of State Floodplain Managers (ASFPM) to develop a strategic planning methodology and guidance document to better assist states in their efforts in undertake strategic planning. The guidance, “Building Effective State Floodplain Management Programs: Strategic Planning Methodology and State Guidance” can be found at:

http://www.fema.gov/plan/prevent/floodplain/fema_cap-ssse.shtm and at www.floods.org

Additional information on the CAP-SSSE State Strategic Planning Strategy will be provided in Federal Fiscal Year 2011.

Authorizing Statutes The National Flood Insurance Act of 1968, as amended, the Flood Disaster Protection Act of 1973.

Period of Performance The period of performance of this grant is 12 months. Extensions to the period of performance will be considered only through formal requests to FEMA with specific and compelling justifications as to why an extension is required.

http://www.fema.gov/plan/prevent/floodplain/fema_cap-ssse.shtm http://www.floods.org/

Available Funding In FY 2011, the total amount of funds distributed under this grant will be $4,500,000.

Funds will be allocated based on negotiations with the FEMA Regional Offices and the designated State agency that specifies activities and products to be completed by a state in return for CAP-SSSE funds.

CAP-SSSE will continue for States that maintain skill capability and who meet the negotiated performance goals. However, annual State funding levels may vary depending on needs, capability, performance, FEMA priorities, and the availability of funds.

PART III.

ELIGIBILITY INFORMATION

A. Eligible Applicants

The National Flood Insurance Act of 1968 prohibits the Administrator from providing flood insurance in a community unless that community adopts and enforces floodplain management measures that meet or exceed minimum criteria in 44 CFR Part 60.3.

These floodplain management measures can take the form of floodplain management ordinances, building codes, or zoning provisions. The Act also directs FEMA to work closely with and provide any necessary technical assistance to States and communities participating in the NFIP. CAP-SSSE, through its State partnering agreement, is designed to make State personnel available to assist and supplement FEMA Regions in providing technical assistance to NFIP communities and in monitoring, evaluating, and pursuing corrective actions taken by communities in the performance of local floodplain management responsibilities.

Eligible Applicants: Under CFR 60.25, Governors have exercised their prerogative of designating a "State Coordinating Agency" that is best able to carry out the flood loss reduction activities of the NFIP. State officials can be particularly effective in delivering these services to communities because of their knowledge, skills and familiarity of floodplain management with State governing authorities and how these interrelate with local floodplain management ordinances, as well as their knowledge of related State programs.

B. Cost Matching

There is a 25 percent non-federal match required for all States receiving CAP-SSSE funds.

FEMA administers cost sharing requirements in accordance with 44 CFR §13.24 or 2 CFR 215.23. To meet matching requirements, the grantee contributions must be reasonable, allowable, allocable and necessary under the grant program and must comply with all Federal requirements and regulations.

C. Eligible Activities and Requirements

Regional Offices are to determine the appropriate levels of effort in each activity to ensure that performance metrics are being met. FEMA is requiring certain measures, and encouraging others, for some of the CAP-SSSE activities as described below.

1) Community Assistance Visits (CAV) and Community Assistance Contacts (CAC):

States participating in CAP-SSSE are required to conduct CAVs and CACs.

States will be required to incorporate the risk-based prioritization as described in the National Flood Insurance Program Guidance for Conducting Community

Assistance Contacts and Community Assistance Visits. The Regions will work with each State to determine the number of CAVs and CACs to be conducted and to ensure that selection is based on the risk-based approach described above. Regions and States are encouraged to make maximum use of the CAC process and other contacts with communities to identify potential compliance problems and needs for technical assistance. The guidance provides guidance in planning for, conducting and providing follow-up for these activities. States must provide appropriate follow-up to CAVs and CACs by providing technical assistance to correct program deficiencies and remedy violations to the maximum extent possible. States must coordinate with Regions, as necessary, to clarify what follow-up is to be provided. States are expected to refer community compliance problems that they are unable to resolve to the Regional

Office. Headquarters staff will also be available for training at Regional CAP

Conferences. All CAVs and CACs must be entered into CIS so that FEMA can monitor this important floodplain management activity.

