State Floodplain Manager 1-on-1 Module 6: CAP-SSSE Participation

State Floodplain Manager 1 on 1

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Participation in the CAP-SSSE

1

Mentoring Module 6

AGENDA



Introductions



Objectives



Scope



Methods



The CAP-SSSE Program



Materials and References

2

Introductions

PLEASE TELL US YOUR:



Name;



Job Title;



Years spent in Floodplain Management, and;



At least one CAP-SSSE question that you want answered

before you leave here today.

3

Objectives

Upon completion, participants will be able to:



6.1  Be a valued partner to FEMA through NFIP

    Coordination.



6.2  Understand the background of the FEMA CAP-

     SSSE program.



6.3   Develop a working knowledge of the 

      components of CAP-SSSE.

4

Objectives  

(conclusion)

Upon completion, participants will be able to:



6.4  Leverage federal programs and funds to achieve

     state floodplain management goals.



6.5  Build strong state/local FPM relationships around

     statutory authorities.



6.6   Know where and how to obtain FEMA resources

    (Resource Library, Technical Bulletins, Policy and

     Regulations).

5

Scope

This module includes the following five topics:



Community Assistance Program Background, Purpose,

Eligible Activities (Objectives 6.1 and 6.2);



CAP Planning (long-range and annual) (Objective 6.1);



Developing a Cooperative Agreement (Objectives 6.1

and 6.3);



Negotiating CAP-SSSE Agreement  with FEMA RO

(Objectives 6.1, 6.2 and 6.3), and;

6

Scope



Managing your CAP-SSSE Agreement (Objectives 6.2,

6.5 and 6.6).



Grants.gov;



State and Regional Office Coordination;



Quarterly Reporting;



Community Information System, and;



Closeouts.

7

Scope  

(conclusion)

We will emphasize the following information:



Carefully reading the application & submission

information;



Financial reporting requirement;



Extensions procedures;



Coordination with the Regional CAP Coordinator, and;



CAVs done in High Risk/Tier 1 communities.

8

Methods

Material contained in this module will be presented

through:



Lecture and demonstration supported by 96

visuals/slides, and;



SFPM 1 on 1: Student Manual.

9

FEMA RO CAP Coordinators

10

Program Background

The CAP grant provides a funding source to:



Support flood loss reduction goals of the NFIP;



Build State and community FPM expertise and

capability, and;



Leverage State knowledge and expertise in working

with their communities.

11

12

CAP-SSSE Guidance:



Each fiscal year FEMA will provide CAP guidance,

known as the Notice of Funding Opportunity (NOFO);



CAP is voluntary and eligibility is contingent on need

and skill level capability of a state as determined by

FEMA, and;



Priority is cost-effective, cooperative partnerships.

Program Background   

(continued)

13

Key components:



Program Goals;



Performance-based Grant Mechanism;



Program Guidance, and;



Fundable Activities.

Program Background  

(continued)

14

CAP-SSSE Goals:



Ensure that the flood loss reduction goals of the NFIP

are met;



Build state and community floodplain management

capability, and;



Leverage state knowledge and expertise in working

with local communities.

Program Background  

(continued)

15

CAP-SSSE Grant:



Annually, FEMA Regional Office and NFIP State

Coordinating Office negotiate a CAP-SSSE Agreement.



Specific activities and products to be completed by

State in return for CAP-SSSE funds.



25% non-federal match for all states receiving funds.

Program Background  

(continued)

16

CAP-SSSE 5-Year Strategic Plan:



Purpose is to support collaborative negotiation

between FEMA and states; clarifies long-range

outcomes and is a communication tool.



Strategic issues:  funding not matched to need and

NFIP coordination service demand; criteria for

funding; consistent state need and capability

information; accountability for activities and funds.

Program Background  

(continued)

17

5-Year Strategic Plan:  

(continued)



State mission;



State vision;



SWOT conclusions;



Capacity for NFIP coordination recently based on a

GAP Tool analysis discussion;



Capability/capacity  for effective state program

elements;

Program Background  

(continued)

18

5-Year Strategic Plan:  

(conclusion)



Broad strategies to address issues;



Highlights of state specific needs or gaps;



Target actions, and;



Outcome measures.

Program Background  

(continued)

19

CAP-SSSE Statement of Work (SOW):



Purpose is to address specific CAP-SSSE grant criteria.



