Form FEMA Form FF-206-F FEMA Form FF-206-F National Flood Insurance Program (NFIP) Compliance Audit

National Flood Insurance Program (NFIP) Compliance Audit Reports

FF-206-FY-24-100.xlsm

National Flood Insurance Program (NFIP) Compliance Audit Report

OMB: 1660-0023

Document [xlsx]

Download: xlsx | pdf

Overview

Administrative Info
Self Assessment
Ordinance Checklist
Diagnostic Assessment NEW
Diagnostic Assmnt Report NEW
Diagnostic Assessment Graphics
Evaluation Tool
Evaluation Tool Report
Evaluation Tool Graphics

Sheet 1: Administrative Info

ADMINISTRATIVE INFORMATION
Please enter data in white blocks in format indicated
Information will automatically update in other Worksheets

Description of data to be entered

Data Entry Fields

REFRESH TAB

National Flood Insurance Program (NFIP)

Community Information

Community:

County:

Date of Diagnostic Assessment:

Community Contact Date (Diagnostic)

Date of Audit:

State (2-Letter ID):

CID:

Floodplain Administrator (FPA) Name:

PRE-DECISIONAL DRAFT

FPA Phone:

FPA Email:

CEO Name:

CEO Phone:

CEO Email:

Community Website

NOT FOR DISTRIBUTION

Audit Points of Contact

Agency Conducting Audit:

Compliance

Audit Conducted By:

Auditor Phone:

Audit Toolkit V2.0

Auditor Email:

Audit Reviewed By:

Audit Reviewer Phone:

Audit Reviewer Email:

Audit Status
and Follow On

Referred Audit to FEMA:

Date Audit Closed:

CRS Community?:

CRS Candidate?:

Sheet 2: Self Assessment

Self-Assessment Form - PRE-DECISIONAL DRAFT

Compliance Audit Community Self Assessment V2.0

Community Information

Community Name:

State:

County:

CID:

Date Assessment Done (e.g., 10/15/2022):

Date Assessment Sent:

Local official completing Self-Assessment Name:

Title:

Local official completing Self-Assessment Email:

Phone

Official responsible for NFIP enforcement Name:

Title:

Official responsible for NFIP enforcement Email:

Phone

Chief Executive Officer (CEO) Name:

Additional Title:

Chief Executive Officer (CEO) Email:

Phone

Floodplain Administrator Capability, Capacity and Institutional Support

(Does the official responsible for regulating/enforcing the NFIP have the required expertise, knowledge, technical capabilities and institutional support?)

1.1

Is the local official completing the self-assessment the Flood Plain Administrator (FPA)?

1.2

How long has this official (FPA) been responsible for regulating/enforcing the NFIP in this community?

Notes:

1.3

1.4

Does the community use Geographic Information System (GIS) tools to collect and/or analyze data?

Floodplain Management Regulations

(Is the community's ordinance up to date and how is it being enforced?)

2.1a Enter the title of current floodplain management regulations

2.1

Does the community have current Floodplain Management Regulations?

2.1b Enter the current floodplain management regulations effective date

2.2

Does the community have other regulations related to floodplain management?

(e.g., Drainage Regulations, Building Codes, Wind Codes, etc.)?

2.2 Enter other regulations related to floodplain management

2.3

Over the last three (3) calendar years, how many development permits were granted for new structures in the designated flood hazard areas as shown on your community’s Flood Insurance Rate Map (FIRM)?

2.3 Enter the number of development permits for new structures: enter as a number (0-1000)

designated flood hazard areas as shown on your community’s Flood Insurance Rate Map (FIRM)?

2.4

Of development permits granted within the last three (3) calendar years; how many were for substantial improvements to existing structures?

2.4 Enter the number of permits for substantial improvements to existing structures (0-1000)

2.5

Over the last three (3) calendar years, how many local Floodplain Management Regulations variances were

2.5 Enter the number of floodplain management regulation variances (0-1000)

granted in the designated flood hazard areas—as shown on your community's FIRM—for any floodplain development?

2.6

Have any new structures been built with a lowest floor below the Base Flood Elevation (BFE) since your

Notes:

community’s latest FEMA FIRM effective date?

2.7

Has your community adopted higher standards? (i.e., exceeding the minimum

NFIP floodplain management requirements)?

2.8 Indicate the other standard(s) that exceed(s) minimums

2.8

If yes to question 2.7, indicate the type of standard(s).

Map Availability and Accuracy

(Is the community regulating/enforcing against its most accurate risk assessment?)

3.1 Date of most recent FEMA FIRM: (MO/DA/YEAR - e.g., 01/24/2020)

3.1

What is date of most recent FEMA Flood Insurance Rate Map (FIRM)? (MO/DA/YEAR)

3.2 Date of most recent FIS: (MO/DA/YEAR - e.g., 01/24/2020)

3.2

What is date of your community's most recent Flood Insurance Study (FIS)? (MO/DA/YEAR)

3.3 Date for pre-/post-FIRM Determination:

3.3

What initial FIRM date are you using for pre-/post-FIRM determination?

3.4

Has there been a change to your community’s territorial or extraterritorial boundaries that affected your designated flood hazard areas (this may include recent annexations) since your current FIRMs?

3.4 When was the change to community boundaries (MO/DA/YEAR)

3.5

Has your community experienced an event (e.g., flood, fire, etc.,) in the past ten (10) calendar years, resulting in substantially damaged structures?

Notes:

3.6

Please indicate all of the flood zones within the community’s boundary or jurisdiction:

Standardized Processes

(Does the community have an effective record-keeping process?)

4.1

Does your community use an electronic/software permitting process?

Notes:

4.2

4.3

Does your community have a documented Standard Operating Procedure(s) to guide

the determination process for the following? (Check all that apply)

4.4

Does your community have a documented Standard Operating Procedure(s) to guide

the permitting process for the following? (Check all that apply)

4.5

Does your community have a documented Standard Operating Procedure(s) to guide

the inspection process for the following? (Check all that apply)

Auditor Validation (Note: the auditor and not the local community should complete this section)

Has the auditor validated all information provided through the Self Assessment?

5.1

Have all data provided by the community been reviewed by the auditor via phone call or face to face?

Notes:

5.2

Are there any specific questions or answers that were incomplete or inaccurate?

5.2 Identify any specific questions or inaccuracies

5.3

If there are any additional details that were revealed during the validation annotate them in the box below.

Sheet 3: Ordinance Checklist

Ordinance Checklist PRE-DECISIONAL DRAFT V2

1 Ordinance Review Summary and Overview

Community Information:

Summary of Findings (provide key observations that lead to the determination below):

Community:

County:

State:

CID:

Weblink to online location of regulations/ordinance:

1.1

Location of Regulations/Ordinance:

1.2

Reviewer's Determination (Select after ordinance checklist is complete)

(selections are based on CIS, check as many as apply.)

(Check one, and enter the same corresponding check in Diagnostic Assessment tab, Question 13.1)

Standalone Ordinance (based on state model)

Codified

Zoning Ordinance

The floodplain management regulations are fully compliant.

Subdivision Ordinance

Other Ordinances/Regulations

Minor issues were identified.

Building Code

Noncompliant: There are significant issues with the regulations.

1.3

Type of Bldg. Code Adopted (Select one)

International Building Code (IBC)

International Residential Code (IRC)

State Building Code

Other I-Codes

2 Ordinance Provisions

Do the ordinances contain the following provisions?

Instructions: Identify the filing section number in the local ordinance or regulation where the identified provision is contained.

Indicate whether this local reference is compliant. Add any additional reviewer comments as to the adequacy of the local citation.

Section references to the NFIP Regulations

NFIP Ordinance Provision/Other:

Local ordinance section

Compliant?

