2017 Supporting Statement for OMB Collection 1660-0004

March 7, 2017

Supporting Statement for

Paperwork Reduction Act Submissions

OMB Control Number: 1660-0004

Title: Application for Participation in the National Flood Insurance Program (NFIP)

Form Number(s): FEMA Form 086-0-30

General Instructions

A Supporting Statement, including the text of the notice to the public required by 5 CFR 1320.5(a)(i)(iv) and its actual or estimated date of publication in the Federal Register, must accompany each request for approval of a collection of information. The Supporting Statement must be prepared in the format described below, and must contain the information specified in Section A below. If an item is not applicable, provide a brief explanation. When Item 17 or the OMB Form 83-I is checked “Yes”, Section B of the Supporting Statement must be completed. OMB reserves the right to require the submission of additional information with respect to any request for approval.

Specific Instructions

A. Justification

1. Explain the circumstances that make the collection of information necessary.

Identify any legal or administrative requirements that necessitate the collection. Attach a copy of the appropriate section of each statute and regulation mandating or authorizing the collection of information. Provide a detailed description of the nature and source of the information to be collected.

The National Flood Insurance Program (NFIP) codified at 42 U.S.C. 4001, et seq., requires all flood prone communities throughout the country to apply for participation in the NFIP one year after their flood prone identification or submit to the prohibition of certain types of federal and federally-related financial assistance for use in their floodplains. Title 44 of the Code of Federal Regulations (CFR) section 59.2 authorizes that previously unavailable flood insurance protection to property owners in flood-prone areas is now available, and 44 CFR 59.22 identifies the information that communities are required to submit to FEMA for application into the program. Title 44 CFR section 59.22 and section 59.24 identifies the information a community is required to submit to FEMA for continued participation in the program.

2. Indicate how, by whom, and for what purpose the information is to be used. Except for a new collection, indicate the actual use the agency has made of the information received from the current collection. Provide a detailed description of: how the information will be shared, if applicable, and for what programmatic purpose.

FEMA Form 086-0-30 and supporting documentation – Application for Participation in the National Flood Insurance Program and supporting documentation collects the information necessary to allow communities to participate in the National Flood Insurance Program (NFIP) in accordance with 44 CFR 59.22. The information collected on the NFIP Application pertains to two general categories of information. One is community contact information, such as, the name of local officials, address, and phone number that will be used for future contact. The second category of information pertains to demographic characteristics such as the number of structures in the community and the number of structures in the floodplain. This information is used to provide basic background information about the community’s risk to flooding. Furthermore, supporting documentation may also include additional materials including copies of legislative and executive actions indicating a local need for flood insurance and an explicit desire to participate in the National Flood Insurance Program; Citations to State and local statutes and ordinances authorizing actions regulating land use and copies of the local laws and regulations cited; a copy of the flood plain management regulations the community has adopted to meet the requirements of §§ 60.3, 60.4, 60.5 and/or § 60.6 of this subchapter. This submission shall include copies of any zoning, building, and subdivision regulations, health codes, special purpose ordinances (such as a flood plain ordinance, grading ordinance, or flood-related erosion control ordinance), and any other corrective and preventive measures enacted to reduce or prevent flood, mudslide (i.e., mudflow) or flood-related erosion damage; a list of the incorporated communities within the applicant's boundaries; estimates relating to the community as a whole and to the flood, mudslide (i.e., mudflow) and flood-related erosion prone areas. FEMA uses this information to enroll the community in the NFIP which allows residents in the community to qualify for flood insurance in accordance with 44 CFR 59.22. FEMA also uses this information, in accordance with 44 CFR 59.24 to determine whether a participating community should be suspended from the program or put on probation or when a community desires to withdraw from the program.

Floodplain Development Documentation. In order to qualify for the NFIP, a participating community must adopt certain minimum standards in accordance with FEMA’s regulations at 44 CFR 60.3, 60.4, and 60.5. In order to verify whether communities maintain such standards, the NFIP requires participating communities to retain documentation on development taking place in the flood hazard areas within the community. 44 CFR 59.22. This documentation includes, but is not limited to, applications, floodplain development permits issued, certificates of flood proofing, information on the elevation of the lowest floor of all new or substantially improved structures, any variance actions including justification for their issuance, demographic changes within the flood-prone areas of communities provided by participating property owners and project proponents, and other documentation of compliance with the standards set out in 44 CFR 60.3. Such information will be made available to FEMA upon request. This information assists FEMA to evaluate the effectiveness of a community’s floodplain management program and participating property owners’ eligibility for flood insurance.

FEMA does not share this information.

3. Describe whether, and to what extent, the collection of information involves the use of automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., permitting electronic submission of responses, and the basis for the decision for adopting this means of collection. Also describe any consideration of using information technology to reduce burden.