2) Ordinance Assistance: Assisting communities in reviewing local ordinances to ensure compliance with NFIP requirements and adoption before Flood Insurance

Rate Maps (FIRMs) become effective is of paramount importance. This includes necessary ordinance revisions based upon new hazard data provided by FEMA, as well as incorporating any regulatory changes to meet minimum floodplain management criteria. State Cooperative Agreements shall include a performance measure relating to map adoption. The metric will measure the percentage of participating communities in FY 2011 that have an adopted ordinance referencing the updating map by the FIRM effective date. States must include a mandatory map adoption rate of 93% or higher into their cooperative agreement.

3) Entering Floodplain Management Data in the Community Information System

(CIS): During FY 2011, the number of communities that will adopt new maps is expected to exceed 2,100. For map adoption purposes, CIS will continue to be the authoritative information source for floodplain management staff in

Headquarters as to whether a community has adopted an ordinance or will be suspended when the FIRM becomes effective. Regional Offices must ensure that this information is entered into CIS. Regions shall require States to update and enter information into the CIS as part of their annual CAP-SSSE agreement.

This includes information on ordinance adoption, Community Assistance Visits

(CAVs) and Community Assistance Contacts (CACs), training, general technical assistance, and updating all other fields they are authorized to update.

4) Strategic Planning: Strategic Planning provides an opportunity to assess the current status of a State program and plan for future year demands, find efficiencies, and explore opportunities for expanded services. In cooperation with FEMA, the Association of State Floodplain Managers (ASFPM) has developed a guidance document for strategic planning within State floodplain management programs. The guidance document can be found at http://www.fema.gov/plan/prevent/floodplain/fema_cap-ssse.shtm and www.floods.org.

5) CAP Gap Analysis – States must conduct an annual gap analysis by using the

CAP GAP tool provided at http://www.fema.gov/plan/prevent/floodplain/fema_cap-ssse.shtm. The data collected in the annual analyses will be used to create budget justifications for future year funding of the CAP-SSSE program. The gap analysis is also an important part of the strategic planning process and can be utilized by states in their planning efforts.

6) State Model Ordinance Updates and Monitoring of State Regulatory

Environment: Most States have developed a State model floodplain management ordinance containing the minimum requirements outlined in 44

CFR Section 60.3, as well as any State required floodplain management provisions. In addition, States are encouraged to offer their communities model ordinances that include higher regulatory standards and assist communities to update their model ordinances to include higher standards. States are also encouraged to monitor legal issues affecting floodplain management regulations and activities related to State building code adoption and modifications.

a) Model Building Codes –Many States adopt a building code that is based on one or more of the model codes developed by the International Code

Council (the I-Codes) or the National Fire Protection Association. Most

States require all or some communities to enforce the code. Unless modified by a State, the model codes contain NFIP-consistent provisions for buildings and structures. FEMA and States must ensure an understanding of the implications that the enforcement of these codes have on the local regulatory environment in order to provide accurate technical assistance. States should review their model ordinances and work with communities to ensure that they understand the implications of these codes and how they are enforced with respect to NFIP requirements. A model companion ordinance designed specifically to coordinate with building codes based on the I-Codes will be provided to the Regional Offices. State NFIP coordinators should coordinate with their counterparts in the State code commission or State agency that is responsible for the building code, especially with respect to interpretations that the code commission or state agency may be asked to issue. The

Building Science Branch at FEMA Headquarters is available upon request to provide training on the flood provisions of the International Codes at

Regional CAP Conferences.

7) Outreach, Workshops, and Other Training: States are encouraged to conduct outreach, workshops, and other training for local officials and other stakeholders, including insurance agents, lenders, adjustors, realtors, land surveyors, and design professionals to support implementation and enforcement of community floodplain management regulations, promotion of hazard identification, providing

NFIP insurance training, and support of local and State planning initiatives.

States should conduct workshops and other training and outreach opportunities on a schedule and at locations that are coordinated with the FEMA Region.

Advanced Floodplain Management Concepts 1, E194 (modules: Local Floodplain

Manager Roles and Responsibilities; NFIP Rules and Regulations in Depth;

Letter of Map Change; Preparing for Post-Disaster Responsibilities), and

Advanced Floodplain Management Concepts 2, E282 (modules: Considerations for Placement of Manufactured Homes and RVs in the Floodplain; NFIP Flood

Insurance Principles for the FPM; Higher Standards in Floodplain Management;

Hydrology and Watershed Processes for the Non-Engineer) are available in

FY11 for field deployment. It is anticipated that Advanced Floodplain

Management Concepts 3, E284, will also be available for field delivery in FY11.