Reviewer comments

2.1

Citation of Statutory Authority for regulating land use [59.22(a)(2)]

2.2

Framework for administering the ordinance (including permit system, establishment of the office for administering the ordinance, record keeping, etc.).

2.3

Adequate enforcement provisions (including a violation and penalty section specifying actions the community will take to assure compliance).

2.4

Variance section with evaluation criteria and insurance notice. [60.6(a)]

2.5 - Enter data below

2.5

Adoption date of ordinance (MO/DA/YEAR - 01/12/2022)

2.6 - Enter date below

2.6

Effective date of ordinance (MO/DA/YEAR - 01/12/2022)

2.7

Purpose section citing health, safety, and welfare reasons for adoption.

2.8

Disclaimer of Liability section

2.9

Abrogation and Greater Restriction section.

2.10

Severability section.

3 Minimum NFIP Criteria

Which definitions are included?

Note: The "check here if all present" capability is not currently functional here or 3.2

3.1

Primary Definitions [59.1] - Check here if all present:

Identify filing location - If all the same enter here:

3.1a

Base Flood

Notes:

3.1b

Base flood elevation

3.1c

Development

3.1d

Flood insurance rate map

3.1e

Flood insurance study

3.1f

Floodway

3.1g

Lowest floor

3.1h

Manufactured home

3.1i

Manufactured home park or subdivision

3.1j

New construction

3.1k

Recreational vehicle

3.1l

Special flood hazard area

3.1m

Start of construction

3.1n

Structure

3.1o

Substantial damage

3.1p

Substantial improvement

3.1q

Variance

3.1r

Violation

3.2

Other Definitions as Appropriate - Check here if all present:

3.2a

Basement

3.2b

Breakaway walls

3.2c

Floodproofing

3.2d

Functionally dependent use

3.2e

Freeboard

3.2f

Highest adjacent grade (if AO zones present)

3.2g

Historic structures

3.2h

Levee

Local ordinance section

Compliant:

Reviewer comments (as appropriate)

3.3

Adopt or reference correct map and date. [60.3(b)]

If the community has an automatic adoption provision in its ordinance, is it a valid provision?

3.4

Adopt or reference correct Flood Insurance Study and date. [60.3(c), (d), and/or (e)]

If the community has an automatic adoption provision in its ordinance, is it a valid provision?

3.5

Require permits If unmapped [60.3(a)(1)]: for all proposed construction or other development, to determine whether such construction or development is in a floodplain]

3.6

Require permits for all proposed construction and other development within SFHAs. [60.3(b)(1): for (b), (c), (d), and/or (e)]

4 Section 60.3(a)

Review permits to assure sites are reasonably safe from flooding [60.3(a)(3)]

Local ordinance section

Compliant:

Reviewer comments (as appropriate)

4.1

Anchoring (including manufactured homes) of New and SI construction to prevent flotation, collapse, or lateral movement of the structure. [60.3(a)(3)(i)]

4.2

Use of flood-resistant materials. [60.3(a)(3)(ii)]

4.3

Construction methods and practices that minimize flood damage. [60.3(a)(3)(iii)]

4.4

Electrical, heating, ventilation, plumbing, air conditioning equipment, and other service facilities designed and/or located to prevent water entry to accumulation. [60.3(a)(3)(iv)]

Review subdivision proposals and other development, including manufactured home parks or subdivisions, to determine whether such proposals will be reasonably safe from flooding [60.3(a)(4)].

Notes:

4.5

If a subdivision or other development proposal is in a flood-prone area, assure that such proposals minimize flood damage. [60.3(a)(4)(i)]

4.6

Ensure public utilities and facilities are constructed so as to minimize flood damage. [60.3(a)(4)(ii)]

4.7

Adequate drainage is provided in subdivisions to reduce exposure to flood hazards. [60.3(a)(4)(iii)]

4.8

Require new and replacement water supply and sanitary sewage systems to be designed to minimize or eliminate infiltration. [60.3(a)(5) and 60.3(a)(6)]

4.9

Require onsite waste disposal systems be designed to avoid impairment or contamination. [60.3(a)(6)(ii)]

4.10

Assure that all other State and Federal permits are obtained. [60.3(a)(2)]

5 Section 60.3(b)

Local ordinance section

Compliant:

Reviewer comments (as appropriate)

5.1

Require base flood elevation data for subdivision proposals or other developments greater than 50 lots or 5 acres. [60.3(b)(3)]

5.2

In A Zones, in the absence of FEMA BFE data and floodway data, obtain, review, and reasonably utilize other BFE and floodway data as a basis for elevating residential structures to or above the base flood level, and for floodproofing or elevating non-residential structures to or above the base flood level. [60.3(b)(4)]

5.3

Where BFE data are utilized in Zone A, obtain and maintain records of the lowest floor and floodproofing elevations for new and substantially improved construction. [60.3(b)(5)]

5.4

In riverine areas, notify adjacent communities of watercourse alterations and relocations. [60.3(b)(6)]

5.5

Maintain the carrying capacity of an altered or relocated watercourse. [60.3(b)(7)]

5.6

Require all manufactured homes to be elevated and anchored to resist flotation, collapse, or lateral movement. [60.3(b)(8)]

New Priority

5.7

Substantial Improvement/Substantial Damage determination procedures (Cost of Work, Market Value, Calculate %, issue determination letters)

New Priority

5.8

Require LOMC process: Within 6 months, notify FEMA of changes in the Base Flood Elevation by submitting technical or scientific data, so that insurance rates & floodplain management requirements will be based on current data. [65.3]

6 Section 60.3(c)

Local ordinance section

Compliant:

Reviewer comments (as appropriate)

6.1

Require all new and substantially improved residential structures within A1-30, AE, and AH Zones have their lowest floor (including basement) elevated to or above the Base Flood Elevation. [60.3(c)(2)]

6.2

In AO Zones2, require that new and substantially improved residential structures have their lowest floor (including basement) to or above the highest adjacent grade at least as high as the FIRM’s depth number. [60.3(c)(7)]

6.3

Require that new and substantially improved non-residential structures within A1-30, AE, and AH Zones have their lowest floor elevated or floodproofed to or above the Base Flood Elevation. [60.3(c)(3)]

6.4

In AO Zones2, require new and substantially improved non-residential structures have their lowest floor elevated or completely floodproofed above the highest adjacent grade to at least as high as the depth number on the FIRM. [60.3(c)(8)]

6.5

Require that for floodproofed non-residential structures, a registered professional engineer/architect certify that the design and methods of construction meet requirements at 60.3(c)(3)(ii). [60.3(c)(4)]

6.6

Require, for all new construction and substantial improvements, that fully enclosed areas below the lowest floor that are used solely for parking of vehicles, building access or storage in an area other than a basement and which is subject to flooding shall be designed to automatically equalize hydrostatic flood forces on exterior walls by allowing the entry and exit of floodwaters in accordance with the specifications in 60.3(c)(5). (Openings requirement)

6.7

Until a regulatory floodway is designated, no encroachment may increase the Base Flood level more than 1 foot. [60.3(c)(10)]

6.8

In Zones AO and AH2, require drainage paths around structures on slopes to guide water away from structures. [60.3(c)(11)]

6.9

Require that manufactured homes placed or substantially improved within A1-30, AH, and AE Zones, which meet one of the following location criteria, to be elevated such that the lowest floor is to or above the BFE and be securely anchored:
(i) outside a manufactured home park or subdivision;
(ii) in a new manufactured home park or subdivision;
(iii) in an expansion to an existing manufactured home park or subdivision;
(iv) on a site in an existing park which a manufactured home has incurred substantial damage as a result of a flood. [60.3(c)(6)]