Since the NFIP Application serves as a cover sheet containing information about a community joining the NFIP and it is viewed by several parties and is a one-time action, there is minimal value in making it available for completion through electronic formats. The blank application form itself is available on URL http://www.fema.gov/library/viewRecord.do?id=2557, to be downloaded and can be completed by hand. FEMA Form 086-0-30 is returned via e-mail to FEMA-NFIP-ENROLLMENT@fema.dhs.gov with the required supporting documentation included as attachments. While 95 percent of respondents email their forms to FEMA, 5 percent mail them. Due to the limited number of respondents on an annual basis, the cost to develop a system that would allow for the online completion and submission of the form and supporting documentation is prohibitive.

4. Describe efforts to identify duplication. Show specifically why any similar information already available cannot be used or modified for use for the purposes described in Item 2 above. 

This information is not collected in any form, and therefore is not duplicated elsewhere.

5. If the collection of information impacts small businesses or other small entities (Item 5 of OMB Form 83-I), describe any methods used to minimize.

This information collection does not have an impact on small businesses or other small entities.

6. Describe the consequence to Federal/FEMA program or policy activities if the collection of information is not conducted, or is conducted less frequently as well as any technical or legal obstacles to reducing burden.

If this collection of information is not conducted, FEMA Form 086-0-30 would not be able to capture information necessary to approve a new participant or community; thus such participants or communities would not meet the program requirements and not be able to participation in the National Flood Insurance Program. In addition without the retention of documentation on development taking place in the flood hazard areas within the community, FEMA would be unable to evaluate the effectiveness of a community’s floodplain management program or determine whether a community is complying with the standards set out in 44 CFR 60.3.

7. Explain any special circumstances that would cause an information collection to be conducted in a manner:

1. Requiring respondents to report information to the agency more often than quarterly.

Respondents are not required to report information to the agency more often than quarterly.



2. Requiring respondents to prepare a written response to a collection of information in fewer than 30 days after receipt of it.

Respondents are not required to prepare written responses in fewer than 30 days.

2. Requiring respondents to submit more than an original and two copies of any document.

There is no requirement for respondents to submit more than an original and two copies of any document in this collection.

2. Requiring respondents to retain records, other than health,

medical, government contract, grant-in-aid, or tax records for more than three years.

Under 44 CFR 59.22, FEMA requires that communities participating in the NFIP, maintain records of development taking place in the flood hazard areas within the community for the duration of the community’s participation in the program. These records include, but are not limited to application documentation, floodplain development permits issued, certificates of flood proofing, information on the elevation of the lowest floor of all new or substantially improved structures, any variance actions including justification for their issuance, demographic changes within the flood-prone areas of communities, and other documentation of compliance with the standards set out in 44 CFR 60.3. This information assists FEMA to evaluate the effectiveness of a community’s floodplain management program and determine whether a community is complying with the standards set out in 44 CFR 60.3.

2. In connection with a statistical survey, that is not designed to

produce valid and reliable results that can be generalized to the universe of study.

This collection does not employ statistical methodology.

(f) Requiring the use of a statistical data classification that has not

been reviewed and approved by OMB.

There is no statistical data classification not approved by OMB involved in this collection.

 (g) That includes a pledge of confidentiality that is not supported by authority established in statute or regulation, that is not supported by disclosure and data security policies that are consistent with the pledge, or which unnecessarily impedes sharing of data with other agencies for compatible confidential use.

This information does not include a pledge of confidentiality that is not supported by authority established in statute or regulation.

 (h) Requiring respondents to submit proprietary trade secret, or other confidential information unless the agency can demonstrate that it has instituted procedures to protect the information’s confidentiality to the extent permitted by law.

There are no requirements for respondents to submit proprietary trade secret, or other confidential information for this data collection.

8. Federal Register Notice: 

 a. Provide a copy and identify the date and page number of publication in the Federal Register of the agency’s notice soliciting comments on the information collection prior to submission to OMB. Summarize public comments received in response to that notice and describe actions taken by the agency in response to these comments. Specifically address comments received on cost and hour burden.

A 60-day Federal Register Notice inviting public comments was published on [date, Volume FR pp (example 74 FR 15228)]. [Select one---No comments were received OR x number of comments related to (state topic of comments) were received].

A 30-day Federal Register Notice inviting public comments was published on [date, Volume FR pp (example 74 FR 15228)]. [Select one---No comments were received OR x number of comments related to (state topic of comments) were received].

 b. Describe efforts to consult with persons outside the agency to obtain their views on the availability of data, frequency of collection, the clarity of instructions and recordkeeping, disclosure, or reporting format (if any), and on the data elements to be recorded, disclosed, or reported.

