BUILDING A
DISASTER-RESISTANT
UNIVERSITY
August 2003

(Department of Homeland Security seal) FEMA

TABLE OF CONTENTS:

Forward ........ iii
Introduction... 1
Mitigation Approach.............................................................. 1
Who Should Participate?.......................................................... 2
How to Use this Guidebook........................................................ 3

Phase 1  Organize Resources .................................................... 5
Make a Commitment................................................................ 5
Identify Resources............................................................... 5
Community Stakeholders .......................................................... 11
Form an Advisory Committee ...................................................... 16
Identify a Coordinator or Project Manager........................................ 17
Conclusion........................................................................19

Phase 2  Hazard Identification and Risk Assessment.............................. 21
Identify Hazards................................................................. 21
Profile Hazard Events............................................................ 22
Inventory Your Assets............................................................ 24
Estimate Losses ................................................................. 26
Conclusion........................................................................27

Phase 3  Developing the Mitigation Plan......................................... 29
Prioritize Focus Areas........................................................... 29
Determine Appropriate Mitigation Actions......................................... 30
Prioritize Mitigation Actions.................................................... 32
Prepare an Implementation Strategy............................................... 32
Assemble the Plan................................................................ 33
Conclusion......................................................................  33

Phase 4  Adoption and Implementation............................................ 35
Adoption ........................................................................ 35
Implementation .................................................................. 38
Monitoring and Evaluation........................................................ 40
Conclusion........................................................................42

Appendix A  Worksheets.......................................................... A-1
Appendix B  Library............................................................. B-1
Appendix C  FEMA Regional Offices............................................... C-1

FOREWARD
In the last decade, disasters have affected university and college campuses with disturbing 
frequency, sometimes causing death and injury, but always imposing monetary losses and 
disruption of the institution's teaching, research, and public service. Damage to buildings and 
infrastructure and interruption to the institutional mission result in significant losses that can be 
measured by faculty and student departures, decreases in research funding, and increases in 
insurance premiums. These losses could have been substantially reduced or eliminated through 
comprehensive pre-disaster planning and mitigation actions.

(Side Bar: Recent Disasters and Universities
In June 2001, Tropical Storm Allison inundated the Houston Area and its universities and colleges 
with 10 to 24 inches of rain. The total losses are estimated to be $745 million. The University of 
Texas at Houston Medical School Building had 22 ft. of water in it, causing the hospital to close 
for the first time in its history and seriously disrupting its research efforts. Damage to the Medical 
School has been estimated at more than $205 million.)

September 11, 2001 reminded everyone of the importance of taking steps to mitigate the 
consequences of disasters. In the immediate aftermath of the attacks, many higher education 
institutions reviewed their disaster plans and began to reconsider issues of safety and security. 
Natural and man-made disasters represent a wide array of threats to the instructional, research, 
and public service missions of higher education institutions. This document provides planning 
guidance to these institutions as they prepare to identify their risks, assess their vulnerability to 
natural and man-made hazards, and develop a hazard mitigation plan. Its purposes are to 
encourage higher education institutions to take hazard mitigation seriously and to illustrate a 
course of action for implementing a mitigation program to permanently reduce vulnerability to 
future disasters.

(Side Bar: Resources
The Federal Emergency Management Agency (FEMA) has developed a series of how-to guides to assist 
states, communities, and tribes in enhancing their natural and man-made hazard mitigation planning 
activities. This document complements the series, addressing aspects of mitigation planning that are 
unique to institutions of higher education. The guides will be an essential resource for your planning 
effort and are available online at www.fema.gov/fima/planning.shtm. They can also be obtained free of 
charge from the FEMA publications warehouse by calling 1-800-480-2520.)

This document is both a how-to guide and a distillation of the experiences of six universities and 
colleges across the country that have been working over the past several years to become more 
disaster-resistant. It complements the Federal Emergency Management Agency (FEMA) State 
and Local Mitigation Planning how-to guides that provide planning guidance for creating and 
implementing a hazard mitigation planning process. These how-to guides are excellent resources 
for higher education institutions and are referenced in this document whenever appropriate. This 
guide provides basic information designed for institutions just getting started as well as concrete 
ideas, suggestions, and practical experiences for institutions that have already begun to take steps 
to becoming more disaster-resistant. See Appendix B (Library) for a list of the mitigation 
planning how-to guides.

FEMA acknowledges the assistance provided by the following universities in the development of 
this document:

- Tulane University
- University of AlaskaFairbanks
- University of California, Berkeley
- University of Miami
- University of North Carolina at Wilmington
- University of Washington

INTRODUCTION
Disaster-related losses in the United States continue to rise. At all levels, organizations and 
governments are adjusting their behavior and policies to reflect the importance of reducing 
damage caused by extreme events. Hazard mitigation is accepted as good practice and many 
government jurisdictions now require it. Higher education institutions have an interest on many 
levels to become more disaster--resistant. Administrators, faculty, and staff are realizing that 
improving their campus' resistance to disaster will not only protect their own lives and those of 
their students, it will also safeguard the campus' instruction, research, and public service.

(Side Bar: Background
The Disaster Mitigation Act of 2000. The incentive for states and local government to undertake natural 
hazard mitigation planning was given a boost on October 30, 2000, when the President signed the Disaster 
Mitigation Act of 2000 (Public Law 106-390). This law encourages and rewards local and state pre-disaster 
planning, promotes sustainability as a strategy for disaster resistance, and is intended to integrate 
State and local planning with the aim of strengthening statewide mitigation planning. The new approach 
facilitates cooperation between state and local authorities, prompting them to work together. This 
enhanced planning network enables local, tribal, and state governments to articulate accurate and 
specific needs for mitigation, resulting in faster allocation of funding and more effective risk 
reduction projects. Colleges and universities can plan for the reduction of hazard losses in concert with 
similar planning efforts within their host community and/or state.)

MITIGATION APPROACH
Over the past ten years, FEMA has awarded millions of dollars in disaster assistance to public 
and private universities and colleges in the United States. Private insurance carriers have paid out 
substantial sums to these institutions as well. Losses include measurable interruptions to their 
instruction and auxiliary services (such as hospitals) and immeasurable losses to research and the 
generation of knowledge. Moreover, Federal, state, and local governments and private 
foundations have a substantial research investment in higher education institutions across the 
country. Every year, Federal research grants to U.S. universities total around $15 billion. 
Therefore, it is in the best interest of the institution and its sponsors to take stock of the hazards 
they face and to develop a plan for mitigating their potential consequences.

This document closely follows FEMA's mitigation planning guidance for local communities. 
Higher education institutions are themselves communities in many ways, and they can draw on 
important lessons from the efforts of counties and municipalities to reduce disaster risks. Higher 
education institutions are engaged in and skilled at planning exercises for a wide range of issues; 
consequently, the addition or improvement of campus-based hazard mitigation planning will 
yield substantial benefits. Moreover, steps taken to become more disaster-resistant can 
complement the long-term sustainability of the campus and improve the overall quality of life.

(Side Bar: Recent Disasters and Universities
The Northridge earthquake, which occurred in January 1994, damaged three universities in the Los Angeles 
area. California State University, Northridge suffered the most: nearly all of its buildings were 
damaged and the university was forced to close for one month. It was able to reopen to its 30,000 
students with 450 temporary trailers serving as the only classrooms. Damages were estimated at 
$380 million.)

Hazard mitigation planning is a systematic, four-phased process for identifying and 
implementing actions to reduce or eliminate loss of life, property, and function due to 
natural and man-made hazards. Each section of this guide focuses on a different phase in the 
disaster--resistant university planning and implementation process:

- Phase 1: Organize Resources addresses the initial step of identifying the resources 
available and necessary to complete the effort. Interested and necessary parties are 
invited to form an advisory committee. An inventory of available planning documents is 
performed and existing plans and documents are collected. The committee develops a 
strategic plan with obtainable outcomes and completion dates. The FEMA how-to guide 
Getting Started (FEMA 386-1) provides potentially applicable guidance on this process 
for local and state governments.
- Phase 2: Hazard Identification and Risk Assessment covers the identification of hazards 
that present risks to the campus and the assets that are vulnerable to those hazards. Higher 
education institutions must assess the risks and their vulnerability to the full complement 
of natural and man-made hazards. The FEMA how-to guide Identifying Your Risks 
(FEMA 386-2) provides potentially useful guidance on this process for state and local 
governments.
- Phase 3: Developing the Mitigation Plan examines the development of the hazard 
mitigation plan document. Planning is an integral part of many higher educational 
institutions. The development of a comprehensive hazard mitigation plan should draw 
from and complement existing plans. It should be developed and integrated with local 
and state jurisdictions and reflect the unique mission and characteristics of the institution. 
The plan should be updated regularly and implemented across all levels of the institution. 
The FEMA how-to guide Developing the Mitigation Plan (FEMA 386-3) provides 
helpful guidance for state and local governments on this process and may assist a college 
or university in aligning their mitigation plan with those of their surrounding 
jurisdictions.
- Phase 4: Adoption and Implementation follows the mitigation plan through the adoption 
and implementation stages. Once the plan has been written, the focus shifts to adoption 
by appropriate administrative and instructional units and the implementation of its 
objectives. Even the best plans are inadequate if they are not implemented with vigor and 
aligned with the campus strategic or master plan. Experience has shown that this can be 
difficult as institutions face the consequences of having to change their operations and 
make adjustments to their culture in an effort to become more disaster-resistant. Equally 
important is the need to establish mechanisms for maintaining and updating the plan to 
keep it relevant. The FEMA how-to guide Bringing the Plan to Life (FEMA 386-4) 
addresses these issues.

WHO SHOULD PARTICIPATE?
This guide is designed for all higher education institutions (community colleges to research 
institutions, public and private). Regardless of the institution's mission or focus, hazard 
mitigation is a good investment. There are differences in the way that small versus large 
institutions, private versus public, and primarily research based or teaching institutions will plan 
and adopt the actions described herein. Wherever possible, care has been taken to provide a wide 
range of ways that the process can be adapted based on the particular characteristics of an 
institution.

(Side Bar: Recent Disasters and Universities 
Hurricane Andrew caused $17 million in damage to the University of Miami in 1992. The school was forced 
to close for almost one month because there was no water or electricity, and it had to purchase 
round-trip tickets to send students home during the hiatus. Insurance premiums went up dramatically 
after the disaster.)

Should You Do It Yourself?
How can you decide whether to do this yourself? Institutions of different types and sizes have 
successfully completed risk assessments and hazard mitigation plans. However, some 
universities and colleges have determined that it was in their best interest to hire a private 
company to conduct all or part of the risk assessment and to help them identify and rank their 
vulnerabilities to various hazards. Many companies provide this service. Contact peer 
institutions; professional associations; and local, state, and regional emergency management 
offices to help you determine if a private consultant is appropriate. If your institution chooses to 
engage the services of a private consultant, this guide provides important background information 
on the process to allow you to prepare the contractual materials necessary to obtain a satisfactory 
product.

(Side Bar: Background
Four phases of emergency management: Preparedness  includes plans and preparations made to save lives 
and property and to facilitate response operations; Response  includes actions taken to provide emergency 
assistance, save lives and minimize property damage, and speed recovery immediately following a disaster; 
Recovery  includes actions taken to return to a normal or improved operating condition following a disaster; 
and Mitigation  refers to activities that eliminate or reduce the chance of occurrence or the effects of 
disasters.)