This work plan will provide a framework for specific

task measures (output, deliverables) and financial

accountability (time and cost) are all present.

Program Background  

(continued)

20

CAP-SSSE SOW content:



General State time and effort information;



Summary analysis for CORE activities;



Narrative that interprets the results versus the

baseline, and;



Discussion of unmet needs and budget.

Program Background  

(continued)

Program Background  

(continued)

After the CAP-SSSE Roundtable in Madison, WI

(2010):



FEMA HQ changed how it allocated CAP dollars to the

Regional Offices.



Previously based on number of policies, number of

communities, and growth rate.



Now it is based on the above criteria 

plus

 State

mapping contributions and land area.

21

Program Background  

(continued)

Authorizing Authority for the Program:



The CAP-SSSE is authorized under the NFIA of 1968, as

amended and the Flood Disaster Protection Act of

1973, as amended, 42 U.S.C. 4001 et seq.

22

Program Background  

(continued)

Authorizing Authority for the Program:



Section 1361 of the FDPA of 1973 authorizes FEMA Administrator to

“carry out studies and investigation, utilizing to the maximum extent

practicable the existing facilities and services of the Federal

departments or agencies and State and local government agencies,

and any other organizations, with respect to the adequacy of State

and local measures in flood-prone areas as to land management and

use, flood control, flood zoning, and flood damage prevention, and

the Administrator may enter into any contracts, agreements, or other

appropriate arrangements to carry out such authority

.”

23

Program Background  

(conclusion)

Appropriation Authority for the Program:



CAP-SSSE is implemented under the Flood Hazard

Reduction pursuant to 42 U.S.C. Section 4102.  The

appropriation for the line item is from NFIP fee

income and appropriated under the National Flood

Insurance Fund appropriation for floodplain

management.

24

Job Aid 1

Program Purpose

(The raison d’etre.)



Provide a mechanism to fund the State’s NFIP

floodplain monitoring and oversight tasks, such as:



Community Assistance Contact/Community Assistance

Visits;



Ordinance reviews;



NFIP/FPM training, and;



Provision of technical assistance.

25

Eligible Activities



All documentation and products are reviewed by FEMA

regional staff throughout the annual CAP-SSSE period.



The Regional Office (RO) prescribes those eligible and

ineligible tasks, as well as priority tasks for funding.



RO will negotiate all tasks and costs with the State for

adherence to its guidance prior to award of CAP funds.



Tasks can be reviewed by the RO’s determination, along

with the conduct of annual meetings with all States

concerning program activities.

26

Eligible Activities  

(continued)

A few fundable 2017 activities are:



CAV visits and CAC contacts*;



Ordinance assistance*;



CIS input*;



Strategic Planning;



CAP Gap analysis (optional);



State Model Ordinance updates and monitoring of

State Regulatory Environment;

27

Eligible Activities  

(continued)



Outreach, Workshops and other training;



ASFPM activities and credentialing;



Meetings (travel reimbursements for ASFPM

conferences, Regional CAP Conferences and in-State

Silver Jackets meetings.  Others can be considered.



General Technical Assistance;



Enrollment of Communities;



CRS support;

28

Eligible Activities  

(conclusion)



Mapping Coordination Assistance;



Coordination with Other State Programs and

Agencies, and;



Assistance to Communities in Responding to

Disasters.

29

30

“The key to crafting the Cooperative Agreement

 between you and FEMA is setting vague goals

 that are a combination of jargon and wishful thinking.”

Cooperative Agreement

DEVELOPING A COOPERATIVE AGREEMENT



FEMA Regional Offices and the designated State

coordinating office negotiate a CAP-SSSE Agreement

that specifies activities and products to be completed

by a State in return for CAP-SSSE funds.



There is a 25% non-federal match for all States

receiving CAP-SSSE funds.

31

Cooperative Agreement  

(continued)

Example of cost match:



Percent recipient contribution multiplied by the value of

the federal contribution in US dollars.

I.E.: If a program requires a 25% cost match and the

federal contribution is $100K, the recipient contribution

is calculated as (0.25) x $100K = $25K.

32

Cooperative Agreement  

(continued)

Restrictions:



CAP-SSSE funds cannot be used for: conducting

floodplain studies, developing floodplain maps,

supporting/maintaining web-based digital mapping

platforms, ASFPM or other professional association

memberships/dues.