See http://www.fema.gov/plan/prevent/floodplain/fema_cap-ssse.shtm for more information on these ATMs.

a) ASFPM Activities: Individual ASFPM membership fees are not covered by

CAP- SSSE funding. However, FEMA highly encourages State floodplain management personnel to attain Certified Floodplain Manager (CFM) credentials. States may use CAP-SSSE funds to allow State employees that are involved in floodplain management activities to take the CFM exam. CAP-SSSE funds can be used to cover initial exam and biennial

CFM renewal fees. States are encouraged to sponsor and proctor CFM exams in coordination with ASFPM.

At the discretion of the Region, States may use CAP-SSSE funding to allow local officials to attend and/or assist with the annual ASFPM conference. These costs must be negotiated with the Region as part of the annual agreement.

b) Costs associated with attendance of State floodplain management personnel at the ASFPM National Conference, FEMA Regional Office

CAP-SSSE Coordination Meetings, and other national meetings related to water resources are eligible.

8) General Technical Assistance: States should provide general technical assistance to communities and individuals to resolve floodplain management issues related to the NFIP.

9) Enrollment of Communities: States should assist communities in joining the

NFIP by providing technical assistance to ensure the community meets the minimum eligibility requirements for participation.

10) Community Rating System (CRS) Support: States should assist communities in joining the NFIP Community Rating System (CRS) through providing general technical assistance, conducting entry CAVs and providing support for activities credited by CRS.

11) Mapping Coordination Assistance: As part of the Flood Map Modernization process, and the FEMA Risk Map Initiative, States must work with the Regions to develop flood mapping priorities, and participate in community meetings held as part of the mapping process. In addition to CAP-SSSE grants, States are eligible for Cooperating Technical Partner (CTP) Program Management funding to meet these responsibilities. The CAP- SSSE plans must be developed separately from but in coordination with the CTP Program Management plans to ensure that CTP is used to complement CAP-SSSE activities and that States will meet all of their responsibilities under Flood Map Modernization and Risk Map. Neither CTP

Program Management nor CAP-SSSE funds can be used for conducting floodplain studies or developing floodplain maps. However, several activities are allowable under both grant programs, including map adoption, training, outreach and others. Use of these resources should be closely coordinated to prevent duplication of effort.

12) Coordination with Other State Programs and Agencies: States are encouraged to coordinate with other State administered programs that impact floodplain management such as the Hazard Mitigation Assistance (HMA) Program that includes: the Hazard Mitigation Grant Program, Pre-Disaster Mitigation Program, Flood Mitigation Assistance, Severe Repetitive Loss Program, and Repetitive

Flood Claims Program. Additional coordination may include the State Dam

Safety Program, and other State land-use, building code and water resources programs, as well as State agencies that routinely conduct activities within floodplains, such as State Departments of Transportation or port authorities.

Coordination with other State agencies on adoption and implementation of State

Executive Orders and regulations that meet State NFIP requirements is also encouraged.

13) Assistance to Communities in Responding to Disasters: States are encouraged to provide post-disaster assistance and support to NFIP communities. Examples of these activities include: technical assistance implementing substantial damage requirements, including use of the Substantial Damage Estimating Software;

assistance to communities enrolling into the NFIP; general floodplain management technical assistance; assistance with the promotion and use of the

NFIP Increased Cost of Compliance coverage, and assistance with HMA programs. Generally, these activities are not included in the annual CAP-SSSE

Agreement, but can be negotiated when a disaster occurs. The CAP-SSSE

Agreement must be modified to reflect these changes when they occur.

D. Restrictions

CAP-SSSE funds are restricted in their use. They can only be used for activities that support the NFIP by fostering effective floodplain management programs in participating communities and providing assistance to non-participating communities in enrolling in the NFIP.

States are encouraged to have at least one full-time person dedicated to CAP-SSSE and other floodplain management activities to help maintain this expertise and capability. If a State does not have the necessary expertise and capability to conduct CAP-SSSE activities, the Region and State are required to develop a remedial plan. If the necessary expertise and capability has not been developed by the State, the following year’s CAP-SSSE funding may be reduced or withheld.

CAP-SSSE funds cannot be used for conducting floodplain studies or developing floodplain maps.