Integrative Approach
The responsibility for emergency management in the United States is shared across many levels 
of government and the public and nonprofit sectors. To be successful at its hazard mitigation 
planning activities, your institution must integrate its efforts with appropriate local, state, and 
Federal agencies and organizations. Higher education institutions must work collaboratively with 
first responders and emergency managers in their area. They also must coordinate with state and 
Federal emergency management organizations because response, recovery efforts, and mitigation 
actions are funded and supported in part by these entities.

This guide takes a multi-hazard approach, recognizing that institutions face a wide variety of 
potential man-made and natural disasters. Not every disaster can be avoided, but steps can be 
taken to reduce the consequences of many extreme events; however, these threats can only be 
identified and mitigated through systematic, comprehensive, pre-disaster planning that leads to 
the creation, adoption, and implementation of a hazard mitigation plan. 

HOW TO USE THIS GUIDEBOOK
This book is not meant to be the last word on any of the subject matter covered. It is intended to 
provide an easy-to-understand set of guidelines, to be supplemented by more extensive technical 
information and the use of experts when necessary. As with states and communities, the planning 
process for your campus will be as individual as your institution. Therefore, the step-by-step 
information in this book should be considered only as guidance.  

The framework for this book is based in large part on the mitigation planning guidance 
developed for state and local governments in the form of a series of how-to guides (mentioned 
above). Frequent references to these guides will be made throughout this book, and it is 
suggested that you review the guides before beginning campus mitigation planning efforts. The 
worksheets shown herein were adapted from these mitigation planning how-to guides produced 
for states and local jurisdictions. Blank worksheets are all presented in Appendix A.

PHASE 1  ORGANIZE RESOURCES
MAKE A COMMITMENT
A disaster--resistant higher education institution recognizes the threats posed by natural and 
man-made hazards to its campus and mission. It formulates policies, programs, and practices to 
assess its risk and implements these across all of its teaching, research and public service 
activities.

(Side Bar: Recent Disasters and Universities
In April 1997, the Red River inundated the University of North Dakota. The University was forced 
to relocate critical functions such as the computer center and had to suspend many of its operations. 
After a month of inspection, clean-up, and repairs, the university reopened. Damages totaled $46 
million.) 

The leadership of a higher education institution understands the need to sustain the university's 
teaching, research, and public service responsibilities in light of the damage, repair delays, and 
financial difficulty that disasters can bring to a community. The goal is to withstand the effects 
of probable hazard events without unacceptable losses or interruptions; in other words, to be 
resilient. 

Resiliency is characterized by the institution's ability to minimize the impact of probable hazards 
and limit their interruption to the mission of the university or college. This does not mean that 
there will be no damage from large events; indeed, damage from natural and technological 
disasters varies by the force and location of the event. However, a disaster--resistant university 
strives to mitigate this damage. Campuses vary in their definition of acceptable losses and 
interruption because these decisions depend on the community, the nature of the hazard, and the 
available resources. 

Once the commitment to become ("disaster resistent" crossed off) has been made, the first step is to 
organize resources and develop a strategic plan for the process ahead. This means identifying 
resources on and off campus, identifying a campus leader, developing an advisory committee, and 
gathering information. The success of the disaster--resistant initiative depends on the extent of 
participation by on- and off-campus stakeholders. These stakeholders bring the commitment, 
knowledge, and enthusiasm needed to complete the planning process and adopt a mitigation plan.

IDENTIFY RESOURCES
On- and off-campus stakeholders are crucial to the success of any disaster--resistant initiative. 
The best place to begin is on campus. Higher education institutions are complex and varied 
organizations, but they all share a basic structure that serves as the foundation for the hazard 
mitigation planning process.

Start with a thorough inventory of all potential stakeholders across the three traditional divisions 
of academiaadministration, faculty, and students. All of these groups should be involved from 
the very beginning of the disaster--resistant university initiative. While their stakes differ and 
their commitments are not likely to be equal, each will play an important role in the success of 
the initiative. The inventory will assist you in the next step of identifying an advisory 
group/committee.

University or College Administration
The active commitment and involvement of the institution's chancellor or president and chief 
academic and business officers is crucial. An inventory of available resources is equally 
important as commitment, which is presumed to exist if the planning process is to move forward. 
A complete inventory of the academic and business units at the campus should be completed 
during this stage. Examples of common stakeholders are listed below.

University, College, School, or Division Planning Entities. Planning organizations exist at many 
levels of the university, and it is important to identify all of the various planning committees that 
might share an interest or have jurisdiction in the area of hazard mitigation before the planning 
process gets too far. Begin at the top with institution-wide committees and work your way down 
to academic departments, if appropriate. Many institutions have planning councils or 
committees, physical facilities committees, a master plan committee, building and grounds 
committees, and other such groups. These may be replicated at the college level and even at the 
academic department level in some cases. The identification of these committees may begin with 
contacting the institution's chief academic officer, meeting with college deans and department 
chairs, and researching accreditation documents. These committees are particularly important 
because they share a common focus on planning and many of their component jurisdictions will 
be involved in the mitigation actions once the plan is implemented. For example, an 
institution-wide campus master plan committee is likely to be a key player in the location of 
future capital improvements; since location of the built environment relative to potential hazards 
is a significant driver of hazard mitigation decisions, the committee's commitment to this process 
is important. The mission statement, jurisdiction, and membership of each committee identified 
in this process should be collected.

(Side Bar: Resources
The importance of planning across all aspects of higher education is emphasized by several 
organizations, including the Society for College and University Planning www.scup.org, American 
Association of Community Colleges www.aacc.nche.edu, and the National Association of College and 
University Business Officers www.nacubo.org. These organizations provide college and university planners 
with a wide range of resources through national and regional conferences and web-based materials, 
including links to many university and college disaster and emergency plans.)

Institutional Research. Many institutions have offices, divisions, or committees that collect and 
conduct institutional research. While their work is not likely to be hazard-specific, their 
involvement is important because they are often the repository of institutional plans and data 
important to the planning process. Furthermore, planners or individuals with long-range planning 
experience often staff them. Thus, their capability is an important resource. Locate the various 
campus offices that collect, analyze, and archive data and collect appropriate contact 
information.

Development. The Development Office is an important resource. These units are often involved 
in developing priorities for institutions and it is important to know where and how support for 
these priorities is obtained. The Development Office should be represented on the advisory 
committee. Individuals in this office have experience establishing public-private partnerships. 
Donations to the university are typically directed at projects the university has determined as 
priority. Although contributions to specific loss reduction projects are unlikely, capital 
contributions can be devoted to improving the disaster resistance of the project under 
consideration. Disaster resistance should be on your development office's list of goals worth 
promoting.

Public Service and Outreach. In much the same way as the Development Office, a unit dealing 
with Public Service and Outreach can be an important resource. These units are likely to have 
extensive information about the surrounding community and can point to existing collaboration 
between your institution and local, state, and emergency management organizations. They also 
represent an important resource to the planning process because they often coordinate the public 
information aspect of the institution and can solicit and disseminate information through campus 
newspapers, departmental newsletters, and web pages. Public Service and Outreach can provide 
resources for developing press releases and can advise the planning committee on strategies for 
disseminating information on and off campus.

Auxiliary Enterprises. Institutions often conduct a wide range of auxiliary services, such as 
running a hospital, elementary school, housing and food services, parking, athletics, or related 
enterprises. These entities should already have an interest in hazard mitigation and should be 
incorporated in the overall campus planning process. While it may be necessary for these groups 
to go through the planning process on their own, the overall coordination of plans and the 
university's responsibility for the safety of its clients and continuity of services is an integral part 
of the overall mitigation plan. In addition to the direct services these auxiliary units provide, they 
may also provide a substantial amount of financial support for the institution and an interruption 
may exacerbate the economic consequences of a disaster to the university or college. Existing 
emergency operations or disaster plans should be obtained from these units and key contact 
people should be identified so that their policies and plans are integrated into the campus-wide 
plan.

(Side Bar: Recent Disasters and Universities
On Labor Day 1998, a severe windstorm in central New York State damaged many buildings, trees, and 
utilities on the Syracuse University campus, forcing the closure of some residence halls and relocation 
of 600 students. The cost of repairs to roofs, windows, and masonry, as well as a big debris clearance 
bill, drove the damage figure to more than $4 million.)

It is especially important to coordinate three particular administrative units that are important to 
the hazard mitigation planning process: Public Safety, Environmental Health and Safety, and 
Risk Management.

- Public Safety. Police, fire, and emergency medical services are involved in the initial 
response to virtually any natural or man-made disaster on campus. They are also an 
important bridge to local first responders and various emergency management agencies. 
Depending on the type of incident, they may also be called upon to engage in crowd control 
during a riot and/or to be responsible for investigating the potential cause of a man-made 
disaster. Campus police and fire services have emergency plans and standard operating 
procedures that should be incorporated into the hazard mitigation planning process. Identify 
appropriate individuals from these units to serve on your advisory committee.
- Environmental Health and Safety. Every institution has an environmental health and 
safety officer, or the equivalent, who is directly involved in a wide range of issues relating to 
the management of hazards. These individuals are a key resource for providing plans and 
information regarding the location of various hazards on campus. In many communities, the 
head of this unit or its designee may serve on the Local Emergency Planning Committee. 
These individuals are likely to be responsible for filing reports on campus storage and use of 
hazardous materials.
- Risk Management. Most institutions have an office that addresses issues of risk 
management. This office is an important resource for developing the mitigation plan because 
it has access to information that can be helpful in the planning process. Furthermore, 
individuals in this office are committed to the same goals you arereducing the vulnerability 
of the institution to hazardous events. In particular, risk managers usually deal with insurance 
issues where benefit can be gained from comprehensive disaster planning.

(Side Bar: Resources
Environmental Health and Safety Officials have a professional association that is a resource for 
campus-based hazard mitigation planning. The group holds an annual conference where presentations 
are made about preparing for, responding to, recovering from, and mitigating natural and man-made 
disasters. The Campus Safety, Health and Environmental Management Association is a division of the 
National Safety Council and has web resources and contact information at www.cshema.org.

Risk management is an area where public and private institutions often differ, as private 
institutions are typically more concerned than public ones about insurance. This is because public 
institutions are generally self-insured. The University Risk Management & Insurance Association 
www.urmia.org conducts conferences and seminars for higher education risk managers.)

- Telecommunications and Information Systems. The events of September 11, 2001, 
reminded us all of the importance of redundant communication systems and off-site backup 
locations for critical data. From the institutional level down to the individual faculty and staff 
members, data backup and storage is an important part of ensuring the integrity of the 
research enterprise and reducing interruptions caused by disaster. Cyber terrorism and other 
threats to the security of a communications network that higher education institutions depend 
on emphasize the importance of involving appropriate representatives of this administrative 
unit in mitigation planning. Their plans and interests should be identified and incorporated at 
the beginning of the process.
- Physical Facilities and Project Design and Management. The long-term goal of reducing 
the effect of natural and man-made disasters depends, in part, on the willingness of the 
institution to retrofit existing building stock and to incorporate disaster--resistant design and 
construction practices into new and renovated buildings. Thus, it is important to identify 
representatives in this area who shape the institution's built environment.

(Side Bar: Experience
Private universities that carry commercial disaster insurance can obtain extensive information on 
hazards and risks from the companies they do business with, or from insurance industry information 
groups. At some institutions, the cost of disaster insurance has become a driving force in the 
decision to pursue disaster resistance. Private institutions are facing staggering increases in the 
cost of insurance and the size of their deductibles. Comprehensive hazard mitigation planning and 
actions will reduce the damage to your institution and reduce reliance on insurance. The hazard 
mitigation planning effort at your institution should involve appropriate risk management officials.