Cannot be used to duplicate/reimburse for state-

required and state-funded review activities (state

permits).

33

Cooperative Agreement  

(continued)

Restrictions:  

(continued)



Funds can only be used to reimburse states for activities

conducted, not for funding people.  This means:



Only staff that are 

doing the approved activities

, not

someone who is only doing the financial or application

tasks.



This is a reimbursement grant for time used to complete

the negotiated, eligible activities and not the FTE salaries

themselves.

34

Cooperative Agreement  

(continued)

Restrictions:  

(conclusion)



If the State recipient doesn’t maintain expertise and

capability to conduct CAP activities, a remedial plan

must be developed.  That can lead to loss of CAP funding

the next year, if expertise and capability isn’t restored.

35

Budget Example

Example of a CAP budget

overmatch submitted to RO staff.

36

Job Aid 2

FEMA Form 20-20

37

Job Aid 3

Cooperative Agreement  

(continued)

Background:



The CAP-SSSE has followed the Cooperative Agreement

mechanism since 1980.



The key mechanism for providing community technical

assistance, community NFIP performance evaluation,

and building/maintaining State and community FPM

expertise and capability.

38

Job Aid 4

Cooperative Agreement  

(continued)

Background:



The Cooperative Agreement (CA) prescribes those

eligible and ineligible tasks, as well as priority tasks for

funding.



RO staff negotiate all tasks and costs with the State

before the award.



The RO will provide an annual CAP-SSSE program

guidance document to the NFIP State Coordinator.

39

Cooperative Agreement  

(continued)



There potentially could be substantial FEMA RO

involvement throughout the CAP-SSSE Cooperative

Agreement process.



FEMA reserves the authority to manage and direct

recipient actions.



The RO determines the appropriate levels of effort for

each activity to ensure that performance metrics are

met.

40

Cooperative Agreement  

(continued)

What level of effort for each activity is monitored:



The RO retains final approval of State reviewed

community ordinances (to join the NFIP).



A mandatory map adoption rate of 90% or higher.



Final approval concerning which communities will

receive State provided training and tech assistance.



Number of CAVs by the State and who will be CAVed.

41

Cooperative Agreement  

(continued)

What level of effort:  

(continued)



Compliance follow-up actions.  FEMA requires advance

approval of any actions that leads towards FEMA placing

a community on probation or suspension.



Final approval for a Declared Disaster community to

receive CAP tech assistance.



Requires a close collaboration with FEMA mitigation

staff to monitor all aspects of program goals.

42

Cooperative Agreement  

(continued)

What level of effort:  

(conclusion)



The RO must approve any requests to vary or substitute

activities performed (i.e. staffing, overtime and other

management process).



FEMA can stop a State’s funded activity immediately, if

the State fails to meet one or more of the previous

conditions.

43

Cooperative Agreement  

(continued)

On-line Application Process:



DHS makes all funding opportunities available through

its “storefront” at  

http://www.grants.gov



Customer support hotline number is 800-518-4726.



The State applicant must submit six OMB Standard

Forms when applying for CAP funds.

44

Cooperative Agreement  

(conclusion)

On-line Application Process:



SF 424: Application for Federal Assistance;



SF 424A, Budget Information;



SF 424B, Standard Assurances;



SF LLL, Disclosure of Lobbying Activities;



Grants.gov (GG) Lobbying Form



FEMA Form 112-0-3C, Certifications Regarding Lobbying;

Debarment, Suspension; and Drug-Free Workplace.

45

Job Aids 5 - 11

After Action Review

46

Negotiating the CAP-SSSE Agreement

Things to cover with your FEMA Regional Office CAP

staffer:



The CAP Guidance will stipulate the FEMA activity

priorities.



Such as: “In Fiscal Year 20xx, the program will focus

on compliance and enforcement.”

47

48

Things to cover with your FEMA Regional Office CAP

staffer 

(continued)

:



Newsletters;



Public meetings (include all support actions &

documentation requirements);



Meetings/training workshops  with special interest

groups (realtors, insurance agents, surveyors, etc.);

Negotiating the CAP-SSSE  

(continued)

49

Things to cover with your FEMA Regional Office CAP

staffer 

(conclusion)

:



Training and outreach, and;



Create/support a statewide organization for local

FPM.