The Risk Reduction Division, Floodplain Management Branch attends the annual National Flood Conference and Association of State Floodplain Management conferences. The Branch also holds its own conference known as the Floodplain Management Summit, which meets every two years to provide our partners an opportunity to work with us to improve floodplain management has a whole.

c. Describe consultations with representatives of those from whom information is to be obtained or those who must compile records. Consultation should occur at least once every three years, even if the collection of information activities is the same as in prior periods. There may be circumstances that may preclude consultation in a specific situation. These circumstances should be explained.

State NFIP coordinators provide technical assistance to local officials when a community expresses interest in joining the NFIP. They are available at any time to provide assistance as well as to discuss any issues related to the application process. Additionally, the respondents also have continuous access to the FEMA Regional Coordinators and can discuss the information requirements for the program.

9. Explain any decision to provide any payment or gift to respondents, other than remuneration of contractors or grantees.

FEMA does not provide payments or gifts to respondents in exchange for a benefit sought.

10. Describe any assurance of confidentiality provided to respondents. Present the basis for the assurance in statute, regulation, or agency policy.

A PTA was sent up to DHS on XX/XX/XXXX

11. Provide additional justification for any question of a sensitive nature (such as sexual behavior and attitudes, religious beliefs and other matters that are commonly considered private). This justification should include the reasons why the agency considers the questions necessary, the specific uses to be made of the information, the explanation to be given to persons from whom the information is requested, and any steps to be taken to obtain their consent.

There are no questions of sensitive nature.

 12. Provide estimates of the hour burden of the collection of information. The statement should:

 a. Indicate the number of respondents, frequency of response, annual hour burden, and an explanation of how the burden was estimated for each collection instrument (separately list each instrument and describe information as requested). Unless directed to do so, agencies should not conduct special surveys to obtain information on which to base hour burden estimates. Consultation with a sample (fewer than 10) of potential respondents is desired. If the hour burden on respondents is expected to vary widely because of differences in activity, size, or complexity, show the range of estimated hour burden, and explain the reasons for the variance. Generally, estimates should not include burden hours for customary and usual business practices.

For FEMA Form 086-0-30, it is estimated that 205 Community Officials will complete this form and provide supporting documentation once upon initial enrollment. It is estimated that it will require 4 hours per response and the total annual hour burden will be 205 x 4 hours = 820 hours.

For Floodplain Development Documents. The time spent on development documentation and obtaining necessary information and permits vary among communities. In addition, submission of such information is anticipated to be a onetime collection per development request. FEMA estimates that from 22,089 NFIP communities; an annual average of 88,356 applications are received across the entire program. In addition, FEMA estimates that communities spend 3.0 hour processing, filing, and maintaining such records. The total burden hours for the development application are, 3.0 x 88,356 = 265,068 hours.

 b. If this request for approval covers more than one form, provide separate hour burden estimates for each form and aggregate the hour burdens in Item 13 of OMB Form 83-I.

c. Provide an estimate of annualized cost to respondents for the hour burdens for collections of information, identifying and using appropriate wage rate categories. NOTE: The wage-rate category for each respondent must be multiplied by 1.4 and this total should be entered in the cell for “Avg. Hourly Wage Rate”. The cost to the respondents of contracting out or paying outside parties for information collection activities should not be included here. Instead this cost should be included in Item 13.

Estimated Annualized Burden Hours and Costs
Type of Respondent	Form Name / Form Number	No. of Respon-dents	No. of Respon-ses per Respon-dent	Total No. of Responses	Avg. Burden per Response (in hours)	Total Annual Burden (in hours)	Avg. Hourly Wage Rate	Total Annual Respondent Cost
State, Local, or Tribal Government	FEMA Form 086-0-30 / Application for Participation in the National Flood Insurance	72	1	72	4 hours	288	$80.42	$23,161
State, Local, or Tribal Government	Floodplain Development Documentation	22234	4	88,936	3 hours	266808	$80.42	$21,456,699
		22,306		89008		267096		$21,479,860

According to the U.S. Department of Labor, Bureau of Labor Statistics website (http://www.bls.gov/oes/current/oes111021.htm) the 2015 wage rate category for Community Official (General and Operations Manager SOC 11-1021) is estimated to be ($57.44 x 1.4=) $80.42 per hour including the wage rate multiplier, therefore, the estimated burden hour cost to respondent Community Official is estimated to be $20,773,830 annually.

13. Provide an estimate of the total annual cost burden to respondents or recordkeepers resulting from the collection of information. The cost of purchasing or contracting out information collection services should be a part of this cost burden estimate. (Do not include the cost of any hour burden shown in Items 12 and 14.)

The cost estimates should be split into two components:

1. Operation and Maintenance and purchase of services component. These estimates should take into account cost associated with generating, maintaining, and disclosing or providing information. Include descriptions of methods used to estimate major cost factors including system and technology acquisition, expected useful life of capital equipment, the discount rate(s), and the time period over which costs will be incurred.