Mitigation planning and related activities may reduce various types of insurance premiums, including 
flood insurance through the National Flood Insurance Program. Contact your insurance agent for more 
information on how mitigation actions might help manage premiums.

For an example of insurance industry efforts to promote hazard mitigation, consult the Web site of the 
Institute for Business and Home Safety at www.ibhs.org.)

- Staff Resources. In addition to senior administrators, many other staff members in the 
units described above, as well as in other areas of the campus, spend most of their time 
ensuring the continuous operation of the institution. In many cases, these people are among 
the most receptive to a message about risk management. They are, furthermore, typically 
involved with managing their individual building's safety program and emergency 
preparedness efforts. Your inventory should assess whether there are staff organizations that 
can be a resource to the hazard mitigation planning effort.

(Side Bar: Experience
Academic units that often house researchers or teachers with specialization in hazards or emergency 
planning issues include, but are not limited to: architecture, economics, emergency management, 
engineering, geography, geology, earth sciences, urban planning, public administration, sociology, 
and political science. These units represent a good place to start an inventory of faculty resources 
available on your campus. Use a snowball approach and ask the faculty you contact about others they 
might know who conduct research or teach in this area. Ask those individuals about their work and that 
of others. In short order a comprehensive list of potentially helpful faculty will emerge.)

Academic Affairs
Many units in academic affairs have a substantial interest in hazard mitigation. Their interest 
ranges from teaching, and the importance of reducing interruption to the instructional mission of 
the institution, to the conduct of research and sponsored programs.

Instructional Continuity. Disasters regularly force universities and colleges to suspend their 
primary activitythe teaching of students. Such closures disrupt the continuity of instruction 
and limit the ability of the institution to deliver the services that students expect. In dramatic 
cases, a lengthy interruption can result in the cancellation of a semester and a refund of tuition. 
These interests are substantial enough that representatives of academic affairs should be 
contacted and information collected on the individuals who should be involved in the planning 
process. Since higher education institutions are often decentralized, the inventory should reflect 
the diversity of academic units at your institution. Prioritization of instructional needs may occur 
at the school, college, or even departmental level; therefore, several levels of contact may be 
necessary to ensure that appropriate parties are involved in this process.

Faculty Interests. The disaster mitigation plan requires adoption and implementation across a 
wide range of faculty interests. Unless the discipline of a faculty member makes him or her 
conscious of the impacts or environmental risks of disasters, professors are unlikely to be 
interested in these topics. And yet, they stand to lose a great deal if a disaster hits their university 
and destroys buildings, laboratories, computer systems, databases, books and papers, course 
notes, and specimen collections. An inventory of faculty members can help identify possible 
campus resources. Any number of academic units on campus may house faculty members who 
have teaching or research interests in the area of hazards or emergency management. Identifying 
these individuals early will allow you to determine the appropriateness of involving them in the 
planning process; it also provides potential sources of research and technical specialization for 
the next phases in the process, which include conducting a risk assessment and writing the plan.

(Side Bar: Recent Disasters and Universities
On January 19, 2000, a fire raced through an old residence hall at Seton Hall University in the 
middle of the night. Students leapt from windows, crawled out stairways, and a number were rescued 
by firefighters. The fire killed three students, and seriously injured 12 more. The residence hall 
did not have a sprinkler system.) 

In addition to individual faculty members, most institutions have a faculty governance structure 
that includes committees with jurisdiction relevant to the disaster mitigation planning process. 
Some duplication of membership on these administrative and faculty committees inevitably 
occurs. Indeed, your inventory of administrative units probably will generate the names of these 
committees and you may have already contacted most of them. It is important, however, to 
complete the circle by ensuring that all faculty-based committees are identified. On many 
campuses, issues relating to instruction may be determined exclusively by faculty committees; 
thus, they may become an important resource during the adoption and implementation phase of 
the plan.

Sponsored Programs and Research. In addition to protecting academic instruction, institutions 
must protect their investment in research and scholarship. A fundamental purpose of any 
disaster--resistant initiative is to protect the university's research enterprise; therefore, the office 
at your institution that oversees the conduct of research and sponsored programs is an important 
resource. This office may have plans, policies, and staff that address the general issue of 
protecting and limiting the interruption to research at the university. Some institutions have 
started to recognize the value of disaster resistance and are allocating staff support to positions 
such as a hazard mitigation research officer.

Moreover, these offices are also under increasing pressure from sponsors of research to ensure 
the protection and reduction of potential damage to the work they supportincluding the effects 
of natural and man-made disasters. The loss of important scientific materials during Tropical 
Storm Allison in 2001 at the University of Texas Medical Center complex and in the lab fire at 
the University of California Santa Cruz in 2002 brought renewed attention to the importance of 
reducing the effects of disasters on the research enterprise.

Student Affairs
Students are often overlooked in the hazard mitigation planning process. However, the safety of 
students is of paramount concern to the institution and natural and man-made hazards present 
vexing issues for student safety. Dorm fires, food safety, and evacuation issues all present 
serious concerns for university and college disaster planners. It is important to identify student 
services and student-based resources that are important to the disaster mitigation planning 
process.

Student Services. The division of student affairs or services has various resources important to 
your effort. Since these units are commonly responsible for on- and sometimes off-campus living 
arrangements and for food delivery on campus, they have communication plans and building 
safety information that should be inventoried. When you get to the stage of communicating 
hazard mitigation information across campus, these units will be very important, and involving 
them early will facilitate their commitment later.

Student Organizations. Student organizations should be canvassed for potential stakeholders. 
Student committees often mirror the faculty governance structure and can be important sources 
of planning information. Students are by far the most difficult campus-based population to reach. 
While they do not necessarily affect critical campus decisions on risk reduction, they are the 
objects of it. If they are not aware of how to protect themselves in an emergency, there will be 
increased losses to life and property. While youth and optimism may make students less aware of 
risks, the same cannot be said of their parents. Educating students about risk reduction and 
assuring their parents are part of the disaster--resistant university effort. After September 11, 
many parents began to raise questions about issues of safety and disaster preparedness that could 
have been answered, in part, by pointing to the comprehensive planning involved in the disaster--
resistant university process. The steps you take to reduce your vulnerability to natural and man-
made hazards can reduce the uncertainty parents and students face about the consequences that 
disasters can have on their safety and investment in higher education.

(Side Bar: Recent Disasters and Universities
On September 24, 2001, a tornado extensively damaged several facilities at the University of Maryland. 
Instructional and student services space was damaged along with several trailers that were a temporary 
home to the Maryland Fire Institute. Two students were killed when their car was overturned and 
classes were canceled for one day.) 

Alumni. Former students also serve as a potential resource. Alumni may support the goals and 
program of the disaster--resistant university effort financially, politically, or directly through 
technical assistance. Work with your development office to identify alumni who may be able to 
assist you through fundraising and giving for retrofit and modernization projects and those in 
positions to influence government and nonprofit resource allocation. Alumni may also provide 
valuable technical resources in areas relevant to your planning efforts.

COMMUNITY STAKEHOLDERS
Off-campus stakeholders are important resources. Government, nonprofit, and private 
constituencies should be canvassed to identify appropriate resources for your effort. The level of 
disaster resistance of your institution is directly related to that of your community, region, and 
state. Collaboration reduces duplication of effort, often yields technical and/or financial 
assistance, and increases your likelihood of success. The actions of off-campus stakeholders can 
affect your disaster resistance. Likewise, the actions of your institution in preparing for, 
responding to, and recovering from an event can affect the disaster resistance and sustainability 
of the community in which it resides.

(Side Bar: Background
Local Government Powers that Apply to Hazard Reduction. 
Planning  Although the degree of planning authority of a local jurisdiction is determined by state 
legislation, all local governments can use a planning process to educate. Regulatory Power  Local 
jurisdictions have the authority to regulate land use, development, and construction through zoning, 
subdivision regulations, building codes, design standards, and floodplain regulations. Spending 
Authority  The manner in which local jurisdictions use public funds can influence development in hazard 
areas. One fiscal management tool that many communities embrace is the capital improvement program, generally 
a 5-year plan for funding improvements to public facilities. Taxing Power  If the private sector encourages 
development in hazard areas, special taxing districts can be created to balance more equitably public 
investments. Preferential assessments can be used as incentives to retain agricultural and open-space uses 
in high hazard areas. Acquisition  Local governments can acquire land in high hazard areas through 
conservation easements and purchase or transfer of development rights.) 

Government

All levels of government strive to protect public health, safety, and the well-being of its citizens. 
As such, governments at all levels manage hazards and contribute important resources to 
organizations that share this purpose. Government jurisdictions commonly overlap those of the 
institution, and they are among the first responders to any emergency. Collaboration can improve 
the disaster resistance of all parties and reduce duplication of effort.
Local Government. Local communities and universities are mutually dependent on each other to 
prepare for disasters and reduce potential losses. Communities are the first to feel the effects of 
disasters. Local governments are responsible for assembling teams to address natural and man-
made threats within the community and to follow a sound planning process for identifying and 
selecting the best solution for the community. Local governments often have specific statutory 
authority over your institution. They may have funding resources available and can provide 
technical assistance to support mitigation efforts. Some specific local government groups to 
canvass include:
- Emergency Management. Depending on your location, the county or city is primarily 
responsible for emergency management in your area. Emergency management is still a 
developing profession and your community may have a full- or part-time emergency 
manager. In either case, your initial efforts should include contacting this person because he 
or she is essential in providing resources about disaster preparedness in your area. The local 
government and the university or college should have a close working relationship since 
reduction in risk accomplished by one necessarily benefits the other. 
Emergency managers are not the only local government entities that should be enlisted, 
however. Many jurisdictions are now hiring hazard mitigation planners who can be valuable 
resources and collaborators, and traditional public safety units and state and local planning 
divisions can also provide data and technical assistance such as mapping. In much the same 
way that the faculty was inventoried, the capabilities of local government can be assessed by 
starting with emergency management and working your way out to include others who may 
be able to assist your effort.
- Planning. Community planners have knowledge and skills that are vital to your mitigation 
planning effort. Planning departments maintain demographic, economic, and physical data on 
the community. Planners are also usually experienced at meeting facilitation and possess 
research skills and extensive contacts.

(Side Bar: Experience
Many institutions have learned the value of integrating their disaster--resistant university 
planning efforts with the activities of local government. The University of Miami exemplifies 
this process. By working with Miami-Dade Office of Emergency Management it has successfully 
mobilized financial resources through the Local Mitigation Strategy, thus working in collaboration 
with local government to improve its own and the communitys disaster resistance. The University of 
Miami Director of Environmental Health & Safety serves on the Local Mitigation Strategy Steering 
Committee and contributes to the local governments mitigation planning activities. By working with 
local government, the University of Miami has been able to fully realize all of the potential 
resources that the local, state, and Federal agencies have to offer.)