Negotiating the CAP-SSSE  

(continued)

In such a scenario, the priorities could be:



The selection of CAC/CAV communities;



Special attention to mechanical, electrical, and utility

equipment and flood openings, and;



The initiation of a State CAV.

50

Negotiating the CAP-SSSE  

(conclusion)

GAP Analysis vs. Widgets  

51

Some FEMA Regional Offices may require that the

NFIP State Coordinator complete a CAP-SSSE GAP

Analysis prior to the CAP grant budget negotiation.

52

GAP Analysis vs. Widgets  

(continued)

GAP Analysis vs. Widgets  

(continued)

53

Some FEMA Regional Offices may (or may not)

require that the NFIP State Coordinator complete a

spreadsheet of activities and costs tied to them,

prior to the CAP grant budget negotiation.

GAP Analysis vs. Widgets  

(conclusion)

54

After Action Review

55

Statement of Work

56

OMB forms are a listing of tasks.  The SOW describes

more fully what can be expected.  The SOW should:



Address the annual priorities in FEMA guidance.  If

you can’t meet them, explain why not;



Integrate CAP-SSSE with larger state FPM goals. (For

instance, what is your state programs’ mission?) 

;

Statement of Work  

(continued)

57

The SOW should  

(continued)

:



Spell out work items that could be measured

(metrics are important);



Recognize what is achievable, do not overcommit,

and;



Allow yourself some flexibility.

Statement of Work  

(continued)

58

Agreement Narrative Statement

Example of OMB Form

3067-0206.

59

Job Aid 12

Narrative Statement  

(conclusion)

Sample of a CAP-SSSE

Narrative.

60

Job Aid 12a

Managing your CAP-SSSE Agreement

Grants.gov:



The website is managed by the U.S. Department of

Health and Human Services, fulfilling the President’s

Management Agenda.



Grants.gov is the central storehouse for info on more

than 1,000 grant programs and approximately $500

billion in annual awards from 26 grant-making federal

agencies.

61

Managing CAP-SSSE  

(continued)

Grants.gov:  

(conclusion)



All applicants (Authorized Organization

Representative) must register with Grants.gov before

they can submit grant applications.



It is uncommon when the NFIP State Coordinator is

also the AOR.



The Grants.gov Registration Brochure contains the

details involved in the process.

62

Managing CAP-SSSE  

(continued)

State and Regional Office Coordination:



You will be contacted by your Regional CAP-SSSE

Program Manager to provide whatever items he/she

deems necessary to apply for the FY CAP funds.



You will be provided with the Fiscal Year 20xx CAP-

SSSE Program Guidance and Application Kit.



Remember, the NFIA of 1968 directs FEMA to work

closely with and provide any assistance to States

participating in the NFIP.

63

After Action Review

64

Managing CAP-SSSE  

(conclusion)

Notice of Funding

Opportunity

The FY 2017 CAP-SSSE.

65

Job Aid 13

66

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67

Explain how you would develop a plan for, and budget

for, the two required core CAP activities listed below:

•

Entering FPM data into the Community Information

System (CIS), and;

•

CAC and CAV actions.

Practical Exercise

After Action Review

68



Awardees are required to submit various financial and

programmatic reports.



Future awards and fund drawdowns may be withheld

if these reports are delinquent.

69

Quarterly Reporting



At the end of each quarter of the federal budget year,

you will be required to submit a ‘Quarterly Report’ to

the FEMA RO.



There will be heavy emphasis on CIS entries and

pulling quarterly reports from data entered.



FEMA will use quarterly CIS reports to measure state

progress and to approve funding drawdowns.

70

Quarterly Reporting  

(continued)

Quarterly Report Form

Example of OMB No.

3067-0206.

71

Job Aid 14

Quarterly Reporting  

(continued)

Example of a Quarterly

Report Narrative.

72

Job Aid 15



Within 90 days, after the end of the performance

period, or after an amendment has been issued to

close out a grant, the state must submit a final FFR

and final Narrative Program Performance Progress

Report which addresses specific program

accomplishments and provide a summary of their

impact and all other accomplishments throughout the

period of performance.

73

Quarterly Reporting  

(continued)

“Quarterly Roll-Up” Narrative

74

Job Aid 16



After these reports have been approved by the RO, a

close-out notice will be completed.  This notice will

indicate the period of performance as closed, list any

remaining funds that will be deobligated, and address

the requirement of maintaining the grant records for

three years.