6.10

In A-1-30, AH, and AE Zones, require that manufactured homes to be placed or substantially improved in an existing manufactured home park to be elevated so that
(i) the lowest floor is at or above the BFE;
(ii) OR the chassis is supported by reinforced piers no less than 36 inches in height above grade and securely anchored. [60.3(c)(12)]

6.11

In A1-30, AH, and AE Zones, all recreational vehicles to be placed on a site must
(i) be elevated and anchored; OR
(ii) be on the site for less than 180 consecutive days; OR
(iii) be fully licensed and highway ready. [60.3(c)(14)]

7 Section 60.3(d)

7.1

Designate a regulatory floodway which will not increase the Base Flood level more than 1 foot. [60.3(d)(2)]

7.2

In a regulatory floodway, prohibit any encroachment, unless hydrologic and hydraulic analyses prove that the proposed encroachment would not result in any increase in flood levels during the Base Flood discharge. [60.3(d)(3)]

8 Section 60.3(e)

Local ordinance section

Compliant:

Reviewer comments (as appropriate)

8.1

In V1-30, VE, and V Zones, obtain and maintain the elevation of the bottom of the lowest horizontal structural member of the lowest floor of all new and substantially improved structures. [60.3(e)(2)]

8.2

In V1-30, VE, and V Zones, require that all new construction and substantial improvements:

8.2a

Are elevated and secured to anchored pilings or columns so that the bottom of the lowest horizontal structural member is at or above the Base Flood Elevation. [60.3(e)(4)]

8.2b

A registered professional engineer/architect certify that the design and methods of construction meet elevation and anchoring requirements at 60.3(e)(4)(i) and (ii). [60.3(e)(4)]

8.2c

Have the space below the lowest floor either free of obstruction or constructed with breakaway walls. Any enclosed space shall be used solely for parking, building access, or storage. [60.3(e)(5)]

8.2d

All new construction is landward of mean high tide. [60.3(e)(3)]

8.2e

Prohibit use of fill for structural support. [60.3(e)(6)]

8.2f

Prohibit alteration of sand dunes and mangrove stands. [60.3(e)(7)]

8.3

Require that manufactured homes placed or substantially improved within V1-30, VE, and V Zones, which meet one of the following location criteria, meet the V Zone standards in 60.3(e)(2) through (e)(7):
(i) outside a manufactured home park or subdivision;
(ii) in a new manufactured home park or subdivision;
(iii) in an expansion to an existing manufactured home park or subdivision;
(iv) on a site in an existing park which a manufactured home has incurred substantial damage as a result of a flood. [60.3(e)(8)]

Notes:

8.4

In V1-30, VE, and V Zones, require that manufactured homes to be placed or substantially improved in an existing manufactured home park to be elevated so that
(i) the lowest floor is at or above the BFE;
(ii) OR the chassis is supported by reinforced piers no less than 36 inches in height above grade and securely anchored. [60.3(e)(8)(iv)]

8.5

In V1-30, VE, and V zones, all recreational vehicles to be placed on a site must
(i) be elevated and anchored; OR
(ii) be on the site for less than 180 consecutive days; OR
(iii) be fully licensed and highway ready. [60.3(e)(9)]

For Future Consideration

HIGHER STANDARDS

Notes:

Freeboard (more than BFE + 1)

Cumulative Substantial Improvement (years = ____ )

Dwelling design to ASCE 24

Limit Size of Enclosures

Limitation on use of fill

Nonconversion agreement

Prohibit enclosures

Repetitive Loss flooding

Compensatory Storage

Designating FPA

Determining BFE Unnumbered A

Flood Hazard study-map

Flood protection setback

Manufactured home limitations

Subdivision limitations

Compensatory Storage

Footnotes:

1 If a community has both floodways and coastal high hazard areas, it must meet the requirements of both level 60.3(d) and 60.3(e).