- Special Districts. Identify appropriate local schools, park districts, regional government 
associations, flood control districts, and fire suppression and vegetation management districts 
to identify potential resources and to engage in partnerships. Park districts may occupy lands 
near the university and their efforts at risk reduction will complement yours. Vegetation 
management, erosion control, mapping, and firefighting are obvious ways that the university 
and special districts can work together. Individuals and staff connected to these districts may 
possess scientific and technical capabilities that can provide hazard information, technical 
support, and post-disaster impact data.
Many metropolitan areas have regional government organizations that work on issues such as 
land use plans, transportation, and housing. Furthermore, regional planning organizations often 
perform the physical and economic planning functions for multi-county rural areas.  These 
organizations gather data and sponsor planning initiatives to cope with risks; they can be of 
considerable assistance in providing hazard data to local governments and universities and in 
conducting sophisticated public information campaigns on risks and how to reduce them.
Infrastructure Providers. Three components of infrastructure warrant special attention in your 
efforts to identify off-campus resources.
- Utilities. Utility loss following a disaster creates serious problems for a community and 
every home and business in it, including educational institutions. The ability to respond to an 
emergency is hampered by the loss of electricity, gas, water, sewers, or telephones, and 
recovery will be constrained as well until services can be restored. 
An interruption to campus utilities may threaten research activities and materials that depend 
on temperature control, fluid flows, gas, or light. The history of disasters and higher 
education institutions includes many examples of the damage caused by utility interruptions. 
Even if the university owns and operates its own utilities, it may require outside assistance to 
make repairs and restore service. Representatives of these critical lifelines should be 
identified as resources and involved in your planning efforts because they have access to 
important information about the security of the utility connections and service at your 
campus.
- Transportation. Roads, bridges, and transit systems are critical to emergency response 
and business continuity. Extensive damage to transportation systems can leave a campus and 
its community paralyzed. Transportation specialists can provide important information and 
resources, particularly at institutions where evacuation is a concern. However, even at 
campuses where evacuation is not a prime concern, the repair and restoration of 
transportation systems on and off campus can determine the extent of interruption to the 
institution's operations.

(Side Bar: Experience
Sample Advisory Committee Membership 
University of Washington:
- Director of Records Management Services
- Executive Director of Health Sciences Administration 
- Assistant Vice President for Regional Affairs
- Director of the Institute for Hazard Mitigation Planning & Research 
- Disaster-resistant University Coordinator 
- Director of Student Activities and Union Facilities
- Director of the Student Health Center 
- Director of Purchasing and Stores 
- Representative from the Real Estate Office
- Associate Vice President for Business Services
- Associate Vice President for Facilities Services 
- Director of Communication Technologies 
- Director of University Computing Services 
- Assistant Vice Provost for Research 
- Chief of the University Police 
- Associate Director of University Computing Services 
- Director of News and Information 
- Lieutenant from the University Police Department
- Associate Vice President for Capital Projects
- Seismology Lab Coordinator in Geophysics 
- Director of Academic Services & Facilities 
- Director of Environmental Health & Safety 
- Representative from University Relations 
- Representative from Faculty Council on University Facilities and Services 
From the community: 
- Program Manager for King County Emergency Services Public Health 
- Local risk consultant
- Director of Seattle Emergency Management Section 
- Manager of King County Office of Emergency Management 
- Local planning analyst)

- Housing. Employees' and students' houses, residence halls and apartments may be 
damaged by a disaster. Losing even a small percentage of the available housing stock can put 
significant burdens on the university, including the need to shelter displaced employees and 
students as well as the difficulties that may arise from the need to instruct a student 
population whose attention and concentration may be diverted by housing concerns. 
Reducing risks in community housingowned or rentedshould be a high priority for a 
disaster--resistant university. Student-run cooperatives and Hellenic houses are also 
important providers of housing. As such, it is in the best interests of the institution to involve 
appropriate community housing agencies and experts in the process. These individuals may 
be key resources as the risk assessment is conducted and the mitigation plan is developed.

State Government. The state legislature and assorted agencies play a large role in making 
financial resources available for increasing disaster resistance, especially if the institution is a 
public one. In addition, if the campus is part of a larger statewide system, budget allocations may 
be controlled at that level. Your inventory should identify resources available from these groups 
and potential stakeholders.

(Side Bar: Background 
Stafford Act/Disaster Mitigation Act of 2000. The Robert T. Stafford Disaster Relief and Emergency 
Assistance Act (Public Law 100-107) authorizes funding for the Federal disaster relief 
(including mitigation) programs in place today. The Disaster Mitigation Act (DMA) of 2000 
(Public Law 106-390, as amended) is the primary authority for mitigation planning. The DMA amends 
the Stafford Act Section 409 and provides for a new and revitalized approach to mitigation planning. 
Section 322 of the Act emphasizes the need for state, local, and tribal entities to closely coordinate 
mitigation planning and implementation efforts. In addition, Section 322 creates incentives for increased 
coordination and integration of mitigation activities at the state level. Together, the Stafford Act and 
DMA 2000 provide an array of funding for planning projects and technical assistance to communities. Below is 
a partial list of programs authorized by these acts:
- The Pre-Disaster Mitigation Program (PDM) authorized by the DMA 2000, provides funding to states and 
communities for cost-effective hazard mitigation activities that complement a comprehensive mitigation program, 
and reduce injuries, loss of life, and damage and destruction of property before a disaster strikes.
- The Hazard Mitigation Grant Program (HMGP) authorized in Section 404 of the Stafford Act, provides grants to 
states and local governments to implement long-term hazard mitigation actions after a major disaster 
declaration.
- The Individual and Family Grant Program is authorized by Section 411 of the Stafford Act and authorizes grants 
after a disaster to cover serious unmet, disaster-related real property losses.
- The Public Assistance Program (PA) is authorized under Section 406 of the Stafford Act. The program provides 
funding after a disaster for the repair, restoration, or replacement of damaged facilities belonging to governments 
and private nonprofit entities, and for other associated expenses, including emergency protective action 
and debris removal, in addition to funding mitigation actions related to repair of the existing damaged 
facility. Both public and private universities and colleges have benefited from the Hazard Mitigation Grant Program 
and the Public Assistance Program. It is important to familiarize yourself with these programs, their regulatory 
framework, and the appropriate person in your state who oversees them.)

For both public and private universities and colleges, extensive planning and technical assistance 
for risk reduction can come from state agencies such as the office of emergency management and 
departments such as planning, environmental agencies, geological services, water resources 
conservation, and forestry. There may also be hazard-specific offices such as a seismic safety 
commission or flood control commission that can assist your disaster--resistant university 
planning efforts. Additionally, states receive financial assistance from the Federal government to 
distribute to local entities (including higher education institutions) for hazard mitigation 
purposes; however, funds are often limited, requiring the state to prioritize their distribution. 
Thus, it is critical to establish and maintain relationships with state staff that administer these 
program funds.

States are required to uphold Federal regulations intended to reduce hazard losses, and their role 
in coordinating hazard mitigation planning has become even more important with the passage of 
the Disaster Mitigation Act of 2000. A good place to start is to contact your State Office of 
Emergency Management and State Hazard Mitigation Officer. Local emergency management 
officials can help you identify this person and may even serve as a liaison to this office. A 
network of State Hazard Mitigation Officers is maintained at www.hazmit.net.

Federal Government. The most important resource at the Federal level is the Federal Emergency 
Management Agency (FEMA) within the Department of Homeland Security. FEMA is the lead 
Federal agency responsible for providing technical assistance to other Federal agencies and to 
state and local governments for mitigation planning and project implementation. FEMA is 
leading the implementation of the Disaster Mitigation Act of 2000. FEMA's mission is to reduce 
loss of life and property and to protect the nation's critical infrastructure from all types of 
hazards through a comprehensive, risk-based emergency management program of mitigation, 
preparedness, response, and recovery. FEMA is organized into regions and your local or state 
emergency management officials can put you in contact with appropriate regional representatives 
who can share with you the resources that FEMA provides for hazard mitigation planning. Many 
FEMA documents are profiled in this guide; however, technical assistance is also available and 
should be considered an important resource for your work. Appendix C provides contact 
information for each FEMA Regional Office.

It is particularly important to become familiar with the variety of existing Federal Disaster 
Assistance Programs. These programs may provide funding for hazard actions and/or the repair, 
restoration, or replacement of facilities at your institution following a disaster.

In addition to FEMA, a wide range of other Federal agencies may be able to provide valuable 
resources for your work. The U.S. Geological Survey, National Weather Service, National 
Oceanic and Atmospheric Administration, and the Departments of Energy, Housing and Urban 
Development, Education, and Transportation, for example, are also potential additions to your 
inventory. Identify local, state, or regional offices of these agencies and determine the 
availability of individuals and resources. The FEMA CD, Mitigation Resources for Success 
(FEMA 372) provides reference information on other federal agency programs that may provide 
hazard mitigation resources.

(Side Bar: Resources
The Federal Emergency Management Agency web site www.fema.gov/fima/planning.shtm contains a 
great deal of information helpful to your planning effort.)

Nonprofit Organizations
Emergency management in the United States has always relied heavily upon nonprofit 
organizations to engage in disaster mitigation, preparedness, response, and recovery. In 
particular, your inventory should include resources available from local units of the American 
Red Cross and Salvation Army. The American Red Cross provides extensive preparedness 
materials that can be leveraged in your efforts to prepare faculty, staff, and students for possible 
disasters. The American Red Cross typically runs emergency shelters, so if your campus has a 
public shelter or will be sheltering your students and employees, it would be wise to involve 
them in your hazard mitigation planning activities. Similarly, the Salvation Army is important 
during the disaster response and recovery phases and can provide important resources for 
temporary housing and feeding displaced students after a disaster. Since many students may live 
off campus, they are particularly susceptible to displacement by natural and man-made hazards. 
Nonprofit organizations may be able to assist you in preparing for such a situation. The National 
Voluntary Organizations Active in Disaster (NVOAD) can provide such information. Please see 
www.nvoad.org.

In addition to the American Red Cross and the Salvation Army, other local voluntary 
organizations such as the United Way can provide important resources for your efforts. Early 
contact ensures that you have the widest possible capability for your effort. These organizations 
may not provide assistance to the university directly, but those that provide food and clothing, 
shelter, housing, and medical care can help the community deal with its affected populations. 
The university should be familiar with local nonprofit organizations and their services and 
should enter into mutually supportive agreements where appropriate.

Private Sector
The private sector can contribute important resources to the disaster--resistant planning initiative. 
As with the operations of the local government, business and industry practices in your area help 
determine the overall disaster resistance of the community, which in turn affects the disaster 
resistance of the university. This is a symbiotic relationship, as businesses that supply the 
university and/or serve the needs of students depend on the university being open and operating, 
and the university's quick resumption of its operations following a disaster will have a favorable 
impact on businesses in the community. Thus, businesses that contribute to the overall well-
being of the community may be willing to provide technical assistance, staff support, and even 
financial support to the disaster planning effort. Depending on the situation, this technical 
assistance may be paid for in full or be donated in-kind.

(Side Bar: Experience
Sample Advisory Committee Membership 
University of California, Berkeley: 
- Vice Chancellor for Capital Projects 
- Vice Chancellor for Resource Planning and Budget 
- Assistant Vice Chancellor for Research
- A dean of Letters and Science 
- Chair of the Academic Senate
- Two engineering professors 
- One architecture professor 
- Director of Business Services 
- Director of Emergency Preparedness 
- Director of Community Relations 
- From the Office of the President, the Assistant Vice President for Facilities services 
From the community, there are representatives of the City Manager and two businesses: a small 
property management company, and the Bayer Corporation. Berkeley was also fortunate to have the 
participation of its Bay Area neighbor, Stanford University; Stanford Vice Provost brings to the 
committee Stanford's experience recovering from the 1989 Loma Prieta earthquake, and their ongoing 
risk management concerns.)

Worksheet #1 in Appendix A will assist you in identifying appropriate partners.