E. Other

National Incident Management System Implementation Compliance

In accordance with Homeland Security Presidential Directive (HSPD)-5, Management of Domestic Incidents, the adoption of the National Incident Management System (NIMS) is a requirement to receive Federal assistance, through grants, contracts, and other activities. The NIMS provides a consistent nationwide template to enable all levels of government, tribal nations, nongovernmental organizations, and private sector partners to work together to prevent, protect against, respond to, recover from, and mitigate the effects of incidents, regardless of cause, size, location, or complexity.

Federal FY 2009 NIMS implementation must be considered prior to allocation of any Federal awards in FY 2011. The primary grantee/administrator of FY 2011 CAP-SSSE award funds is responsible for determining if sub-awardees have demonstrated sufficient progress in NIMS implementation to disburse awards.

PART IV.

APPLICATION AND SUBMISSION

INFORMATION

A. Address to Request Application Package

FEMA makes all funding opportunities available through the common electronic “storefront” grants.gov, accessible on the Internet at http://www.grants.gov. If you experience difficulties accessing information or have any questions please call the grants.gov customer support hotline at (800) 518-4726.

Application forms and instructions are available at Grants.gov. To access these materials, go to http://www.grants.gov , select “Apply for Grants,” and then select “Download Application Package.” Enter the CFDA and/or the funding opportunity number located on the cover of this announcement. Select “Download Application Package,” and then follow the prompts to download the application package. To download the instructions, go to “Download Application Package” and select “Instructions.”

Paper copies of materials may also be requested from FEMA Regional CAP-SSSE Program Coordinators. Contact information for each Region can be found at http://www.fema.gov/about/regions/index.shtm

B. Content and Form of Application

1. Application via www.grants.gov. All applicants must file their applications using the Administration’s common electronic “storefront” - www.grants.gov. Eligible grantees must apply for funding through this portal, accessible on the Internet at www.grants.gov. See Attachment 4 for additional information on grants.gov

The application must be completed and submitted using www.grants.gov after Central Contractor Registration (CCR) is confirmed. The on-line application includes the following required forms and submissions:

Standard Form 424, Application for Federal Assistance

Standard Form 424A, Budget Information (Non-construction)

Standard Form 424B, Standard Assurances (Non-construction)

Standard Form 424C, Budget Information (Construction)

Standard Form 424D, Standard Assurances (Construction)

Standard Form LLL, Disclosure of Lobbying Activities (if the grantee has engaged or intends to engage in lobbying activities) file://hqei3f1/FIMASHARE/Common/Floodplain%20Management%20Branch/CAP-SSSE/2011/AppData/Local/Microsoft/Windows/stacey.street/Local%20Settings/Documents%20and%20Settings/lwatson6/Local%20Settings/Temporary%20Internet%20Files/Local%20Settings/Temporary%20Internet%20Files/Local%20Settings/Temporary%20Internet%20Files/Local%20Settings/Temporary%20Internet%20Files/Local%20Settings/Temporary%20Internet%20Files/Local%20Settings/Temporary%20Internet%20Files/Local%20Settings/Temporary%20Internet%20Files/OLK2F/grants.gov http://www.grants.gov/ file://hqei3f1/FIMASHARE/Common/Floodplain%20Management%20Branch/CAP-SSSE/2011/AppData/Local/Microsoft/Windows/stacey.street/Local%20Settings/Documents%20and%20Settings/lwatson6/Local%20Settings/Temporary%20Internet%20Files/Local%20Settings/Temporary%20Internet%20Files/Local%20Settings/Temporary%20Internet%20Files/Local%20Settings/Temporary%20Internet%20Files/Local%20Settings/Temporary%20Internet%20Files/Local%20Settings/Temporary%20Internet%20Files/Local%20Settings/Temporary%20Internet%20Files/OLK2F/grants.gov http://www.grants.gov/ http://www.fema.gov/about/regions/index.shtm file://hqei3f1/FIMASHARE/Common/Floodplain%20Management%20Branch/CAP-SSSE/2011/DRAFT%20OF%20GUIDANCE%20-%20SENT%20TO%20REGIONS%209-24-10/www.grants.gov file://hqei3f1/FIMASHARE/Common/Floodplain%20Management%20Branch/CAP-SSSE/2011/DRAFT%20OF%20GUIDANCE%20-%20SENT%20TO%20REGIONS%209-24-10/www.grants.gov file://hqei3f1/FIMASHARE/Common/Floodplain%20Management%20Branch/CAP-SSSE/2011/DRAFT%20OF%20GUIDANCE%20-%20SENT%20TO%20REGIONS%209-24-10/www.grants.gov http://www.grants.gov/

Grants.gov (GG) Lobbying Form, Certification Regarding Lobbying

FEMA Form 20-16C, Certifications Regarding Lobbying; Debarment, Suspension and Other Responsibility Matters; and Drug-Free Workplace Requirements

The program title listed in the CFDA is “Community Assistance Program State Support Services Element (CAP-SSSE).” The CFDA number is 97.023.