2 Items about AO Zones are not required if the community has no AO Zones.

3 Item is not required if all streams have floodways designated.

4 Item is not required if the community has no AO or AH Zones.

Sheet 4: Diagnostic Assessment NEW

	Diagnostic Assessment V2 (NEW)-		There are several response types: 1) Multiple choice from a drop down menu--select the response that best fits the community's situation/current practices. Each response includes a reference number in parenthesis after the answer to facilitate automation; this number is not a final score. 2) Fill in blank--the question prompts to enter a number, date, or more detailed description. 3) Dependent responses--a question may require additional response based on the response to the previous question the cell will change to gold indicated a response is now required. Light grey cells are auto-calculated and locked, no response is required. Your Response (Auditor Data Entry)	This is the findings and notes area that corresponds with each question. Some questions will specifically prompt you to add more details in the notes. These are for "free text" to add clarification or qualifiers to the response or to provide details on your findings. Findings and notes (Auditor Data Entry)	This is the score after assigned weighting is applied Weighted Score	Weight assigned to each scored question. A weight of ZERO indicates a question not scored Assigned Weight	The maximum possible points for each question (weighted) - Questions with '0' are not scored. Max Possible Weighted Score	Areas of concern (AOC) represent a poor response or a missing requirement; these are key indicators that the community's effectiveness is impacted & that they may need a full evaluation. Light Grey Cells are AOCs. Cells populate with a RED 1 and RED outline when selected. Area of Concern (AOC)?	Activities or processes that the auditor recommends the community implement to improve in the audited area. Recommendation(s) (Auditor Data Entry)	Provide a target date for closure/completion of the finding. Estimated Close Out Date (Auditor Data Entry)
	PRE-DECISIONAL DRAFT
#	Required to complete diagnostic?
Community Contact Questions (Sections 1-4)						.
1. FPA Capability, Capacity and Institutional Support: (Does the official responsible for regulating/enforcing the NFIP have the required expertise, knowledge, technical capabilities and institutional support?)
1	Yes	1.1 Since the last audit (CAV or CAC), has there been any development in the SFHA or is any currently planned?	No (0)		0	1	0
1	Yes	1.2 How does the community accomplish permit development? (Select the response that best fits the community's situation or current practices).				1	3
2		1.2a If the community permitting process is through multiple departments or offices, list the departments/offices in the space shaded gold to the right.
3		1.2.b If the community contracts out the permitting process, describe your contractor selection criteria.				0	0
4	Yes	1.3 How does the community coordinate permit development? If coordination is through a single department select "Full Coordination".				0.5	2
5		1.3a If the coordination is across departments, or via contract, does the FPA receive notice of floodplain permit changes by other departments and reviews them for compliance?				0.5	2
6	Yes	1.4 Is the FPM program's position in the organization appropriate to ensure effectiveness in carrying out its duties?				1	4
7	Yes	1.5 With regard to enforcement, are stop work orders issued if any significant problems are identified?				1.5	6
8	Yes	1.6 With regard to enforcement, does the community have and use code enforcement authority?				1	4
9	Yes	1.7 With regard to enforcement, does the FPA review or is otherwise involved in appeals?				0.5	2
10	Yes	1.8 With regard to enforcement, does the FPA review variance request reviews or approvals?				0.5	2
11	Yes	1.9 Have there been any variances from local floodplain management ordinances in the SFHA for new and substantial improvement to structures since the last CAV? (Evaluation Tool Q3.7)				0.5	1.5
12		1.9a If yes to Q 1.8, were the variances issued in complance with 44CFR 60.6? (e.g., Historic Structures, Agricultural Structures, Accessory Structures, other). Please list details in the space shaded gold to the right. (Evaluation Tool Q3.8)
13		1.9b If yes to Q 1.8, if there were variances, indicate the type and approximate number of variances from local floodplain management criteria in the SFHA in the space shaded gold to the right.
14	Yes	1.10 How does the community maintain records of floodplain development (Select the response that best fits the community's situation or current practices).				2	8
15	Yes	1.11 How does the community describe the support (direct and indirect) from the CEO and officials to enforce its ordinances? (Evaluation Tool Q1.8)				0	0
16	Yes	1.12 Where applicable, does the community use historic FIRM and FIS for permitting to verify the structure was built in compliance at the time of new construction?				0	0
17	Yes	1.13 Does the community maintain copies of Letters of Map Changes (LOMCs)? (Select the response that best fits the community's situation or current practices).				0	0
											Subtotals of: FPA Capability, Capacity and Institutional Support (Section 1 above):	0	15	0
2. Map Availability and Accuracy: (Is the community regulating/enforcing against its most accurate risk assessment?)
18	Yes	2.1 During permitting, how are the flood zone and Base Flood Elevation (BFE), or regulatory flood height determined by the FPA or designee? (Select the response that best fits the community's situation or current practices).				2	8
19	Yes	2.2 In reference to how the BFE and regulatory flood are height checked during plan review: is the BFE determined by the FPA office and provided to the applicant at permit initiation?				1.5	6
20	Yes	2.3 In reference to how the BFE and regulatory flood height are checked during plan review: is the BFE generated by the applicant/surveyor and verified before the permit is issued?				1.5	6
21	Yes	2.4 Is there Base Flood Elevation (BFE) in this community (e.g., AE, Numbered A zones , only zone A,etc.)?				0	0
22		2.4a. If yes to Q 2.4, describe how the community assures elevations are appropriate relative to adjacent ground level in the space shaded gold to the right.
23	Yes	2.5 Are the most recent FIRMs and or FIS cited in the ordinance (for those communities without auto-adopt)? (Select the response that best fits the community's situation or current practices). (in guidance: if 60.3a community where no FEMA maps or data exist choose N/A)				0	0
24		2.5a. If the most recent FIRMs are cited, please indicate the date in the space shaded gold to the right .
25		2.5b. If the most recent FISs are cited, please indicate the date in the space shaded gold to the right .
26	Yes	2.6 Does the FPA use the MSC and/or NFHL when working with flood hazard map products, in addition to digital/paper FIRMs & FIS (where present)?				0	0
27	Yes	2.7 Is the community using other maps or studies for regulating the floodplain?				0	0
28	Yes	2.8 Has the community completed necessary actions (44CFR 64.4) if there has been a recent change to the community’s territorial or extraterritorial boundaries that affected SFHA?				0	0
29	Yes	2.9 Does the community require and initiate Letters of Map Change (LOMC) when appropriate?				1	4
30		2.9a if Yes or Sometimes was selected in 2.9, indicate those instances when they are used in the space shaded gold to the right (e.g., If natural LAG>BFE, advise LOMA; If floodway impact, CLOMR and LOMR; If fill used, LOMR-F; If proposal changes BFE/SFHA, require CLOMR and LOMR)
											Subtotals of: Map Availability and Accuracy (Section 2 above):	0	15	0
3. Floodplain Management Regulations: (Is the community's ordinance up to date and how is it being enforced?)
31	Yes	3.1 Is the community actively ensuring as-built elevations are collected and reviewed?				1.5	6
32	Yes	3.2 Are other state and federal permits obtained and checked by the FPA office? (e.g. EPA, USACE 404 Permit, state environmental permits)				1	4
33	Yes	3.3 During permit review, are lowest floor and utilities checked against BFE (or grade) to ensure proper elevation is proposed?				1.5	6
34	Yes	3.4 An ordinance review was completed and can best be summarized as: (Select the response that best fits the community's situation or current practices).				2	8
35	Yes	3.4a Briefly summarize ordinance review findings in the space to the right, under your response, if needed.
36	Yes	3.5 For ordinances, does the state require higher standards than FEMA?				0	0
37		3.5a If Yes to 3.5, has the community adopted these higher standards?				0	0
38	Yes	3.6 Are other regulations in the community coordinated with the floodplain ordinance(s)?				0	0
39		3.6a If yes to 3.6, describe how these regulations are related/interrelated in the space shaded gold to the right.
40	Yes	3.7 Are certain classes of development exempted from NFIP regulations (at state/county/local level)?				0.5	2
41		3.7a If yes to 3.7, describe these exemptions in the space shaded gold to the right.
42	Yes	3.8 Indicate the approximate number of permits granted for development in the SFHA in the last three (3) years in the space to the right. If there were zero (0) indicate as such.
											Subtotals of: Floodplain Management Regulations (Section 3 above):	0	40	0
4. Standardized Processes: (Does the community have an effective record-keeping process?)
43	Yes	4.1 Which option best describes the community's permitting documentation?				1.5	4.5
44	Yes	4.1a Describe the permitting process narrative and coordination (e.g., through other departments/offices) and identify any gaps (e.g., types of developments that are not reviewed) in the process in the space to the right.
45	Yes	4.2 With regard to the community permitting process, and if the zones apply to the community, are floodway proposals reviewed and documented correctly?				1	4
46	Yes	4.3 With regard to the community permitting process, and if the zones apply to the community, are coastal high hazard areas V zones foundation and design standards met?				1	4
47		4.3a If yes to question 4.3, please indicate specifics (e.g., prohibit fill, open foundation or breakaway wall, lowest horizontal structural member (LHSM) above BFE )in the space shaded gold to the right.
48	Yes	4.4 Which option best describes the community's Substantial Improvement, Substantial Damage (SI/SD) administration?				1.5	6
49	Yes	4.4a Describe the community's SI/SD administration if the options in 4.2 are not fully descriptive or if there are gaps identified in the administration of the program (in the space to the right).
50	Yes	4.5 With regard to the market value source that the community uses or requires from applicant for SI/SD, what source does the community use?				0	0
51	Yes	4.6 How are the BFE and or the regulatory flood height checked during plan review?				2	6
52	Yes	4.7 Does the community have engineering staff or similar capacity at the permit review process, including floodway development reviews (H&H Study and supporting no-rise documentation) as applicable?				1	4
53	Yes	4.8 When are inspections of floodplain development performed by responsible community officials? (Select the response that best fits the community's situation or current practices).				1.5	6
54	Yes	4.9 Are floodproofing certifications collected for non-residential structures?				1	4
55	Yes	4.10 Does the community have recent (within the last five years, or since the last audit) projects of the following type that may require review: watercourse alterations that change the BFE and/or location of SFHA?				0	0
56	Yes	4.11 Has the community had any watercourse alterations that change the BFE and/or location of SFHA have relevant/recent (within the last five years, or since the last CAV)?				0	0
57	Yes	4.12 Has the community had any capital improvement projects (e.g., roads and bridges) that may require review within the last five years of since the last CAV?				0	0
58	Yes	4.13 Has the community had any large construction projects that may require review within the SFHA over the last 5 years or since the last CAV?				0	0
59	Yes	4.14 Has the community had any projects that involve critical facilities within the SFHA that may require review over the last 5 years or since the last CAV.
60	Yes	4.15 With regard to the community permitting process, and if the zones apply to the community, are subdivisions and large developments in Zone A checked for 50 lot/5-acre threshold?				1	4
61	Yes	4.16 Has the community had any Non-structural development - items not typically covered by building permit (e.g., fill/grading, storage of equipment/materials, paving) within the last 5 years or since the last CAV?				0	0
62	Yes	4.17 If the community has experienced a flood disaster event INSIDE the SFHA in the past 5 years resulting in damaged structures, did they do substantial Damage determinations?				0	0
63	Yes	4.18 If the community has experienced a non-flood disaster (e.g., fire, wind, earthquake) event INSIDE the SFHA in the past 5 years resulting in damaged structures, did they do substantial damage determinations?				0	0
64		4.19 If yes to either 4.16 or 4.17, describe the type of event, the impacted area, damage estimates or summary, and any declared disaster level (state/federal) in the space shaded gold to the right.
65	Yes	4.20 Has the community experienced any disaster event OUTSIDE the SFHA in the past 5 years resulting in flood damaged structures?				0	0
66		4.21 If yes to 4.20, describe the type of event, the impacted area, summary of flood damages, and possible indicators of map change (or flood study) needs in the space shaded gold to the right.
											Subtotals of:Standardized Processes (Section 4 above):	0	30	0
				Diagnostic Assessment Total Score	0		100	0
Enhanced Community Contact Record of Documents Reviewed and Recommend Next Steps
66	Yes	5.1 The space to the right indicates the recommended number of permits to review during this assessment based on response to question 3.8 (i.e., approximately 10% ).	0
67	Yes	5.1a Indicate number of permits reviewed during this assessment in space to the right.
68	Yes	5.1b Of the permits reviewed, indicate how many are noncompliant in the space to the right.
69	Yes	5.2 The space to the right indicates the recommended number of variances to review during this assessment based on response to question 1.8b (i.e., approximately 50%).	1
70	Yes	5.2a Indicate the number of variances reviewed during this assessment in space to the right.
71	Yes	5.2b Of the variances reviewed, indicate how many are noncompliant in the space to the right.
72	Yes	5.3 Describe the relative SFHA development pressure vs SFHA size in the community in the space to the right (e.g., 30% of the community is in the SFHA, but 75% of the building pressure exists there).
73	Yes	5.4 Indicate the number of documents reviewed of this type: Elevation Certificates.
74	Yes	5.4a Of ECs reviewed, indicate how many are noncompliant or indicate a potential violation in the space to the right (explain in findings and notes if needed).
75	Yes	DR.5 Indicate the number of documents reviewed of this type: Hydrologic and Hydrodynamic (H&H) Analysis.
76	Yes	DR.5a Indicate the number of documents reviewed of this type with issues: H&H Analysis. (explain in findings and notes if needed)
77	Yes	5.6 Indicate the number of documents reviewed of this type: No rise certifications.
78	Yes	5.6a Indicate the number of documents reviewed of this type with issues: No rise certifications (explain in findings and notes if needed).
79	Yes	5.7 Does the community have any unresolved violations carried over from the last five-year period/last audit?				0	0
80		5.7a Describe these violations in detail and provide any context in the space to the right.
81	Yes	5.8 Is the community requesting full audit (virtual or in-person)?				0	0
82		5.8a Describe the nature and urgency of the request in the space to the right.
83	Yes	5.9 Has the community been non-responsive or could the POC not be reached?				0	0
84		5.9a Indicate how many times attempted contact was made and any details from these attempted contacts, and provide additional details in Findings and Notes if needed.
											Subtotals of: Document Review and Recommendations (Section 5 above):	0	0