FORM AN ADVISORY COMMITTEE
An advisory committee should be established once the inventory of available resources has been 
completed. The inventory produced a list of potential stakeholders from the institution and the 
community. Now it is time to begin the process of determining who will help make decisions 
about the process and who will serve primarily as a resource.

(Side Bar: Experience
When choosing advisory committee members, look for people who:
- Possess the ability to command respect across the institution and in the community;
- Are visionary and open to new ideas;
- Have the desire, time, and commitment to support hazard mitigation issues;
- Have the ability to communicate planning and hazard concepts to colleagues and members of the 
community; and
- Understand, and are able to operate effectively within, the political and administrative environment 
at your institution.)

Decisions about how to deal with the effects of hazards on an institution impact all levels of the 
organization, and stakeholders from the groups described above should be considered for 
inclusion on the advisory committee. Hazard mitigation involves academic, administrative, and 
student leadership. Work with, and appoint professionals on the campus who are already 
involved in emergency preparedness, crisis response, or risk management, but make certain that 
the committee is made up of people whose views extend far beyond what is typically thought of 
as emergency services or environmental health and safety.

How large should the committee be? The answer lies, in part, with the size of your stakeholder 
inventory. If you uncovered a small number of stakeholders, a committee that includes all of 
them would be satisfactory. If, on the other hand, you ended up with a long list of resources, 
perhaps a two-level organizational structure involving subcommittees and/or workgroups is more 
appropriate, with the chair of each committee serving on a steering committee. Regardless of the 
structure that is chosen, the committee that makes the final decisions should be small enough so 
that members can actively participate and have a sense of ownership, yet large enough to include 
important points of view and key decision-makers. The committee must be able to build the 
relationships necessary to facilitate compromise and engender commitments to implement the 
disaster mitigation plan.

IDENTIFY A COORDINATOR OR PROJECT MANAGER
The project must have a manager, preferably someone with the time and authority to focus 
exclusively on the activities related to the disaster--resistant university. The project manager 
provides staff support to the advisory committee and may be housed in a variety of different 
units on campus. A full-time coordinator is preferable so that he or she can spend the time 
necessary to understand the full complexity of the situation facing the campus. A part-time 
coordinator would be less likely to develop and leverage partnerships with the community or to 
be able to carefully include the variety of campus units that need to be involved. Regardless of 
the unit the project manager is assigned to, he or she should have access to and support from a 
senior administrator.

The project manager may come from the campus or be hired from outside. It may be expedient to 
redirect the tasks of someone familiar with the campus' operations, personalities, and culture. On 
the other hand, an off-campus specialist in loss reduction may be more effective in a shorter 
period of time. The ideal situation differs from campus to campus.

The project manager should become involved in the activities of any group on campus that is 
working on related issues. The projects of those charged with emergency preparedness, risk 
management, or crisis response are obvious cooperative opportunities, but look beyond them to 
other initiatives in resource planning, space management, instructional improvements, research 
facilities, and business operations. Collaborating with faculty, administrative staff, and students 
on various tasks will allow the manager to introduce the disaster--resistant university concept to 
others and help to establish a mutually supportive atmosphere.

Authorize the Coordinator and Advisory Committee
Once the membership of the advisory committee has been determined and a project manager 
identified, a formal endorsement of their composition and work must be obtained. While the 
chief administrative officer probably will have already announced the institution's commitment 
to becoming disaster-resistant, it is nevertheless important for the committee members and 
project manager to get a firm statement of support and an appropriate charge.

(Side Bar: Experience
Depending on your situation, it may be appropriate to identify a project coordinator prior to the 
inventory and designation of an advisory committee. In other cases, an interim coordinator may be 
designated to begin the process with the permanent coordinator chosen by the advisory committee. 
Both strategies have benefits and drawbacks and the decision is likely to be situation- and 
institution-specific.)

The likelihood of success will be enhanced if multiple jurisdictions recognize the planned efforts 
of this group. In addition to a formal charge from the chief academic officer, endorsement by the 
faculty senate, staff associations, and student government, as well as local government 
jurisdictions, can go a long way toward energizing committee members and providing a solid 
foundation for the next phase of the process.

Establish a Timeline
Once the advisory committee and project leadership is in place, a timeline should be established. 
The primary phases of this process include Phase 1, Organize Resources; Phase 2, Hazard 
Identification and Risk Assessment Study; Phase 3, Developing the Mitigation Plan; and Phase 
4, Adoption and Implementation. The process must allow for sufficient time to complete these 
tasks. Several issues should be addressed as the timeline is established:
- Will the work be done by a committee of the whole or in subcommittees? If subcommittees 
are used, more time is needed to allow them to organize and develop appropriate work plans.
- Will consultants be hired? Institutions of all types and sizes have successfully pursued 
disaster resistance on their own, but the process may be slower than if consultants are 
engaged.
- How many levels of planning will you engage in? Will departments, units, colleges, and 
divisions be involved in developing individual plans to integrate with the comprehensive 
effort? The amount of time planned should take into consideration the multiple levels of 
planning being considered.

(Side Bar: Resources
During the first meeting and periodically thereafter, you may want to watch a short video or 
conduct a what if exercise to find out what campus locations or assets may be vulnerable to 
hazards. You can obtain information on conducting tabletop mitigation exercises and a list of 
relevant videos on the FEMA Web site or from the FEMA publications warehouse 1-800-480-2520.)

Regardless of the answers to these questions, the timeline should expressly detail four events: 1) 
an informal kickoff, 2) the first formal meeting, 3) development of a mission statement, and 4) 
development of a communication plan.

Informal Kickoff. The first meeting of the advisory group will probably serve as the informal 
kickoff. This meeting should generate a sense of teamwork and focus on an introduction of the 
team members, the purpose of the meeting, and what the team wants to accomplish. The 
committee's charge should be delivered at this meeting and reviewed regularly throughout the 
process. The kickoff meeting is an ideal time to publicize the institution's efforts both on and off 
campus. The inclusion of community stakeholders should be explicitly recognized.

First Formal Meeting. The next important event on the initial timeline is the first formal meeting. 
The project manager should develop an agenda for the first meeting that includes a review of the 
charge and how the advisory committee members were selected. Prior to the first meeting, 
committee members should be designated to fill three vital roles: the chair, a facilitator, and 
someone to record all of the information. The first meeting should include a brief presentation on 
recent disasters that have affected the area. The issue of inclusiveness should be addressed and 
potential stakeholders who were not invited to join should be identified.

(Side Bar: Experience
The University of Washington Disaster-resistant University Initiative adopted the following mission 
statement: To fulfill the Universitys mission and commitments in the event of a disaster, the University 
strives to become disaster-resistant. Disaster resistance is achieved through recognition and analysis of 
the risks and analysis of natural and man-made hazards, mitigation of the human and economic impact of 
disasters, and comprehensive planning for resumption of University functions.)

Develop a Mission Statement
Perhaps the most important objective of the first meeting is the development of a mission 
statement to help committee members understand what outcomes they want to achieve. This step 
can help build a common understanding of the mitigation plan's purpose.

Develop a Communication Plan
It is important early on to decide how and when information about the planning process, and 
information gleaned from the process, are disseminated, and to whom.  University 
administrators, faculty, students, parents, and community officials will all take an interest in both 
the planning progress and the result of the process itself.  Knowing when and what type of 
information will emerge also builds support for the process.

CONCLUSION
Once the initial inventory of resources is complete and stakeholders have been identified, the 
advisory committee formed, project manager determined, and timeline established, you are ready 
to move onto the Phase 2the completion of a comprehensive hazard identification and risk 
assessment. At this point, the effort transitions from planning to completing a thorough 
assessment of the hazards the campus faces, the risks they pose, and the institution's 
vulnerability to those risks.

PHASE 2: HAZARD IDENTIFICATION AND RISK ASSESSMENT
This section guides higher education institutions on how to conduct a hazard identification and 
"single-point" risk assessment. A risk assessment identifies the hazards that your campus faces and 
assesses your level of vulnerability to these potential events. The risk assessment is a crucial step in 
the hazard mitigation planning process, because this information will be used to identify and prioritize 
the mitigation actions in your hazard mitigation plan.

In a true comprehensive risk assessment, you would consider all possible hazard events, and 
determine mathematically the expected damages from the whole range of possible events.  In the 
"single-point" method, you will select one hazard event and determine losses from that single event.  
While this latter approach is not as rigorous, it provides ample information to determine what should 
be done to reduce the effects of hazards on campus.

This section closely follows the guidance provided for local communities in the FEMA how-to 
guideUnderstanding Your Risks: Identifying Hazards and Estimating Losses (FEMA 386-2). The 
information below is intended to supplement that document in an effort to provide specific 
suggestions for the unique situations of colleges and universities. The hazard identification and risk 
assessment study includes four stages: 1) identify hazards, 2) profile hazard events, 3) inventory 
assets, and 4) estimate losses.

(Side Bar: Background
Natural versus man-made hazards: The hazard identification and risk assessment should include all potential 
hazards that face your institution, including natural and man-made threats. The FEMA how- to guide, 
Understanding Your Risks: Identifying Hazards and Estimating Losses (FEMA 386-2) provides information on the 
most common natural hazards: earthquake, flood, hurricane, landslide, tornado, tsunami, and wildfire. The FEMA 
how-to guide Integrating Human-Caused Hazards Into Mitigation Planning (FEMA 386-7) provides information on 
the complement of terrorism and technological hazards that may face your institution. These documents should 
be reviewed thoroughly before beginning your risk assessment.)
 
The activities you perform in this phase will help you answer the questions on the vulnerability 
questionnaire shown on Worksheet #2 in Appendix A.

IDENTIFY HAZARDS
The first step in conducting a hazard identification and risk assessment is to identify the natural and 
man-made hazards that present risks to your college or university. Start by contacting your local 
emergency management office and asking them about the hazards your area faces. In addition to your 
local office of emergency management, the FEMA how-to guide (FEMA 386-2) provides excellent 
advice on other sources of information about local hazards. Next, consider the unique hazards your 
institution may face. In particular, you may conduct a hazards history of your institution by using 
university and local archives to identify disasters that have affected your institution in the past. 
Conduct focus group sessions with members of your advisory committee and other campus 
stakeholders to identify what they believe the hazards are and to identify any gaps in your own 
research.

Possible resources for the hazard identification include: local publications and other historical 
archives; existing plans and reports; experts at your institution or in your community, state, or FEMA 
Regional office; and Internet Web sites. 

(Side Bar: Resources
For information about the hazards your area faces, consult www.hazardmaps.gov.)

Worksheet #3 (Appendix A) can help you organize this information.

Prioritize Hazards
After you have developed a full list of potential hazards affecting your campus, prioritize them 
based on their likelihood of occurrence. This step should not downplay the possibly devastating 
consequences of a single unlikely event; however, with limited resources, and as a place to start, 
focus on the hazards most likely to affect your institution. The advisory committee or a 
subcommittee can be useful to engage in this prioritization. Local and state emergency 
management officials can also provide valuable assistance. If communities adjacent to your 
campus have undertaken this step, you should consider using all or part of the same prioritized 
list.

(Side Bar: Experience
Conducting a risk assessment requires a wide variety of experts and resources. In preparing for this 
step you should review the skills, knowledge and abilities of your advisory committee members and 
canvass other campus resources for possible contributors. Faculty members may already have answered 
some of your risk questions as part of their own teaching or research activities. Other campus units, 
such as Facilities, Planning, Environmental Health & Safety, and Risk Management, may possess relevant 
expertise as well as data that will help in the risk analysis. You should also look to the community 
and state for help. There, you may find specialists in the city or county government who will help you 
as part of their jobs, or scientists working for the state department of water or geology. Already 
established community working groups or committees may have some of the information you need, or they 
may agree to help you get it. If adequate capacity is not available, seriously consider hiring a 
consultant to complete the risk assessment.) 