2. Dun and Bradstreet Data Universal Numbering System (DUNS) number. The applicant must provide a DUNS number with their application. This number is a required field within www.grants.gov and for CCR. Organizations should verify that they have a DUNS number, or take the steps necessary to obtain one, as soon as possible. Applicants can receive a DUNS number at no cost by calling the dedicated toll-free DUNS Number request line at (866) 705-5711.

3. Central Contractor Registration (CCR). The application process also involves an updated and current CCR by the applicant, which must be confirmed at http://www.ccr.gov.

C. Submission Dates and Times

Completed applications must be submitted electronically through www.grants.gov no later than 11:59 PM EST, March 4, 2011. Upon successful submission, a confirmation e-mail message will be sent with a grants.gov tracking number, which is needed to track the status of the application.

D. Intergovernmental Review

Executive Order 12372 requires applicants from State and local units of government or other organizations providing services within a State to submit a copy of the application to the State Single Point of Contact (SPOC), if one exists, and if this program has been selected for review by the State. Applicants must contact their State SPOC to determine if the program has been selected for State review. Executive Order 12372 can be referenced at http://www.archives.gov/federal-register/codification/executive-order/12372.html. The names and addresses of the SPOCs are listed on OMB’s home page available at: http://www.whitehouse.gov/omb/grants/spoc.html.

E. Funding Restrictions

DHS grant funds may only be used for the purpose set forth in the grant, and must be consistent with the statutory authority for the award. Grant funds may not be used for matching funds for other Federal grants/cooperative agreements, lobbying, or intervention in Federal regulatory or adjudicatory proceedings. In addition, Federal funds may not be used to sue the Federal government or any other government entity.

http://www.grants.gov/ http://www.ccr.gov/ http://www.grants.gov/ http://www.grants.gov/ http://www.archives.gov/federal-register/codification/executive-order/12372.html http://www.archives.gov/federal-register/codification/executive-order/12372.html http://www.whitehouse.gov/omb/grants/spoc.html

Pre-award costs are allowable only with the written consent of DHS and if they are included in the award agreement.

Federal employees are prohibited from serving in any capacity (paid or unpaid) on any proposal submitted under this program. Federal employees may not receive funds under this award.

PART V.

APPLICATION REVIEW INFORMATION

A. Review Criteria

FEMA Regional Offices and the designated State agency negotiate a CAP-SSSE Cooperative Agreement (Agreement) that specifies activities and products to be completed by a State in return for CAP-SSSE funds. Where possible community assistance should integrate the expertise of the State on how best to build and maintain community floodplain management capability. The Agreement is subject to amendments and modifications when approved by both parties. In instances where the State is unable to complete the work agreed to, a renegotiation must occur. When events such as disasters, loss of State staff, or other unforeseen event occurs, the State and Region should reassess the priorities and amend the Agreement to reflect actual work performed. Performance measures that address quality of service are to be developed and measured. The CAP-SSSE Agreement is not intended to fund all floodplain management activities undertaken by the State NFIP Coordinating Agency, only those activities that the Region and State agree to. States are expected to continue to perform other duties and responsibilities of the State NFIP Coordinating Agency and support State floodplain management programs and initiatives using their own resources and funding.

B. Review and Selection Process

FEMA's Regional Offices will contact eligible States to negotiate a mutually acceptable cooperative agreement. Funding is made available when the grant agreement is negotiated and agreed upon. Continued participation in the CAP-SSSE is dependent upon completing activities described in the agreement. The CAP-SSSE is designed to utilize the floodplain management capabilities of individual States in a cost effective cooperative agreement with FEMA. A State's participation in the CAP-SSSE is voluntary and is contingent upon need and skill level capability.

Funds will not be made available for obligation, expenditure, or drawdown until the applicant’s budget and budget narrative have been approved by FEMA.

The applicant must provide a detailed budget for the funds requested. The detailed budget must be submitted with the grant application as a file attachment within www.grants.gov. The budget must be complete, reasonable, and cost-effective in relation to the proposed project. The budget should provide the basis of computation of all project-related costs, any appropriate narrative, and a detailed justification of management and administrative (M&A) costs.