															NFIP Severity Classification Schema The severity classification includes a single word identifier, a more detailed description and a numerical value to indicate severity.			Minor	Minor deficiencies are usually administrative in nature, even though those findings may possibly result in a notice of violation. This category may also include temporary or occasional instances of noncompliance.	3
															Significant	A problem categorized as significant requires immediate attention. It poses, or has a high likelihod to pose a direct and immediate threat to human health and safety.	5	Management Practice (MP)	MP findings are those for which there is no specific regulatory requirement.	2
															Major	A major deficiency requires action, but not necessarily immediate action. Major deficiencies may pose a threat to human health and safety. Any immediate threat, however, must be categorized as significant.	4	Positive	A positive finding is for a job, activity, or person who has gone above and beyond the regulatory requirements.	-2

Sheet 5: Diagnostic Assmnt Report NEW

PRE-DECISIONAL DRAFT

INSTRUCTIONS FOR USE:

National Flood Insurance Program (NFIP)
DIAGNOSTIC ASSESSMENT SUMMARY REPORT V2

Section Status Summary

Critical Element and Area of Concern Section Summary

Location:

CID:<enter 6-digit CID here>

Diagnostic Assessment Section Status is Provided Below

Section

Critical Element

Area of Concern

Floodplain Administrator:

Phone:

Section

Status

Max

Scored

Max

Scored

Agency Conducting Audit:

Section 1 - FPA Capability, Capacity and Institutional Support

Incomplete

Section 1 - FPA Capability, Capacity and Institutional Support

Audit Conducted by:

Phone:

Audit Reviewed by:

Phone:

Section 2 - Map Availability and Accuracy

Incomplete

Section 2 - Map Availability and Accuracy

Community Contact Date:

Diagnostic Assessment Date:

Date Audit Closed

Overall Diagnostic Score

Section 3 - Floodplain Management Regulations

Incomplete

Section 3 - Floodplain Management Regulations

CRS Community:

Overall Evaluation Score

Auditor Determination
Summary of Auditor's Determination for Diagnostic Assessment Process

Section 4 - Standardized Processes

Incomplete

Section 4 - Standardized Processes

1. Diagnostic Assessment Outcome. Select the most descriptive option:

Provide additional details as needed:

Section 5 - Document Review and Recommendations

Incomplete

Totals

Compliance Determined at Community Contact (Off-Ramp)

Compliance Determined at Enhanced Community Contact (Off-Ramp)

Full Evaluation Needed

Area of Concern

Applies to Community

Other

1.1

Q1.1

AOC: The community does not have a permitting process for all development

2. If a full evaluation is needed select all that apply:

Provide additional details as needed:

1.3

Q1.3

AOC: The FPM program's position in the organization is NOT appropriate to ensure effectiveness in carrying out its duties

Diagnostic assessment scores indicated need for full evaluation

1.9

Q1.9

AOC: Records are not maintained indefinitely (are disposed at some determined interval); or are not accessible

Significant Areas of Concern identified during the Assessment

2.1

Q2.1

AOC: BFE/flood height is not determined or the community does not determine it correctly

Community Specifically requested a full evaluation

2.7

Q2.7

AOC: The community is using other maps or studies for regulating the floodplain and they are LESS restrictive than the FEMA maps

Post Disaster Substantial Damage

2.8

Q2.8

AOC: There has been a recent change to the community’s territorial or extraterritorial boundaries that affected SFHA and the correct maps were not adopted

3. Does the community require follow-up or technical assistance following completion of the diagnostic Assessment?

Provide additional details as needed:

2.9

Q2.9

AOC: The community does NOT require and initiate Letters of Map Change (LOMC) when appropriate

Yes

3.1

Q3.1

AOC: As-built information is not collected or used

3.4

Q3.4

AOC: An ordinance review was completed, and Significant errors were identified or sections were missing (e.g., subdivisions, V zone certificates, RV standards)

3.7

Q3.7

AOC Certain classes of development are exempt from NFIP regulations, at state/county/local level

Diagnostic Assessment Summary Scores

4.1

Q4.1

AOC: The permitting process is incomplete, e.g., the community does not permit or review all types of development

Category

Community Score

Baseline

Area of Concern Total

Questions of Concern

4.4

Q4.4

AOC: The community's Substantial Improvement, Substantial Damage (SI/SD) administration is partially compliant: one is calculated regularly but the other is not (e.g., SI is calculated regularly, but SD determinations are not done)

Total Diagnostic Score

0 out of 14

No Concern

4.6

Q4.6

AOC: The BFE and or the regulatory flood height is not checked during plan review

FPA Capability

0 out of 3

None Identified

4.8

Q4.8

AOC: No floodplain inspections are performed

Maps

0 out of 4

None Identified

Regulations

0 out of 3

None Identified

Processes

0 out of 4

None Identified

Section 1 FPA

Question

Count

#NAME?