PROFILE HAZARD EVENTS
Detailed Hazard Profiles
After the initial list of potential hazards has been compiled and you have decided whether to 
address all or a subset of these events, the next step is to create detailed hazard profiles. This step 
addresses in specific terms the scope and extent of damage that a particular hazard event could 
cause to your institution. This is an important step, because determining the type of impact a 
hazard event will have on your campus can help identify the institution's vulnerable assets.

Mapping
The creation of a campus base map upon which various hazard events can be profiled is the 
starting point for creating a detailed hazard profile. The FEMA how-to guide: , Understanding 
Your Risks: Identifying Hazards and Estimating Losses (FEMA 386-2) explains this process in 
greater detail. It is important to point out, however, that your geography department or other 
academic unit with expertise in mapping may be able to create this map for you as a student 
project or with limited resources. If a member of the geography department is not on the steering 
committee, contact the department, explain your interests, and inquire about potential help. 

(Side Map: Experience
A contractor hired by the University of Miami used information available for a potential flood 
event related to a hurricane to develop a map that displays the campus facilities that might be 
flooded or disrupted by road closings or power outages. This map subsequently allowed the university 
to target those structures for mitigation actions that will lessen the impact of a flood event.)

The map should display as many features of your campus as possible. At a minimum, it should 
show classroom buildings, dormitories, communications and computer facilities, laboratories, 
offices, libraries, food service, historic and architecturally important structures, parking areas, 
and any other unique or institution-specific resources. It will also be important to map essential 
services such as fire, police, emergency communications, emergency operations centers, medical 
facilities, and shelters, as all of these would be needed during and immediately after a disaster. 
Locations of items such as hazardous materials and biological agent storage and use areas and 
animal research facilities should also be noted as this information is critical for local first 
responders. Finally, the map should illustrate campus lifelines and critical infrastructures such as 
roads and water, power, communication, and wastewater lines.

(Side Bar: Recent Disasters and Universities
On January 11, 2002, a three-alarm fire broke out in the Sinsheimer Laboratories building on the campus 
of the University of California Santa Cruz. The fire completely destroyed several labs, including the 
research lab of Professor Manny Ares, who lost more than a decade of work on the Human Genome Project. 
Damage from the fire has been estimated at $4-5 million. The building was constructed in 1987, before 
fire codes required a sprinkler system.)

(Side Bar: Experience
Universities and colleges are especially concerned with protecting and retrieving documents. Your hazard 
profile will probably point to the importance of your library, archives, and research data. Over the past 
couple of decades, numerous library collections and much research have been lost to hazard events. At the 
same time, a great deal has been learned about how to protect and restore these important resources. Your 
inventory of hazards and relevant information could contain separate sections for these special or unique 
institutional assets.)

(Side Bar: Experience
Information sources at your institution helpful in creating your base map include:
- An accurate listing of all structures on the campus, as well as those that the institution may own on 
outlying properties, with as much detailed information about the buildings as possible. Typically, a facilities 
management department holds these data. Determine the amount of space in classrooms, laboratories, offices, 
libraries, and other facilities, such as convocation spaces. Most institutions have an office that manages the 
assignment of space to various departments or units. Note that residential and parking structures should be 
accounted for as well.
- Maps of the campus infrastructurepower, water, sewer lines, and voice and data communications systems. Typically, 
the managers of the physical plant or facilities management hold these maps.
- Previous assessments of facilities that may have been done for hazardous materials management, deferred 
maintenance, or for insurance purposes.)

The base map should extend beyond the campus boundaries to include campus-related facilities 
such as residential areas, local fire stations, transportation facilities, and fraternity and sorority 
buildings. Coordinate this activity closely with surrounding local officials. Placing this map on a 
geographic information system (GIS) will make it more useful as the project progresses and the 
data become more complex. GIS can be used to store and access the mapping information, 
displaying the areas, systems, and functions that are at risk and graphically depicting potentially 
damaged areas and buildings, costs of repair, and concomitant threats to operations that will 
assist in setting mitigation priorities. Almost every college and university has GIS specialists 
within an academic department such as engineering or geography. 

Regardless of whether you choose to address each of the hazards you have identified or to 
narrow your focus from the full range of potential hazards to a subset of the potential threats, the 
next step is to collect more detailed information. The goal is to identify information, maps, 
experts, and other resources helpful to beginning the step of evaluating the potential threat of this 
hazard to your institutional mission. A good deal of attention should be focused on local, state, 
and Federal emergency management personnel who can assist in providing basic information on 
the consequences of all of the hazards that have been identified. Particular attention should be 
paid to resources that may show the impact of hazards on the unique assets of your institution or 
those of higher education institutions generally.

Use the hazard information and prioritization you generated earlier to create hazard event 
profiles, or maps. In the beginning, this will involve simple tasks such as delineating a fault zone, 
floodplain, or storm surge run up zone, but the complexity of your map will ultimately depend on 
the size of your institution and the hazards it faces. Your maps may later include more complex 
elements, such as a detailed earthquake shaking map or an analysis of peak flood elevations. 
When added to the base map, these hazard overlays will create a visual display of how the 
various hazards could affect your campus and facilities.

(Side Bar: Resources
Community Vulnerability Assessment Tool (CVAT) CD-ROM. The CVAT provides guidance on conducting 
community-wide vulnerability assessments. It also provides a case study demonstrating the process for 
analyzing physical, social, economic, and environmental vulnerability to hazards at the community level. 
Some of its aspects could be modified for use by higher education institutions. For more information, visit 
the NOAA Web site at www.csc.noaa.gov/ products.)
 
This effort will be successful only if the campus base map is complete and accurate. Be certain to 
record and archive all of the information you use to create the hazard event profiles; in addition 
to safeguarding your work in the event of a disaster, archives may be useful in developing the 
mitigation plan, and they will be essential to future updates of the risk assessment.
Worksheet #4 (Appendix A) can help you determine how to obtain and record hazard 
information.

INVENTORY YOUR ASSETS
The third stage of the hazard identification and risk assessment is to conduct an inventory of 
campus assets in the hazard areas to show how the hazard events you have identified could affect 
the physical components and operations of the institution. The campus base map and hazard 
event profiles helped determine where hazards can affect your institution; the asset inventory 
will help determine what can be affected.

(Side Bar: Experience
Completing the asset inventory may be a substantial task and requires considerable time. The 
information you need may not be readily accessible, or even available. You may have to consult 
with numerous campus offices, personnel, experts, etc. and may even need to employ outside consultants 
on structural, geophysical and other issues. Nevertheless, the inventory is essential to calculating 
the potential losses and to prioritizing your mitigation actions in the hazard mitigation plan.)

The inventory should include information about all of the entities located in hazard areas. Your 
map already shows where these entities are located; now, they need to be described in sufficient 
detail so the hazard mitigation plan can be developed. The types of assets and hazards determine, 
in part, the type of information to be collected. Several general categories of assets are listed 
below, along with the types of information about them that will be important for estimating 
potential losses. You may find additional assets at your institution, and the following guidelines 
should be modified accordingly.

In conducting this inventory, you may wish to place priority on identifying which facilities are 
essential or critical to campus operations on a daily basis, and after an emergency. Examples 
include medical care facilities, emergency services (police, fire, ambulance), information 
storage, communications, and utilities.  Other priority inventory components include historic and 
cultural resources housed on campus.
Buildings

Describe each campus building in the hazard areas, detailing its size in square feet, type of 
construction, materials, age, occupancy, maintenance schedule, and replacement and content 
values. Try to calculate the type and value of activities, operations, and special contents (e.g., 
sponsored research, instruction, recreation, animals, special collections, and irreplaceable 
specimens) for each building, as well as any associated capital investments such as equipment. 
Pay particular attention to any laboratories that may be located in the buildings, describing the 
laboratory by its research focus, material and equipment contents, and replacement cost and 
noting the potential for loss or interruption of research and any lab income that could 
subsequently be lost.  There will be certain aspects of the buildings' construction that will be 
relevant for certain hazards.  For example, if flooding is a possibility, pay particular attention to 
research investments and activities in the basements and ground floors of buildings.  The 
following table outlines these considerations.

(Hazard Options: Flood, Earthquake, Tsunmai, Tornado, Coastal Storm, Landslide, Wildfire)
Building Type / Type of Foundation: Flood, Earthquake, Tsunami, Coastal Storm
Building Code Design Level / Date of COnstruction: Flood, Earthquake, Tsunami, Tornado, Coastal Storm,
and Wildfire
Roof Material: Tornado, Coastal Storm, Wildfire
Roof Construction: Tornado, Coastal Storm, Wildfire
Vegetation: Wildfire
Topography: Coastal Storm, Landslide, Wildfire
Disatance From Hazard Zone: Flood, Tsunami, Coastal Storm, Landslide, Wildfire

Describe buildings according to use. Categories may include classrooms, administration, 
support, research laboratories, libraries and collections, housing and dining, special uses such as 
gyms and concert halls, parking, and police, fire, and emergency services. Also characterize the 
occupancy of each building in one of two ways: 1) estimated continuous occupancy (ECO), an 
annualized average; or 2) typical peak hour occupancy (i.e., an hour between 8 am and 5 pm).

(Side Bar: Resources
Content Loss Model for Campus Library: Determine the replacement value of the collections vulnerable to a 
hazard event and multiply this figure by the expected damage from the event. For example, a library 
collection valued at $225,000 that is projected to suffer 10% damage from a 100-year flood would have an 
estimated loss value of $22,500.)

(Side Bar: Experience
The University of California, Berkeley has developed a loss estimation methodology for the potential 
disruption of an earthquake to their University and the associated impact of that interruption on the 
surrounding region. A report entitled: The Economic Benefits of a Disaster-resistant University: 
Earthquake Loss Estimation for UC Berkeley can be found at www-iurd.ced.berkeley.edu/pub/WP-2000-02.pdf)

Infrastructure
In addition to buildings, describe the conditions and vulnerabilities of utilities and 
communications systems. Electric, water, and gas systems are essential for campus activities and 
may be critical to maintaining many types of experiments, and the ability to move about the 
campus and to communicate via landline, radio, and Internet must be maintained if the campus is 
to remain fully operational. Additionally, assess the condition and vulnerabilities of all backup 
systems.

Finally, administrative systems (payroll, accounts payable, student records) are critical to 
continued operations. Find out where they are located and how vulnerable they are. Determine 
the vulnerability of your important data and associated functions and what type of backup plan is 
appropriate. 

At this point you should have sufficient information on the hazard events that could impact your 
institution and on the assets and operations that could be affected. This will help you determine 
how to begin mitigating potential damage and will provide you with a complete understanding of 
the overall risk your institution faces from hazards. It is important to emphasize that for the steps 
just described, FEMA provides considerable information developed for communities that can be 
modified to fit your needs (see FEMA 386-2). 

Worksheets #5 and #6 in Appendix A can help you determine the extent to which particular 
hazards would affect the various elements of your institution. Categories shown are simply 
examples of how you may wish to break out the different types of buildings on campus. Consider 
tailoring the worksheets to meet your situation. 