Sample Budget Detail Worksheet

The Budget Detail Worksheet may be used as a guide to assist applicants in the preparation of the budget and budget narrative. You may submit the budget and budget narrative using the following suggested form, or in the format of your choice (plain sheets, your own form, or a variation of this form). However, all required information (including the budget narrative) must be provided. Any category of expense not applicable to your budget may be deleted.

A. Personnel. List each position by title and name of employee, if available. Show the annual salary rate and the percentage of time to be devoted to the project. Compensation paid for employees engaged in grant activities must be consistent with that paid for similar work within the applicant organization.

Name/Position Computation Cost

TOTAL _________

B. Fringe Benefits. Fringe benefits should be based on actual known costs or an established formula. Fringe benefits are for the personnel listed in budget category (A) and only for the percentage of time devoted to the project. Fringe benefits on overtime hours are limited to FICA, Workman’s Compensation and Unemployment Compensation.

Name/Position Computation Cost

Total Personnel & Fringe Benefits _________

C. Travel. Itemize travel expenses of project personnel by purpose (e.g., staff to training, field interviews, advisory group meeting, etc.). Show the basis of computation (e.g., six people to 3-day training at $X airfare, $X lodging, $X subsistence). In training projects, travel and meals for trainees should be listed separately. Show the number of trainees and unit costs involved.

Identify the location of travel, if known. Indicate source of Travel Policies applied, Applicant or Federal Travel Regulations.

Purpose of Travel Location Item Computation Cost

D. Equipment. List non-expendable items that are to be purchased. Non-expendable equipment is tangible property having a useful life of more than one year. (Note: Organization’s own capitalization policy and threshold amount for classification of equipment may be used).

Expendable items should be included either in the “Supplies” category or in the “Other” category. Applicants should analyze the cost benefits of purchasing versus leasing equipment, especially high cost items and those subject to rapid technical advances. Rented or leased equipment costs should be listed in the “Contractual” category. Explain how the equipment is necessary for the success of the project. Attach a narrative describing the procurement method to be used.

Item Computation Cost

Budget Narrative: Provide a narrative budget justification for each of the budget items identified.

E. Supplies. List items by type (office supplies, postage, training materials, copying paper, and other expendable items such as books, hand held tape recorders) and show the basis for computation. (Note: Organization’s own capitalization policy and threshold amount for classification of supplies may be used). Generally, supplies include any materials that are expendable or consumed during the course of the project.

Supply Items Computation Cost

F. Consultants/Contracts. Indicate whether applicant’s formal, written Procurement Policy or the Federal Acquisition Regulations are followed.

Consultant Fees: For each consultant enter the name, if known, service to be provided, hourly or daily fee (8-hour day), and estimated time on the project.

Name of Consultant Service Provided Computation Cost

Budget Narrative: Provide a narrative budget justification for each of the budget items identified.

Subtotal ___________

Consultant Expenses: List all expenses to be paid from the grant to the individual consultant in addition to their fees (i.e., travel, meals, lodging, etc.)

Item Location Computation Cost

Budget Narrative: Provide a narrative budget justification for each of the budget items identified.

Subtotal __________

Contracts: Provide a description of the product or services to be procured by contract and an estimate of the cost. Applicants are encouraged to promote free and open competition in awarding contracts. A separate justification must be provided for sole source contracts in excess of $100,000.

Item Cost

Budget Narrative: Provide a narrative budget justification for each of the budget items identified.

Subtotal ________

TOTAL __________

G. Other Costs. List items (e.g., rent, reproduction, telephone, security services, and investigative or confidential funds) by major type and the basis of the computation. For example, provide the square footage and the cost per square foot for rent, and provide a monthly rental cost and how many months to rent.

Description Computation Cost

Budget Narrative: Provide a narrative budget justification for each of the budget items identified.

Important Note: If applicable to the project, construction costs should be included in this section of the Budget Detail Worksheet.

H. Indirect Costs. Indirect costs are allowed only if the applicant has a federally approved indirect cost rate. A copy of the rate approval, (a fully executed, negotiated agreement), must be attached. If the applicant does not have an approved rate, one can be requested by contacting the applicant’s cognizant Federal agency, which will review all documentation and approve a rate for the applicant organization, or if the applicant’s accounting system permits, costs may be allocated in the direct costs categories.