Section 2 Maps

Question

Count

FPA Capability

#NAME?

Maps

Regulations

Processes

Overall Score

Section 3 Regs

Question

Count

#NAME?

Floodplain Administrator Capability, Capacity, and Institutional Support SCORE:

Section Score:

Question

Response

Score

Findings and Notes

Recommendations

1.1 How does the community accomplish permit development?

1.1a If the community permitting process is through multiple departments or offices, list the departments/offices.

Answer Not Required

Section 4 Processes

Question

Count

Total

1.1.b If the community contracts out the permitting process indicate how this contract is managed.

Answer Not Required

#NAME?

1.2 How does the community coordinate permit development?

1.2a If the coordination is across departments or via contract, does the FPA receive notice of floodplain permit changes by other departments and reviews for compliance?

Answer Not Required

1.3 Is the FPM program's position in the organization appropriate to ensure effectiveness in carrying out its duties?

1.4 With regard to enforcement, are stop work orders issued if any significant problems are identified?

1.5 With regard to enforcement, does the FPA have code enforcement authority?

Scoring Table - Summary (Hidden/Locked from user view)

1.6 With regard to enforcement, does the FPA review or is otherwise involved in appeals?

Diagnostic Assessment

Value

1.7 With regard to enforcement, does the FPA review variance request reviews or approvals?

Com Contact

1.8 Have there been any variances from local floodplain management ordinances in the SFHA for new and substantial improvement to structures in the last three (3) years?

Enhanced Com Contact

1.8a If yes to Q 1.8, what were the reasons? (e.g., Historic Structures, Agricultural Structures, Accessory Structures, other).

Answer Not Required

Full Evaluation

1.8b If yes to Q 1.8, if there were variances, indicate the approximate number of variances from local floodplain management criteria in the SFHA.

Answer Not Required

Other

1.9 How does the community maintain records of floodplain development?

Full Evaluation

Value

1.10 How does the community describe the support (direct and indirect) from the CEO and officials to enforce its ordinances?

Scores

1.11 Where applicable, does the community use historic FIRM and FIS for permitting to verify the structure was built in compliance at the time of new construction?

AOCs

1.12 Does the community maintain copies of Letters of Map Changes (LOMCs)?

Requested

Map Availability and Accuracy

Section Score:

Disaster

Question

Response

Score

Findings and Notes

Recommendations

Follow Up

2.1 During permitting, how are the flood zone and Base Flood Elevation (BFE), or regulatory flood height determined by the FPA or designee?

Yes

2.2 In reference to how the BFE and regulatory flood are height checked during plan review: is the BFE determined by the FPA office and provided to the applicant at permit initiation?

2.3 In reference to how the BFE and regulatory flood height are checked during plan review: is the BFE generated by the applicant/surveyor and verified before the permit is issued?

2.4 Is there no Base Flood Elevation (BFE) in this community (e.g., only zone A)?

2.4a. If yes to Q 2.4, describe how the community assures elevations are appropriate relative to adjacent ground level.

Answer Not Required

2.5 Are the most recent FIRMs and or FIS cited in the ordinance?

2.5a. If the most recent FIRMs are cited, please indicate the date.

Answer Not Required

2.5b. If the most recent FISs are cited, please indicate the date.

Answer Not Required

2.6 Does the FPA use the MSC and/or NFHL when working with flood hazard map products, in addition to digital/paper FIRMs & FIS (where present)?

2.7 Is the community using other maps or studies for regulating the floodplain?

2.8 Has there been a recent change to the community’s territorial or extraterritorial boundaries that affected SFHA?

2.9 Does the community require and initiate Letters of Map Change (LOMC) when appropriate?

2.9a if Yes or Sometimes was selected in 2.9, indicate those instances when they are used.

Answer Not Required

Floodplain Management Regulations

Section Score:

Question

Response

Score

Findings and Notes

Recommendations

3.1 Is the community actively ensuring as-built elevations are collected and reviewed?

3.2 Are other state and federal permits obtained and checked by the FPA office?

3.3 During permit review, are lowest floor and utilities checked against BFE (or grade) to ensure proper elevation is proposed?

3.4 An ordinance review was completed and can best be summarized as:

3.4a Briefly summarize ordinance review findings.

3.5 For ordinances, does the state require higher standards than FEMA?

3.5a If Yes to 3.5, has the community adopted these higher standards?

Answer Not Required

3.6 Are other regulations in the community coordinated with the floodplain ordinance(s)?

3.6a If yes to 3.6, describe how these regulations are related/interrelated.

Answer Not Required

3.7 Are certain classes of development exempted from NFIP regulations (at state/county/local level)?

3.7a If yes to 3.7, describe these exemptions.

Answer Not Required

3.8 Indicate the approximate number of permits granted for development in the SFHA in the last three (3) years.

Standardized Processes

Section Score:

Question

Response

Score

Findings

Recommendations

4.1 Which option best describes the community's permitting process?

4.1a Describe the permitting process narrative and coordination.

4.2 With regard to the community permitting process, and if the zones apply to the community, are floodway proposals reviewed and documented correctly?

4.3 With regard to the community permitting process, and if the zones apply to the community, are coastal high hazard areas V zones foundation and design standards met?

4.3a If yes to question 4.3, please indicate specifics.

Answer Not Required

4.4 Which option best describes the community's Substantial Improvement, Substantial Damage (SI/SD) administration?

4.4a Describe the community's SI/SD administration.

4.5 With regard to the market value source that the community uses or requires from applicant for SI/SD, what source does the community use?

4.6 How are the BFE and or the regulatory flood height checked during plan review?

4.7 Does the community have engineering staff or similar capacity at the permit review process, including floodway development reviews (H&H Study and supporting no-rise documentation) as applicable?

4.8 When are inspections of floodplain development performed by responsible community officials?

4.9 Are floodproofing certifications collected for non-residential structures?

4.10 Does the community have recent watercourse alterations that change the BFE and/or location of SFHA?(within the last five years, or since the last audit)?

4.11 Does the community have recent capital improvement projects (e.g., roads and bridges, etc.,)(within the last five years, or since the last audit) that may require review: ?

4.12 Does the community have recent other large construction projects (within the last five years, or since the last audit)?

4.13 Does the community have recent critical facilities projects (within the last five years, or since the last audit)?

4.14 With regard to the community permitting process, and if the zones apply to the community, are subdivisions and large developments in Zone A checked for 50 lot/5 acre threshold?

4.15 Does the community have recent (within the last five years, or since the last audit) non-structural development - items not typically covered by building permit (e.g., fill/grading, storage of equipment/materials, paving) that may require review?

4.16 Has the community experienced a flood disaster event INSIDE the SFHA in the past 5 years resulting in damaged structures?

4.17 Has the community experienced a non-flood disaster (e.g., fire, wind, earthquake) event INSIDE the SFHA in the past 5 years resulting in damaged structures?

4.18 If yes to either 4.16 or 4.17, describe the type of event, the impacted area, damage estimates or summary, and any declared disaster level (state/federal) in the space shaded gold to the right.

Answer Not Required

4.19 Has the community experienced any disaster event OUTSIDE the SFHA in the past 5 years resulting in flood damaged structures?

4.20 If yes to 4.19, describe the type of event, the impacted area, summary of flood damages, and possible indicators of map change (or flood study) needs in the space shaded gold to the right.