2. Capital and Start-up-Cost should include, among other items, preparations for collecting information such as purchasing computers and software, monitoring sampling, drilling and testing equipment, and record storage facilities.

There is no annual capital, start-up, operations or maintenance cost associated with this collection.

14. Provide estimates of annualized cost to the federal government. Also, provide a description of the method used to estimate cost, which should include quantification of hours, operational expenses (such as equipment, overhead, printing and support staff), and any other expense that would have been incurred without this collection of information. You may also aggregate cost estimates for Items 12, 13, and 14 in a single table.

Annual Cost to the Federal Government

Item	Cost ($)
Contract Costs $0
HQ Staff Salaries* 3 GS 13, step 1 employees in Washington DC (2017) spending approximately 20% of time annually reviewing document and making determinations for this data collection (GS 13 step 1 = $94,796 x 1.4 = $132,714.40 x 3 employees = $398, 143.200 x 20% = $79,628.40	$79,628.40
Facilities [cost for renting, overhead, etc. for data collection activity]
Computer Hardware and Software [cost of equipment annual lifecycle]
Equipment Maintenance [cost of annual maintenance/service agreements for equipment]
Travel
Printing [number of data collection instruments annually]
Postage [annual number of data collection instruments x postage]
Other
Total	$79,628.40

* Note: The “Salary Rate” includes a 1.4 multiplier to reflect a fully-loaded wage rate.

 15. Explain the reasons for any program changes or adjustments reported in Items 13 or 14 of the OMB Form 83-I in a narrative form. Present the itemized changes in hour burden and cost burden according to program changes or adjustments in Table 5. Denote a program increase as a positive number, and a program decrease as a negative number.

A "Program increase" is an additional burden resulting from a federal government regulatory action or directive. (e.g., an increase in sample size or coverage, amount of information, reporting frequency, or expanded use of an existing form). This also includes previously in-use and unapproved information collections discovered during the ICB process, or during the fiscal year, which will be in use during the next fiscal year.

A "Program decrease", is a reduction in burden because of: (1) the discontinuation of an information collection; or (2) a change in an existing information collection by a Federal agency (e.g., the use of sampling (or smaller samples), a decrease in the amount of information requested (fewer questions), or a decrease in reporting frequency).

"Adjustment" denotes a change in burden hours due to factors over which the government has no control, such as population growth, or in factors which do not affect what information the government collects or changes in the methods used to estimate burden or correction of errors in burden estimates.

Itemized Changes in Annual Burden Hours
Data collection Activity/Instrument	Program Change (hours currently on OMB Inventory)	Program Change (New)	Difference	Adjustment (hours currently on OMB Inventory)	Adjustment (New)	Difference
FEMA Form 086-0-30 / Application for Participation in the National Flood Insurance Program				948	288	-660
Floodplain Development Documentation	22,234	244578		266808	266808
Total(s)	22,234			265,860	266,520

Explain:

For FEMA Form 086-0-30, there has been no program changes; however, FEMA adjusted the annual number of respondents down from 237 to 72 based on program growth over the last 10 years. FEMA also adjusted the floodplain development documentation number of respondents up from 22,089 to 22,234 and the estimated number of responses is 4.  Adjusting the number of respondents and number of responses results in an additional hours. We determined the adjustment by calculating the burden on the new respondents, before the program change, and subtracting from it the decrease in burden on the old respondents that occurred by decreasing the number of responses from 4.38 to 4. ((((22,234-20,107)*4) – (22,234 *0.38))) *2.5.)) Furthermore, FEMA is adding a program change, additional documentation requirements that increases the time communities participating in the NFIP spend on reviewing, processing filing and maintaining Floodplain Development Documentation from 2.5 hours to 3 hours (an additional 0.5 hours).  The time spent on these activities varies based on the complexity of the project the community development application is being filed for.  This results in an additional 44,178 hours is determined by multiplying the total number of responses by 0.5 hours (89008*0.5) for a total floodplain development documentation increase of .

Itemized Changes in Annual Cost Burden

Explain:

There is no cost burden for this collection.

16. For collections of information whose results will be published, outline plans for tabulation and publication. Address any complex analytical techniques that will be used. Provide the time schedule for the entire project, including beginning and ending dates of the collection of information, completion of report, publication dates, and other actions.

FEMA does not intend to employ the use of statistics or the publication thereof for this information collection.

17. If seeking approval not to display the expiration date for OMB approval of the information collection, explain reasons that display would be inappropriate.

FEMA will display the expiration date for OMB approval of this information collection.

18. Explain each exception to the certification statement identified in Item 19 “Certification for Paperwork Reduction Act Submissions,” of OMB Form 83-I.

FEMA does not request an exception to the certification of this information collection.

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