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Compliance and Enforcement . FEMA Region V. Wisconsin Association for Floodplain, Stormwater and Coastal Managers Annual Conference November 4, 2010. Objectives. Tools FEMA Region V uses to determine compliance problems Standard Remediation Process

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compliance and enforcement

Compliance and Enforcement

FEMA Region V

Wisconsin Association for Floodplain, Stormwater and Coastal Managers Annual Conference

November 4, 2010

  • Tools FEMA Region V uses to determine compliance problems
  • Standard Remediation Process
  • Options for Bringing Structures into Compliance
  • Common Violations
  • Community Prevention of Violations
  • Discussion
region v compliance tools
Region V Compliance Tools
  • Community Assistance Visits (CAV)
  • Community Assistance Contacts (CAC)
  • Letters of Map Change Process (LOMCs)
  • Submit for Rates
cavs cacs
  • Review Ordinance for Compliance with 44 CFR 60.3
  • Review of permitting procedures for gaps and identify room for improvement
  • Floodplain Tour (CAV)
  • Review issued permits for completeness

LOMC Process

  • Review of LOMC indicates “potential violation”
  • LOMC sent to Regional NFIP Specialist
  • NFIP specialist works directly with community to resolve the issue


  • Policies to be written that identify a post-FIRM structure with a lowest floor below the BFE (at least -2 feet)
  • Agents must send these policies to FEMA HQ for rating
  • HQ sends copies of the SFR to Region office because they indicate “potential violations”
  • Can also be used as an enforcement option

General Remediation Process

  • FEMA rules require that any violation be remedied to the maximum extent practicable and any administrative deficiencies that led to the violation be corrected in their entirety
  • As the participant in the NFIP, the community is responsible for remediating the violation
  • FEMA works directly with the community, not the owner or LOMC applicant
  • Process can be time consuming (Case-by-case basis) – Doing nothing is not an option
  • Full compliance vs. less than full compliance

Full Compliance

  • Elevate
  • Floodproof (wet or dry for commercial)
  • Remove
  • Relocate
  • Backfill lower levels to the flood protection grade (raise floor)
  • Change use of a residence to commercial to allow for floodproofing
  • Certified flood protection structure
  • Combination of options

Less-than-Full Compliance

  • Elevate utilities
  • Floodproof utilities
  • Elevate outside grades
  • Construct compensatory storage, detention, retention/berms, if allowed
  • Restrict use of lower levels
  • Retrofit the building for wet/dry floodproofing
  • Combination of options

Additional Options

  • Section 1316: Denial of flood insurance on structure
  • Title Notices: Record a Notice of Violation on the property deed or title in the Recorder’s Office.
  • Restrictions on Use
  • Submit for Rate: Used to encourage the homeowner to take action

Patterns of non-compliance

  • Probation
    • When attempts to resolve enforcement problems through community assistance have failed
    • Lasts as long as it takes to resolve the compliance issues, and up to a year after that
    • Flood insurance available; $50 surcharge applied
  • Suspension
    • When community fails to take remedial measures during the probationary period
    • Insurance not available

Common Violations

  • Letter of Map Revision Based on Fill (LOMR-F)
    • Lowest floor below the BFE
    • Community Acknowledgement Form signed, but no data to support “reasonably safe from flooding” (TB 10-01)
  • Encroachments in the floodway: No conditional letter of map revision
    • Includes stream relocations
  • Failure to submit for LOMR following development
  • Use of new study not submitted to FEMA
    • NOTE: Remediation of a potential violation found through LOMC process does not necessarily result in a LOMC approval

When is a CAF required?

  • Requests involving the placement of fill
    • Existing: Letters of Map Revision based on fill (LOMR-F)
    • Proposed: Conditional Letters of Map Revision based on fill (CLOMR-F)
  • Requests for land or structures that are inadvertently included in the regulatory floodway
    • Letters of Map Amendment (LOMA) in floodway
  • See page 12 of MT-1 application and Form 1 of MT-2 application

The Community Acknowledgement Form must be completed and signed by the community official responsible for floodplain management in the community.

steps for the floodplain manager
Review the LOMC proposal

Ensure the proposal meets a series of conditions

Sign the Community Acknowledgement Form if the proposal is acceptable

Forwards the LOMC request to FEMA

Steps for the Floodplain Manager
community s responsibility
Community’s Responsibility
  • Prior to issuing a floodplain development permit:
    • Ensure that an applicant is in compliance with the local and NFIP regulations
    • All necessary Federal and State permits related to development have been obtained
      • Common Federal Permits:
        • Wetlands permits under Section 404 of the Clean Water Act of 1972
          • (Unsure? Contact USACE District office)
        • Incidental take permits under Section 10 of the Endangered Species Act of 1972 (
          • Unsure? Contact US Fish and Wildlife Office field office)
section a requests involving the placement of fill
Guidance from Technical Bulletin 10-01

What is “Reasonably Safe from Flooding”?

Compliance with TB 10-01

Simplified Approach (page 15-18)

Engineered Basement Option

Professional Engineer

Professional Geologist

Professional Soil Scientist or

Other qualified design professional

Section A – Requests Involving the Placement of Fill
section b property located within the regulatory floodway
Signature by the community acknowledges the community’s acceptance of a revision to the regulatory floodway within the community.Section B – Property Located Within the Regulatory Floodway
flow chart
Flow Chart

Box 1

Have (or will) all Federal, State, and local permits been (be) obtained by the requester?

Box 2

Has (or will) a floodplain development permit been (be) issued?

The Community FPA signs the Community Acknowledgment form and submits the LOMA request to DHS-FEMA.

Letter of Map Amendment (LOMA) request submitted to Community Floodplain Administrator’s (FPA) Office for review.

Box 3

Does the request comply with all of the community floodplain management requirements, including the requirement that no fill be placed in the regulatory floodway, and that all necessary Federal, State, and local permits have been, or will be obtained?

Box 4

Has it been determined that the land and any existing or proposed structures to be removed from the Special Flood Hazard Area (SFHA) are, or will be, reasonably safe from flooding as defined in 44 CFR (Code of Federal Regulations) §65.2(c), and that upon request by the Federal Emergency Management Agency under the Department of Homeland Security, all analyses and documentation used to make this determination will be available?

after signing
After signing…
  • Send the completed application form with signed Community Acknowledgment Form to:
  • LOMC Clearinghouse
  • 6730 Santa Barbara Court
  • Elkridge, MD 21075
  • Follow-up with the Map Information Exchange:
  • (877) FEMA MAP
  • (1-877-336-2627)
preventing violations
Preventing Violations
  • Enforce the community’s ordinance and keep it up to date
  • Create a strong permit procedures that include inspections and use of elevation certificate
    • Require multiple inspections
    • Require permit applicants to submit for CLOMRs and LOMRs
  • Be aware of the community’s responsibility when signing the Community Acknowledgement Form
  • Keep Records
  • Ask questions: Call FEMA and/or WI DNR regarding compliance questions before you permit the devlopment
contact information
Julia McCarthy, CFM

FEMA Region V - Mitigation Division

Floodplain Management and Insurance Branch

Natural Hazards Program Specialist

536 South Clark Street, 6th Floor

Chicago, IL 60661

(312) 408-5518

(312) 408-5551

Contact Information