Answer Not Required

Sheet 6: Diagnostic Assessment Graphics

			PRE-DECISIONAL DRAFT
		National Floodplain Insurance Program (NFIP)				Diagnostic Assessment Summary V2



				Table 1: Audit Score Summary by FPM Program Category

				Theme	Your Community's Score	Max Score	Percent Contribution (current)	Percent Contribution (goal)	Number of Questions
				Floodplain Administrator Capability, Capacity, and Institutional Support	0	15	15%	15%	17
				Map Availability and Accuracy	0	15	15%	15%	13
				Floodplain Management Regulations	0	40	40%	40%	12
				Standardized Processes	0	30	30%	30%	24
				Total Score	0	100	100%	100%	66


				Table 2: Audit Score Summary
				Theme		Your Community's Score	Max Score	Percent
				Floodplain Administrator Capability, Capacity, and Institutional Support		0	15	0%
				Map Availability and Accuracy		0	15	0%
Floodplain Management Regulations	0	40	0%
Standardized Processes	0	30	0%
Total Score	0	100	0%

Sheet 7: Evaluation Tool

Evaluation Tool V2.0 PRE-DECISIONAL DRAFT
#	Question	Your Response (Auditor Data Entry)	Max Possible Weighted Score	Assigned Weight	Findings (Auditor Data Entry)	Reference(s) (Auditor Data Entry)	Recommendation(s) (Auditor Data Entry)	Estimated Close Out Date (Auditor Data Entry)
FPA Capability, Capacity and Institutional Support: (Does the official responsible for regulating/enforcing the NFIP have the required expertise, knowledge, technical capabilities and institutional support?)
1	1.1: How many years of floodplain management experience does the Floodplain Administrator have ?		4	1
2	1.2: Is the Floodplain Administrator a Certified Floodplain Manager (CFM)?		2	0.5
3	1.3: What is the Floodplain Administrator’s familiarity with FEMA maps and study data? Specifically, what products are being used when reviewing permits? For each type/row in question 1.3.1-1.3.5 please select one response. MULTIPART QUESTION, SEE 1.3.1 - 1.3.5 BELOW
	1.3.1: Are effective flood insurance rate maps (digital or paper) used?		2	0.5
	1.3.2: Are effective flood insurance study (digital or paper) used?		2	0.5
	1.3.3: Are historic FIS or FIRMs used?		2	0.5
	1.3.4: Are letters of map change (digital or paper) used?		2	0.5
	1.3.5: Are other best available data used?		2	0.5
4	1.4: What sources does the FPA use when working with FEMA map products and study data?
	1.4.1: FEMA Map Service Center (MSC) and/or National Flood Hazard Layer (NFHL) tool		2	0.5
	1.4.2: Local GIS Software		2	0.5
5	1.5: Is the Floodplain Management program adequately staffed?		4	1
6	1.6: Is the Floodplain Management program adequately resourced (i.e., has sufficient budget)?		2	0.5
7	1.7: Is the FPM program's position in the organization appropriate to ensure effectiveness in carrying out its duties?		4	1
8	1.8: Does the FPA sufficiently interact/communicate with the mayor/council/CEO to ensure continued community support for the FPM program?		4	1
Subtotal from Section 1 Above									15
Map Availability and Accuracy: (Is the community regulating/enforcing against its most accurate risk assessment?)
9	2.1: In the past 3-5 years has the community experienced significant flooding outside of the mapped SFHA and provided that information to FEMA?		2	0.5
10	2.2: Has the community adopted the correct FIRMs and FIS for the entirety of its community boundary (including any recent annexations)?		2	0.5
11	2.3: Is the community properly obtaining LOMCs to reflect current or changing flood risk?		4	1
	15

12	3.1: Since the last audit (CAV or CAC), has there been any development in the SFHA or is any currently planned?	Yes	2	0.5
13	3.2: If yes to question 3.1 above, how many permits has the Floodplain Administrator issued for development (both structural and non-structural) in the SFHA since the last audit?		4	1
14	3.3: How does the community maintain as-built elevation data?		4	1
15	3.4: Is the community's current FPM Regulation compliant with NFIP minimum standards? (Auditor to complete Floodplain Management Regulations Review Checklist)		10	2.5
16	3.5: How many compliance issues does the community currently have by category? (Multi-part question: enter whole numbers for 3.5.1 - 3.5.14 below; a blank indicates zero/none for that category)	Your Response: (Auditor Data Entry) How many current compliance issues have been identified in each area	12
	3.5.1 Floodways (unpermitted encroachments, permitted without no-rise analysis, or no-rise analysis inaccurate/insufficient)			-2
	3.5.2 V Zone standards not met (foundation type, breakaway walls, V Zone certification)			-2
	3.5.3 Basements (new construction or SI)			-1
	3.5.4 Insufficient elevation of residential structures			-1
	3.5.5 Insufficient elevation/floodproofing of non-residential structures			-1
	3.5.6 Insufficient flood openings (all structure types)			-1
	3.5.7 As-built elevation information lacking (all structure types)			-0.5
	3.5.8 Lacking SI/SD assessments			-0.5
	3.5.9 Not following Letter of Map Change (LOMC) procedures (changing drainages or streams, undocumented watercourse alterations)			-0.25
	3.5.10 In Zone A, developments (>50 lots or 5 acres) lacking development of BFEs			-0.25
	3.5.11 In AO-Zone, developments (>50 lots or 5 acres) lacking development of BFEs			-0.25
	3.5.12 Unpermitted fill/grading			-0.25
	3.5.13 Other (non-structural) development (e.g., dredging, storage of materials, insufficient drainage, non-compliant RVs)			-0.25
	3.5.14 Insufficient elevation or floodproofing of building service machinery in non-residential structures			-0.25
17	3.6: How many variances (non-complaint 44CFR 60.6) has the community granted to its floodplain management standards?			-0.25
18	3.7 How many of the variances in question 3.6 above are not in accordance with the community's own floodplain management policies/standards?		4	1
19	3.8 When you encounter conflicting regulations do you always enforce the stricter regulation?		4	1
Subtotal from Section 3 Above									33

20	4.1. Does the Floodplain Management Program have a permitting process developed and in use for the following options within the SFHA?	Your Response (Auditor Data Entry) - Select All that Apply	8
	4.1.1 Residential structures (including subdivisions)			1
	4.1.2 V Zone construction (certification, review)			1
	4.1.3 Floodway encroachment (no-rise analysis review)			1
	4.1.4 Commercial/non-residential structures			1
	4.1.5 Substantial Improvement (SI) of structures			1
	4.1.6 Substantial Damage (SD) of structures			1
	4.1.7 Variances			1
	4.1.8 CLOMR/LOMR (e.g., watercourse alterations, floodway development, culverts)			0.143
	4.1.9 Recreational Vehicles			0.143
	4.1.10 Accessory structures			0.143
	4.1.11 Agricultural structures			0.143
	4.1.12 Fill/grading			0.143
	4.1.13 Other non-structural development as defined in 59.1			0.143
	4.1.14 Other federal/state/local necessary permits			0.143
21	4.2: Does the community conduct inspections to ensure that every structure is built in accordance with floodplain management regulations?		4	1
22	4.3 When does the community conduct inspections to ensure that structures are built as required for flood regulations?		4	1
23	4.4: Are the Floodplain Management program's SOPs and processes/procedures consistently used to perform the functions of the FPM program?		4	1
24	4.5 Are permit records well organized and easily accessible?		4	1
25	4.6 Are variance records well organized and easily accessible?		4	1
26	4.7: Are the Floodplain Management program's SOPs and processes/procedures reviewed and updated on a regular basis (e.g., every 3 years)?		4	1
27	4.8: Does the community coordinate with other departments on floodplain management regulations?		4	1
Subtotal from Section 4 Above									31
#VALUE!		Weighted Total Score		94