The state recipient is responsible for returning any

funds that have been drawn down, but remain as

unliquidated on recipient financial records.

75

Final Reporting



Extensions will be considered only through formal,

written requests to the RO and must contain specific

justifications as to why an extension is required.



Why would you need an extension?

76

Extensions



Extensions requests should address at least nine

items (page 14 of 19 of the 2017 NOFO).  They are:



Grant program, Fiscal Year, and award number;



Reason for delay…



Current status of the activities



Approved period of performance termination and

new project completion date



Amount of funds drawn down to date

77

Extensions  

(continued)



Remaining available funds, both Federal and non-

Federal



Budget outlining how remaining Federal and non-

Federal funds will be expended



Plan for completing milestones and timeframes



Certification that the activity/activities will be

completed within the extended period.

78

Extensions  

(conclusion)

After Action Review

79

Community Information System

Community Information System (CIS):



CIS is used to track your CAC, CAV, GTA and other

actions.



Ensure that the numbers reported in your Quarterly

Report are reflected in CIS.



CIS can print reports on each state’s actions;

therefore, you would not desire to have incorrect

numbers presented at the Regional CAP Conference

by FEMA, would you now?

80

CIS  

(continued)

CIS Reports:

81

CIS  

(continued)

CIS Reports:

82

After Action Review

83

Managing your Grant

84



Complete what you commit to!  Failure to do so could

factor in future CAP funding 

and

 potential audit

findings;



Have standby activities in case additional funding is

available;



Talk to agency managers about possibility of additional

staffing



Be ready to answer question in as little as a few days,

especially closer to the end of the fiscal year

Managing your Grant  

(continued)

85



Remember the 10% rule to determine whether an

official grant amendment needs to be submitted;



Ensure that you understand what reports (financial

and activity) get sent to whom;



Encourage FEMA FM&I Branch Chief and/or CCO to

meet with state agency leaders periodically to discuss

importance of CAP-SSSE and state FPM program in

general, and;

Managing your Grant  

(continued)

86



Overmatch by state is good to show, it demonstrates

state commitment to floodplain management.

Remember this earlier slide?

87

Managing your Grant  

(conclusion)

Close Out Process

88



There is an official Period of Performance (PoP), be

aware of it;



Turn in all final reports and deliverables, complete

any needed data entry…keep a copy including

transmittal letter for your files;



Extensions to the PoP must be received by FEMA 60

days before the PoP end date;



Extensions don’t necessarily mean additional funding



Extension requests are not automatically approved

Close Out Process  

(conclusion)

89



Records retention;



Ensure you are following necessary records retention

policies tied to the CAP-SSSE funding



Check to see if any state or agency policy is in conflict

with federal requirements



Reconcile any differences to avoid any audit findings



Schedule debrief with CCO, what went well and what

did not



Ensure all documents and paperwork was received



Answer any questions they might have

Take Away Items

90



Financial reporting requirements;



Extensions, 90-day to 2-Year grant Period of

Performance;



Coordinate with the agency/state financial staff,

maintain contact throughout the process;



CAVs need to be done in higher risk or TIER I

communities;



Management costs not allowed, and;

Take Away Items  

(conclusion)

91



Community Information System (CIS), the CAP-SSSE

report can be run and printed and submitted with a

cover letter.  That is acceptable.



Anything else?

It’s FEMA TIME…

92

Materials & References

The following references were used:



Section 1361 of the Flood Disaster Protection Act of

1973, 42 U.S.C. 4102.



CAP-SSSE FY 2013 Guidance & Funds Opportunity

Announcement.



Building Effective State Floodplain Management

Programs: Strategic Methodology and State

Guidance. 9/2010.

93

Materials & References 

(continued)

The following references:  

(continued)



FEMA Agreement Articles – CAP-SSSE CFDA #97.023.



2013 CAP-SSSE Program Guidance Attachment 3:

Advanced FPM Concepts/FPM Training Opportunities

Available through the Emergency Management

Institute;



Grants.gov Registration Brochure;

94

Materials & References 

(conclusion)

The following references:  

(conclusion)



FEMA, CAP-SSSE Program GAP Analysis Tool;



FEMA CAP-SSE Program GAP Methodology;



CAP-SSSE 2013 Terms and Conditions, and;



CAP-SSSE 2013 Articles of Agreement.

95

Questions?

Questions?

96