Description Computation Cost

TOTAL _________

Budget Summary - When you have completed the budget worksheet, transfer the totals for each category to the spaces below. Compute the total direct costs and the total project costs.

Indicate the amount of Federal funds requested and the amount of non-Federal funds that will support the project.

Budget Category Federal Amount Non-Federal Amount

A. Personnel __________ __________

B. Fringe Benefits __________ __________

C. Travel __________ __________

D. Equipment __________ __________

E. Supplies __________ __________

F. Consultants/Contracts __________ __________

G. Other __________ __________

Total Direct Costs __________ __________

H. Indirect Costs __________ __________

* TOTAL PROJECT COSTS __________ __________

Federal Request __________

Non-Federal Amount __________

C. Anticipated Announcement and Award Dates

FEMA will evaluate and act on applications within 60 days following close of the application period. Awards will be made on or before May 3, 2011.

PART VI.

AWARD ADMINISTRATION INFORMATION

A. Notice of Award

Upon approval of the application, the grant will be awarded to the grantee. The date that this is done is the “award date.” Once an award has been approved by FEMA, a notice will be sent by the awarding official to the authorized grant official. Applicants must follow the directions in the notification to accept the award.

The period of performance is 12 months and begins on the Project Period/Budget Period start date listed in the award package. Any unobligated funds will be de-obligated at the end of the close-out period. Extensions to the period of performance will be considered only through formal requests to FEMA with specific and compelling justifications why an extension is required. All extension requests must be submitted to FEMA at least 60 days prior to the end of the period of performance and must address:

Reason for delay;

Current status of the activity/activities;

Approved period of performance termination date and new project completion date;

Remaining available funds, both Federal and non-Federal;

Budget outlining how remaining Federal and non-Federal funds will be expended;

Plan for completion including milestones and timeframes for achieving each milestone and the position/person responsible for implementing the plan for completion; and

Certification that the activity/activities will be completed within the extended period of performance without any modification to the original Statement of Work approved by FEMA.

B. Administrative and National Policy Requirements

The recipient and any sub-recipient(s) must, in addition to the assurances made as part of the application, comply and require each of its subcontractors employed in the completion of the project to comply with all applicable statutes, regulations, executive orders, OMB Circulars, terms and conditions of the award, and the approved application.

1. Standard Financial Requirements. The grantee and any subgrantee(s) shall comply with all applicable laws and regulations. A non-exclusive list of regulations commonly applicable to DHS grants are listed below:

1.1 – Administrative Requirements.

44 CFR Part 13, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments

2 CFR Part 215, Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations (OMB Circular A-110)

1.2 – Cost Principles.

2 CFR Part 225, Cost Principles for State, Local, and Indian tribal Governments (OMB Circular A-87)

2 CFR Part 220, Cost Principles for Educational Institutions (OMB Circular A-21)

2 CFR Part 230, Cost Principles for Non-Profit Organizations (OMB Circular A-122)

48 CFR 31.2, Federal Acquisitions Regulations (FAR), Contracts with Commercial Organizations

1.3 – Audit Requirements.

OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations

1.4 – Duplication of Benefits. There may not be a duplication of any Federal assistance by governmental entities, per 2 CFR Part 225, Basic Guidelines Section C.3 (c), which states: Any cost allocable to a particular Federal award or cost objective under the principles provided for in this Authority may not be charged to other Federal awards to overcome fund deficiencies, to avoid restrictions imposed by law or terms of the Federal awards, or for other reasons.

However, this prohibition would not preclude governmental units from shifting costs that are allowable under two or more awards in accordance with existing program agreements. Non-governmental entities are also subject to this prohibition per 2 CFR Parts 220 and 230 and 48 CFR 31.2.

2. Payment. DHS/FEMA uses the Direct Deposit/Electronic Funds Transfer (DD/EFT) method of payment to Recipients. To enroll in the DD/EFT, the Recipient must complete a Standard Form 1199A, Direct Deposit Form, found at http://www.fms.treas.gov/eft/1199a.pdf.

FEMA utilizes the Department of Health and Human Services, Division of Payment Management, Payment Management System, SmartLink to transfer funds between FEMA and Grantees.