Sheet 8: Evaluation Tool Report

PRE-DECISIONAL DRAFT

Note to Auditor: The fields on this report are automatically filled in from:
Administrative Info Tab
Evaluation Tool Tab

This report can be saved as a PDF or printed in its entirety

National Flood Insurance Program (NFIP)
EVALUATION TOOL SUMMARY REPORT V2.0

Section Status Summary

Location:

CID:<enter 6-digit CID here>

Evaluation Tool Section Status is Provided Below

Floodplain Administrator:

Section

Satus

Agency Conducting Audit:

Section 1 - FPA Capabillity, Capacity and Institutional Support

Section Incomplete

Audit POC:

Audit Reviewer:

Section 2 - Map Availability and Accuracy

Section Incomplete

Community Contact Date:

Diagnostic Assessment Date:

<enter diagnostic date MM/DD/YYYY>

Date Audit Closed

Overall Diagnostic Score

CRS Candidate:

Overall Evaluation Score

Section 3 - Floodplain Management Regulations

Section Incomplete

The following are from the Audit Evaluation Tool and represent input and observations from the Auditor organized and summarized for this report

Section 4 - Standardized Processes

Section Incomplete

Audit Follow Up and Assistance

Does the community require follow-up or technical assistance following completion of the audit? (Drop down)

Floodplain Administrator Capability, Capacity, and Institutional Support SCORE:

Section Score:

Section Incomplete

Question

Response

Score

Findings

Recommendations

1.1: How many years of floodplain management experience does the Floodplain Administrator have ?

#N/A

1.2: Is the Floodplain Administrator a Certified Floodplain Manager (CFM)?

#N/A

1.3: What is the Floodplain Administrator’s familiarity with FEMA maps and study data, and what products are used when reviewing permits?

1.3.1: Are effective flood insurance rate maps (digital or paper) used?

1.3.2: Are effective flood insurance study (digital or paper) used?

1.3.3: Are historic FIS or FIRMs used?

1.3.4: Are letters of map change (digital or paper) used?

1.3.5: Are other best available data used?

1.4: What sources does the FPA use when working with FEMA map products and study data?

1.4.1: FEMA Map Service Center (MSC) and/or National Flood Hazard Layer (NFHL) tool

1.4.2: Local GIS Software

1.5: Is the Floodplain Management program adequately staffed?

#N/A

1.6: Is the Floodplain Management program adequately resourced (i.e., has sufficient budget)?

#N/A

1.7: Is the FPM program's position in the organization appropriate to ensure effectiveness in carrying out its duties?

#N/A

1.8: Does the FPA sufficiently interact/communicate with the mayor/council/CEO to ensure continued community support for the FPM program?

#N/A

Map Availability and Accuracy

Section Score:

Section Incomplete

Question

Response

Score

Findings

Recommendations

2.1: In the past 3-5 years has the community experienced significant flooding outside of the mapped SFHA and provided that information to FEMA?

#N/A

2.2: Has the community adopted the correct FIRMs and FIS for the entirety of its community boundary (including any recent annexations)?

#N/A

2.3: Is the community properly obtaining LOMCs to reflect current or changing flood risk?

#N/A

Floodplain Management Regulations

Section Score:

Section Incomplete

Question

Response

Score

Findings

Recommendations

3.1: Since the last audit (CAV or CAC), has there been any development in the SFHA or is any currently planned?

Yes

3.2: If yes to question 3.1 above, how many permits has the Floodplain Administrator issued for development (both structural and non-structural) in the SFHA since the last audit?

#N/A

3.3: How does the community maintain as-built elevation data?

#N/A

3.4: Is the community's current FPM Regulation compliant with NFIP minimum standards? (Auditor to complete Floodplain Management Regulations Review Checklist)

#N/A

3.5: How many compliance issues does the community currently have by category?

Question

Response

Score

Findings

Recommendations

3.5.1 Floodways (unpermitted encroachments, permitted without no-rise analysis, or no-rise analysis inaccurate/insufficient)

3.5.2 V Zone standards not met (foundation type, breakaway walls, V Zone certification)

3.5.3 Basements (new construction or SI)

3.5.4 Insufficient elevation of residential structures

3.5.5 Insufficient elevation/floodproofing of non-residential structures

3.5.6 Insufficient flood openings (all structure types)

3.5.7 As-built elevation information lacking (all structure types)

3.5.8 Lacking SI/SD assessments

3.5.9 Not following Letter of Map Change (LOMC) procedures (changing drainages or streams, undocumented watercourse alterations)

3.5.10 In Zone A, developments (>50 lots or 5 acres) lacking development of BFEs

3.5.11 In AO-Zone, developments (>50 lots or 5 acres) lacking development of BFEs

3.5.12 Unpermitted fill/grading

3.5.13 Other (non-structural) development (e.g., dredging, storage of materials, insufficient drainage, non-compliant RVs)

3.5.14 Insufficient elevation or floodproofing of building service machinery in non-residential structures

3.6: How many variances (non-complaint 44CFR 60.6) has the community granted to its floodplain management standards?

3.7 How many of the variances in question 3.6 above are not in accordance with the community's own floodplain management policies/standards?

3.8 When you encounter conflicting regulations do you always enforce the stricter regulation?

#N/A

Standardized Processes

Section Score:

Section Incomplete

Question

Response

Score

Findings

Recommendations

4.1. Does the Floodplain Management Program have a permitting process developed and in use for these options within the SFHA?

4.1.1 Residential structures (including subdivisions)

4.1.2 V Zone construction (certification, review)

4.1.3 Floodway encroachment (no-rise analysis review)

4.1.4 Commercial/non-residential structures

4.1.5 Substantial Improvement (SI) of structures

4.1.6 Substantial Damage (SD) of structures

4.1.7 Variances

4.1.8 CLOMR/LOMR (e.g., watercourse alterations, floodway development, culverts)

4.1.9 Recreational Vehicles

4.1.10 Accessory structures

4.1.11 Agricultural structures

4.1.12 Fill/grading

4.1.13 Other non-structural development as defined in 59.1

4.1.14 Other federal/state/local necessary permits

4.2: Does the community conduct inspections to ensure that every structure is built in accordance with floodplain management regulations?

#N/A

4.3 When does the community conduct inspections to ensure that structures are built as required for flood regulations?

#N/A

4.4: Are the Floodplain Management program's SOPs and processes/procedures consistently used to perform the functions of the FPM program?

#N/A

4.5 Are permit records well organized and easily accessible?

#N/A

4.7: Are the Floodplain Management program's SOPs and processes/procedures reviewed and updated on a regular basis (e.g., every 3 years)?

#N/A

4.8: Does the community coordinate with other departments on floodplain management regulations?

#N/A

Sheet 9: Evaluation Tool Graphics

PRE-DECISIONAL DRAFT

National Floodplain Insurance Program (NFIP)

Evaluation Tool Summary

Example Figure 1: Evaluation Score Summary by FPM Program Theme

Example Table 1: Audit Score Summary by FPM Program Category

Theme

Your Community's Score

Max Score

Percent Contribution (current)

Percent Contribution (goal)

Number of Questions

Floodplain Administrator Capability, Capacity, and Institutional Support

Section Incomplete

16%

15%

Map Availability and Accuracy

Section Incomplete

16%

15%

Floodplain Management Regulations

Section Incomplete

35%

40%

Standardized Processes

Section Incomplete

33%

30%

Total Score

100%

100%

Example Table 2: Audit Score Summary

Theme

Your Community's Score

Max Score

Percent

Floodplain Administrator Capability, Capacity, and Institutional Support

Section Incomplete

Map Availability and Accuracy

Section Incomplete

Floodplain Management Regulations

Section Incomplete

Standardized Processes

Section Incomplete

Total Score

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