ESTIMATE LOSSES
The fourth step of the risk assessment is the estimation of the potential losses your institution 
could face from a specific hazard event. The purpose of this step is to describe how your 
institution's assets will be affected by a hazard event. During this step, you create scenarios that 
estimate the impact of an event on people, buildings, and infrastructure. Some of these entities 
will be more vulnerable than others, and your estimates of losses will vary depending on factors 
such as the age of the building, type of construction, and time of the event. In many cases, it has 
been useful to develop a number of different scenarios that vary by hazard event and expected 
impact.

Communities typically express their expected losses in dollars, and representing risk in economic 
terms can make a compelling case to administrators and others responsible for hazard mitigation 
policy at your institution. However, while dollar estimates are often required for community, 
state, or Federal assistance, the nature of higher education institutions suggests that other 
descriptions of losses may be appropriate. Lost instructional time, research equipment, data, and 
subjects, along with unique historical artifacts and library collections, should not only be 
quantified but also described in such a way as to communicate the potential human and social 
costs of failing to reduce risk before disaster strikes.

In a traditional loss estimation process, three types of potential losses are considered: life, 
property (structure and contents), and function. However, due to the unique characteristics of 
many institutions' assets, you may also decide to develop separate loss function models for 
special equipment or research facilities that are particularly vulnerable. The basic formula for 
calculating loss to an asset is the replacement or interruption costs multiplied by the percent of 
the asset expected to be damaged from an event. The overall projected loss from a hazard event 
is expressed as the sum of the appropriate loss equations. Additional information on conducting 
loss estimates is available in the FEMA how-to guide Understanding Your Risks: Identifying 
Hazards and Estimating Losses (FEMA 386-2). You should be able to estimate structural, 
content, and functional use equations for each asset. Combined, these estimates provide a 
complete picture of the economic and financial vulnerability of your institution to various hazard 
events.

The asset inventory and hazard event profiles will provide the necessary information to develop 
detailed loss estimates for each structure and function at your institution. Ideally, all of this 
information should be collected in a common format and mapped using GIS. A composite loss 
map that combines the individual hazard event maps to determine the most vulnerable campus 
areas can then be created. While quantifying losses of information and operations may appear 
challenging, local, state, and Federal emergency management officials have been dealing with 
the complex issue of establishing loss estimates for years and they have a lot to offer as you work 
on loss estimates for your campus. You will probably discover that your institution has much in 
common with communities and that the general guidance FEMA provides to communities often 
is applicable to the needs of your own institution. Loss estimation tables for floods, earthquakes, 
and coastal storms, as well as guidance for estimating losses from other hazards, are available in 
the FEMA how-to guide referenced above.  

You may also consider developing estimates of the impact that an interruption in your 
institution's operations would have on your community and the surrounding region. The local 
economy is affected by your institution's presence and spending, so capital costs (repair and 
replacement), student expenditures, faculty and staff salaries and benefits, and other measures of 
institutional economic activity should be highlighted in this calculation. Documenting this 
impact will demonstrate the degree to which the community is dependent on your institution, and 
it will help you in your efforts to mobilize the local community and to build support for your 
disaster mitigation effort.

Worksheet #7 (Appendix A) can help guide you in calculating the dollar value of losses to 
individual structures on campus. You can use a separate worksheet for each hazard you wish to 
evaluate.

(Sie Bar: Recent Disasters and Universities
In September 1999, Hurricane Floyd pounded North Carolina, causing serious flooding at East Carolina 
University in Greenville. The campus was surrounded by water for weeks. The university was only partially 
operational, and some students were forced to lodge with residents in the town.)

CONCLUSION
Assessing your institution's vulnerability to natural and man-made hazards can be a challenging 
exercise. Imprudent decisions that your institution may have made in the past most likely will be 
revealed. It will take real effort to keep everyone focused on the long-term goal, but this is 
essential if you plan to take hazard mitigation seriously. A thorough analysis of the hazards that 
affect your institution, a profile of potential events, an inventory of the institution's assets, and an 
estimate of potential losses are necessary before a mitigation plan can be written and your needs 
can be prioritized. Even if mitigation actions are not immediately forthcoming, a risk assessment 
and vulnerability study will benefit your institution in many ways. By recognizing the hazards 
your institution faces and estimating potential losses from these events, your long-range planning 
efforts will improve and your institution will be more likely to make strategic choices that 
incorporate the principles of disaster mitigation.

Once the hazard identification and risk assessment are complete, you are ready to write your 
mitigation plan. The risk assessment will provide you with the information necessary to identify 
and prioritize mitigation actions based on the vulnerability of your institution; after determining 
and prioritizing appropriate mitigation actions, you can begin securing support and 
implementing the plan.

PHASE 3  DEVELOPING THE MITIGATION PLAN
The third phase in the hazard mitigation planning process is writing the hazard mitigation plan 
itself. The plan should naturally flow from the hazard identification and risk assessment study 
completed in Phase 2 and should complement the related plans identified in Phase 1. The 
purpose of the hazard mitigation plan is to lay out in detail the proposed prioritized mitigation 
actions and to establish their appropriateness and expected utility. Once the plan is complete, it 
will have to be adopted and implemented by appropriate institutional representatives; therefore, 
as with the previous phases, it is very important to involve as many stakeholders as possible 
when writing the plan.

(Side Bar: Resources
The mitigation plan should:
- establish goals and objectives aimed at reducing or avoiding vulnerabilities to the identified hazards;
- identify actions that will help you accomplish the established goals;
- set forth strategies that detail how the mitigation actions will be implemented and administered;
- provide continuity to the planning process as it provides a link between determining what your communitys 
risks are and actually implementing mitigation actions; and
- establish a process for regular updates and review of the plan.)

The FEMA how-to guide Developing the Mitigation Plan: Identifying Mitigation Actions and Implementation 
Strategies (FEMA 386-3) covers this process in detail and should be reviewed before you start to write 
your plan.

As with the previous steps, consult Developing the Mitigation Plan: Identifying Mitigation 
Actions and Implementation Strategies (FEMA 386-3) for general guidance on this topic. In addition, 
work closely with local, state, and Federal emergency management officials to 
ensure that your plan allows you to be fully eligible for all available pre- and post-disaster 
funding.

(Side Bar: Background
Clear goals and objectives provide a framework for making decisions on funding and implementing 
mitigation actions.) 

PRIORITIZE FOCUS AREAS
Before beginning to write the plan, conduct a careful review of the conclusions reached by the 
hazard identification and risk assessment study. Develop mitigation goals and objectives based 
upon your understanding of problems revealed through the risk assessment.

(Side Bar: Background
Goals are general statements of what you want to achieve. They are usually long term and represent global 
visions, such as:
- Minimize interruption to the instructional mission of the university or college.
- Protect the research enterprise on campus.
Objectives define strategies or implementation steps to attain the identified goals. Unlike goals, objectives 
are specific and measurable, such as:
- Inform the campus community about potential hazards and appropriate loss reduction actions.
- Protect lab equipment valued at $5,000 or more.
Mitigation Actions are specific activities that will help you achieve your goals and objectives. For example:
- Sponsor a campus hazards segment in the administration newsletter.
- Retrofit lab equipment with appropriate protection.
- Develop a training session for new lab directors on hazard mitigation.) 

The mitigation plan should address all of the hazards you identified and should prioritize them 
based on your institution's vulnerability to particular natural and man-made hazards. Prioritizing 
your mitigation focus areas involves comparing the institution's mission with the results of the 
hazard identification and risk assessment to rank mitigation needs according to their associated 
risks. This process should be as inclusive as possible, with the involvement of all the appropriate 
stakeholders. Prioritizing the areas you will focus on should not be viewed as giving less 
attention to one particular hazard or area of the campus, but rather as a systematic effort to target 
resources toward reducing the greatest potential threats to the institution's instructional, research, 
and public service operations.

(Side Bar: Background
It is likely that funding for which your institution might be eligible through DMA 2000 will be granted in 
several small increments over time rather than in a single lump sum. Having your mitigation actions ranked 
in order of priority allows you to begin implementing the most important actions as funding becomes available.) 

DETERMINE APPROPRIATE MITIGATION ACTIONS
Once your focus areas have been determined, it is time to identify appropriate mitigation 
actions to protect your institution's people, facilities, and research. These actions can range 
from simple and inexpensive, such as securing lab equipment, to complex and expensive, such as structural 
design improvements for new construction and the retrofitting or relocation of existing structures. The early 
stages of this process should include an investigation of the full range of appropriate actions, and the 
initial inventory of appropriate mitigation actions should be done without regard to cost and benefits.

(Side Bar: Experience
Urge academic units to safeguard important research documents and specimens and to make duplicate copies of 
reports and store them separately from the originals.) 

This guide is not intended as a complete resource for mitigation actions appropriate to natural and man-made 
hazards. Consult the appropriate how-to guides and experts in this area for that information. This guide is, 
however, appropriate for considering examples of some basic mitigation actions for common hazards and for 
providing some details regarding their application to the unique situations of colleges and universities. 
Many mitigation actions that can reduce losses due to natural hazards can also help reduce the effects of 
man-made hazards; for example, strengthening windows to reduce wind hazards or strengthening buildings to resist 
seismic forces may also help mitigate blast forces. 

Some common actions taken to reduce the damage from future earthquakes, high 
winds, fires, and flooding include:
- Earthquakes: installing steel moment frames, shear walls, and cross bracing; strengthening 
floor systems; reinforcing walls with shotcrete/fiber materials; reinforcing columns with fiber 
wraps/steel jackets; addition of tension/shear anchors and vibration dampers; bracing of 
bookshelves and other high mounted items; upgrading of utilities; and securing of expensive 
research equipment.

(Side Bar: Background
Six broad categories of mitigation actions include:
1. Prevention  Actions such as planning and zoning, open space preservation, , soil erosion and 
sediment control.
2. Property Protection  Actions such as relocation, storm shutters, flood barriers, flood insurance, 
and structural retrofits.
3. Public Education and Awareness  Actions such as outreach projects, hazard information centers, 
and technical assistance.
4. Natural Resource Protection  Actions such as erosion and sediment control, stream corridor 
protection, and wetlands preservation.
5. Emergency Services  Actions such as hazard threat recognition, hazard warning, emergency response, 
and protection of critical facilities.
6. Structural Projects  Actions such as revetments, high flow diversions, spillways, retaining walls, 
and storm sewers.)

- High Winds: implementation of warning systems and safe rooms; reducing or eliminating 
openings; reinforcing window glass and frames; strengthening exterior elements to resist 
positive/negative air pressures and impact; improving roof-wall-foundation connections; 
improving roofing materials; adding/reinforcing shear walls; vegetation management; 
installation of shutters or window film.
- Fire: improvement of sprinkler systems; increased use of fireproofing and/or fire-resistant 
building materials; training of permanent/and or volunteer staff in firefighting techniques; 
ensuring adequate water supplies for fire protection; vegetation management; maintaining 
site setbacks.
- Floods: elevation or floodproofing of buildings; drainage improvements and structural 
works; moving critical uses (communications, library and other collections, offices) to higher 
locations; elevation of vulnerable equipment and research subjects, book collections, art, etc.
- All Hazards: Installation or improvement of backup systems (electric generators, computer 
databases, etc.); implementation of contingency procedures; maintenance of emergency plans 
(required by USDA for Federally funded research facilities using laboratory animals); 
informing campus personnel of risks and mitigation strategies; keeping detailed information 
current regarding hazardous chemicals, biological and radiological agents, laboratory 
animals, and critical works of art and cultural treasures.