2.1 – Advance Payment. In accordance with Treasury regulations at 31 CFR Part 205, the Recipient shall maintain procedures to minimize the time elapsing between the transfer of funds and the disbursement of said funds (See 44 CFR Part 13.21(i)) regarding payment of interest earned on advances. In order to http://www.fms.treas.gov/eft/1199a.pdf request an advance, the Recipient must maintain or demonstrate the willingness and ability to maintain procedures to minimize the time elapsing between the transfer of funds from DHS and expenditure and disbursement by the Recipient.

When these requirements are not met, the Recipient will be required to be on a reimbursement for costs incurred method.

NOTE: FUNDS WILL NOT BE AUTOMATICALLY TRANSFERRED UPON

ISSUANCE OF THE GRANT. GRANTEES MUST SUBMIT A REQUEST FOR

ADVANCE/REIMBURSEMENT (SF-270) IN ORDER FOR THE FUNDS TO BE

TRANSFERRED TO THE GRANTEE’S ACCOUNT.

3. Non-supplanting Requirement. Grant funds will be used to supplement existing funds, and will not replace (supplant) funds that have been appropriated for the same purpose. Applicants or grantees may be required to supply documentation certifying that a reduction in non-Federal resources occurred for reasons other than the receipt or expected receipt of Federal funds.

4. Administrative Requirements.

4.1 – Freedom of Information Act (FOIA). FEMA recognizes that much of the information submitted in the course of applying for funding under this program or provided in the course of its grant management activities may be considered law enforcement sensitive or otherwise important to national security interests. While this information under Federal control is subject to requests made pursuant to the Freedom of Information Act (FOIA), 5 U.S.C. §552, all determinations concerning the release of information of this nature are made on a case-by-case basis by the FEMA FOIA Office, and may likely fall within one or more of the available exemptions under the Act. The applicant is encouraged to consult its own State and local laws and regulations regarding the release of information, which should be considered when reporting sensitive matters in the grant application, needs assessment and strategic planning process. The grantee should be familiar with the regulations governing Sensitive Security Information (49 CFR Part 1520), as it may provide additional protection to certain classes of homeland security information.

4.2 – Compliance with Federal civil rights laws and regulations. The grantee is required to comply with Federal civil rights laws and regulations. Specifically, the grantee is required to provide assurances as a condition for receipt of Federal funds that its programs and activities comply with the following:

Title VI of the Civil Rights Act of 1964, as amended, 42. U.S.C. §2000 et seq. – Provides that no person on the grounds of race, color, or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination in any program or activity receiving Federal financial assistance. Title VI also extends protection to persons with Limited English Proficiency (LEP). (42 U.S.C. §2000d et seq.)

Title IX of the Education Amendments of 1972, as amended, 20 U.S.C.

§1681 et seq. – Provides that no person, on the basis of sex, be excluded from participation in, be denied the benefits of, or be subject to discrimination under any education program or activity receiving Federal financial assistance.

Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C.

§794 – Provides that no otherwise qualified individual with a disability in the United States, shall, solely by reason of his or her disability, be excluded from the participation in, be denied the benefits of, or subject to discrimination in any program or activity receiving Federal financial assistance.

The Age Discrimination Act of 1975, as amended, 20 U.S.C. §6101 et seq.

– Provides that no person in the United States shall, on the basis of age, be excluded from participation in, be denied the benefits of, or be subject to discrimination under any program or activity receiving Federal financial assistance.

Grantees must comply with all regulations, guidelines, and standards adopted under the above statutes. The grantee is also required to submit information, as required, to the DHS Office for Civil Rights and Civil Liberties concerning its compliance with these laws and their implementing regulations.

4.3 – Services to Limited English Proficient (LEP) persons. Recipients of FEMA financial assistance are required to comply with several Federal civil rights laws, including Title VI of the Civil Rights Act of 1964, as amended. These laws prohibit discrimination on the basis of race, color, religion, natural origin, and sex in the delivery of services. National origin discrimination includes discrimination on the basis of limited English proficiency. To ensure compliance with Title VI, recipients are required to take reasonable steps to ensure that LEP persons have meaningful access to their programs. Meaningful access may entail providing language assistance services, including oral and written translation, where necessary. The grantee is encouraged to consider the need for language services for LEP persons served or encountered both in developing their proposals and budgets and in conducting their programs and activities.

Reasonable costs associated with providing meaningful access for LEP individuals are considered allowable program costs. For additional information, see http://www.lep.gov.

4.4 – Certifications and Assurances. Certifications and assurances regarding the…