The mitigation actions listed above are but a few of the actions that can be taken. 
Reviewing existing literature, asking experts, reviewing success stories, and brainstorming can 
identify more mitigation actions. Additionally, the FEMA how-to guide Developing the 
Mitigation Plan (FEMA 386-3) contains an extensive list of mitigation measures actions for 
natural hazards, and Integrating Human-Caused Hazards Into Mitigation Planning (FEMA 386-
7) outlines mitigation actions for man-made threats. The advisory committee or 
subcommittee should collect information on all of the options available to reduce your 
institution's vulnerability. As larger numbers of higher education institutions work toward 
disaster resistance, a body of knowledge and best practices will emerge about how universities 
and colleges have adapted and created mitigation actions to meet their unique requirements. 
This is still a very new area for many institutions and it will be helpful to document what 
you do and to share your experiences with others whenever possible. The professional associations 
listed throughout this guide, as well as FEMA, will be interested in assisting you as well as 
hearing about your efforts. 

(Side Bar: Resources
A compilation of mitigation resources and success stories is available from FEMA on a CD: Mitigation 
Resources for Success (FEMA 372).)

(Side Bar: Experience
Researchers at the University of California, Berkeley are developing equipment-specific, custom-designed 
retrofit actions for the equipment they have identified as vulnerable to an earthquake. The process includes 
consulting by engineering faculty, graduate students, physical facilities representatives, and appropriate 
construction sciences personnel to design and implement these actions. As a result, valuable equipment that 
is critical to the continuation of the research enterprise at the institution will suffer less damage in the 
next earthquake. Seismic Protection of Laboratory Contents can be read at www-iurd.ced.berkeley.edu/ 
pub/WP-2003.pdf)

PRIORITIZE MITIGATION ACTIONS
As discussed previously, the hazard mitigation plan should identify mitigation focus areas and 
describe the prioritization of actions within each area. After using the hazard 
identification and risk assessment study to determine vulnerability and identifying appropriate 
mitigation actions, rank the actions needed and develop a timeline for implementation.

(Side Bar:
Recent Disasters and Universities: In July 1997, the Colorado State University campus was flooded
by a local creek. Water poured into both the library and the bookstore, damaging hundreds of
thousands of books and other valuable documents. Most of the campus was closed for 1-2 weeks while
cleanup was underway. Damages exceeded $100 million.)

Possible criteria for ranking include life safety, operational criticality, time needed to complete 
the activity, effectiveness/lifespan, or other hazard-specific considerations. However, the most 
common basis for prioritization is benefit-cost analysis (BCA), which allows multiple projects to 
be compared across a range of hazards. The basic formula includes the following:
- The cost of the mitigation action;
- The dollar value of risk reduction (calculated from the potential loss of life, property, and 
function of the institution) each time the hazard occurs;
- The frequency with which the benefits of the action will be realized (frequency of hazard 
occurrence assumes that the action performs as expected); and
- The present value of aggregated future benefits (dollar value of risk reduction each time the 
hazard occurs multiplied by the probability of occurrence, multiplied by the life span of the 
action).

To prioritize mitigation actions, you may create a matrix using multiple criteria of your 
choosing or simply use benefit-cost analysis. Some institutions hire consultants to develop or 
apply a methodology for ranking mitigation actions and to assist them in comparing 
various mitigation actions across different hazard events. In addition to the campus-based experts 
you have identified, emergency management officials can also help you determine appropriate 
strategies for prioritization. Whichever method is selected, it is important for all campus 
stakeholders to understand the process that was followed to determine the rankings and to feel as 
if they had an opportunity to participate in the process, so be sure to provide adequate 
opportunity for input from the advisory committee and stakeholders. 

Worksheet #8 (Appendix A) can be used to help you track various mitigation options and 
corresponding issues, as well as priority considerations.

PREPARE AN IMPLEMENTATION STRATEGY
In this step, you will determine how mitigation actions will be funded, who (as in which 
institutional department) will be responsible for overseeing the project(s), and how long the 
project(s) should take to complete. An example format for this information is shown in the 
previous box.

(Side Bar:
Example Implementation Strategy Format

Action: (from your list of selected actions)

Goal(s) and Objectives Addressed:
(Sometimes the action will address more
than one goal and objective)

Lead Agency/Department: (Provide the
name and a brief description of each
support agency)

Budget: (Provide the dollar amount or an
estimate, if known)

Funding Source(s): (List the funding
source(s)--e.g., operating budget, xyz
foundation, etc.)

Start and End Dates: (Indicate start and
end dates; short-term, long-term, or
ongoing; and milestones for longer term
projects))

ASSEMBLE THE PLAN
Once the priorities have been established and the appropriate mitigation actions determined, 
it is time to assemble the plan. As pointed out earlier, review the FEMA how-to guide 
Developing the Mitigation Plan (FEMA 386-3) and share your plan with appropriate local, 
state, and Federal emergency management officials. The basic template provided in the adjacent 
sidebar can be modified to your institution's needs.

(Side Bar:
Resources:
Executive Summary
- Purpose
- Process Followed
- Major Reccomendations

Goals and Objectives
- Disaster Resistent University Mission

Hazard Identification and Risk Assessment
- Hazard Background of Institution
- Asset Inventory
- Loss Estimation

Mitigation Strategy
- Identification of Mitigation Actions
- Descriptions of Prioritization Methodolgy Used
(e.g. Benefit Cost Analysis)
- Prioritization of Actions
- Timeline

Implementation and Plan Maintenance
- Organization and Responsibility for Mitigation
- Integration with Local and State Hazard Mitigation Plans
- Maintenance of Plan and Update Schedule)

CONCLUSION
The hazard mitigation plan documents the ways in which your institution will reduce its 
vulnerability to natural and man-made disasters. The plan details the purpose of the planning 
effort, the process that was followed, and the actions that need to be taken. Once the 
plan is finalized, the next step is to get it adopted and implemented. Plan adoption refers to 
getting the plan formally approved by the appropriate on- and off-campus entities, and 
implementation refers to the ongoing effort to perform the mitigation actions, tracking 
their progress, and measuring their impact. Adoption and implementation of the hazard 
mitigation plan are discussed in the next section.

(Side Bar:
As a result of the heightened level of interest in the vulnerability of American communities to 
terrorism following the attacks of September 11, 2001, your community is likely to be keenly 
interested in efforts to protect people, buildings, and operations from terrorism and technological 
disasters. This presents both benefits and challenges, because much of the same information that can be used 
to rally support for mitigation can also be of use to potential terrorists, saboteurs, or others with 
malevolent intent. For that reason, you must carefully maintain the security of any information that 
pertains to vulnerabilities, security measures, and response plans. Your institutions legal counsel 
should be able to provide guidance on how best to protect such sensitive information within the provisions 
of applicable freedom of information laws.

For more information on information sensitivity, refer to the FEMA how-to guide Integrating Human-Caused
Hazards Into Mitigation Planning (FEMA 386-7).)

(Side Bar: 
Resources
University of California, Berkeleys risk management
plan can be found at www-iurd.ced.berkeley.edu/pub/
WP-2000-03.pdf)

PHASE 4 - ADOPTION AND IMPLEMENTATION 
The final phase in the disaster--resistant university process is the adoption and implementation 
of the mitigation plan. Adoption and implementation go hand in hand. They may happen 
simultaneously, but they are discussed separately here to emphasize the unique aspects of both 
steps. Adoption is a relatively short-term and straightforward process. Implementation, on the 
other hand, is a long-term and complex process that requires the consistent review, 
coordination, and completion of mitigation actions.

ADOPTION
On Campus
Once the plan has been completed, it should be presented to the chancellor or president of 
the university for review and formal adoption. To ensure success, disaster-resistance 
efforts require the support and endorsement of the institution's chief operating officer. 
The president or chancellor must be a visible spokesperson for the effort. After the 
president or chancellor has endorsed the plan, the key stakeholders on campus identified 
in Phase 1- Organize Resources, some of whom have probably been on the advisory 
committee or involved in other ways in the process, should be consulted and asked to 
adopt the plan.

(Side Bar:
Background
Adoption refers to the formal and informal acceptance of the plan by appropriate entities, such as 
a formal vote or a statement of support or memorandum of understanding. Implementation refers to 
putting the plan into action by taking steps to adopt the mitigation actions described in the plan.)

Institution-Wide Governance Body. After the chancellor or president has adopted the plan, 
it should be submitted to the appropriate institution-wide governance body. These bodies 
go by many names, such as Board of Trustees, Board of Overseers, Board of Visitors, etc. 
Your institution may have more than one such oversight organization. Identify the 
appropriate steps to have your plan endorsed at this level. These bodies have the final say 
over financial, personnel, and student matters at many institutions and therefore are very 
important to implementation. They should be kept informed of the status of disaster-
resistance efforts on campus, informed of the plan's completion, and asked to adopt it.

(Side Bar:
Experience
At some point it will be important to publicize the universitys efforts by holding a press conference 
to announce your work. This process can begin with the formal announcement of the plans completion 
with a high profile signing by various senior university officials. Your effort to make it clear to 
the rest of the institution that support for the plan comes from the top will enhance the likelihood 
of implementation at all levels.)

Administration. Administrative units identified in Phase 1: Organize Resources should be 
asked to endorse the plan. The advisory committee may consider developing a formal 
memorandum of agreement that reflects the commitment of each unit to the principles of 
disaster resistance and to the strategies detailed in the mitigation plan. The committee 
should focus on getting the chief business officer to emphasize to the various business 
affairs units the importance of adopting the plan. Adoption of the plan by all public safety 
divisions and environmental health and safety divisions is critical. 

Additionally, risk management, auxiliary services, and even the admissions office will be 
important in the successful implementation of the plan and should be asked to formally 
endorse it. 

The admissions office may not seem like the most obvious candidate for the adoption of 
mitigation actions, as there is not a lot they can do to make your institution more 
disaster-resistant. However, the admissions office does have a key stake in the adoption 
and implementation of a comprehensive plannamely, the recruitment and retention of 
your institution's primary customers. Students choose colleges and universities for many 
reasons, and there is little doubt that safety is now more important than ever. A formal 
statement of how your institution is working to become disaster-resistant can help the 
admissions office to promote these efforts to potential students.

(Side Bar:
Experience
Depending on the nature of your institution, it may be necessary to send your plan to additional
organizations. It is common among state funded institutions to have a statewide or system-wide
governance structure that provides overall policy guidance for some number of schools in the state. 
While it may not be necessary to get their formal endorsement of the campus plan, it is certainly 
appropriate to make them aware of your efforts to reduce the loss of life, damage to
property, and interruption to your institutional mission that would be caused by a disaster.)

Academic Affairs. The plan should be adopted and endorsed by the chief academic officer 
of the university. The various levels of approval in the area of academic affairs should 
have been identified in Phase 1. It is common for the academic affairs structure to be 
more complicated than business affairs. As such, depending on the structure of your 
institution, it may be appropriate to get plan approval by the individual schools, colleges, 
and departments. Some academic units will be more involved than others as you work to 
implement the plan; in particular, departments that use hazardous materials, conduct 
research in sensitive areas such as genetics or animal sciences, and those with unique 
physical security concerns should be involved in the plan and asked to endorse it.
Sponsored Programs or Research Administration. Protecting the institution's research 
enterprise and knowledge generation resources is an important reason for becoming 
disaster-resistant. In Phase 2: Hazard Identification and Risk Assessment, threats to the 
research enterprise at your institution were identified. The office of sponsored programs 
or research administration is generally charged with oversight of sponsored research on 
campus. They can coordinate initiatives to ensure that research is done in an environment 
that is as resistant as possible to hazards, including training on hazard mitigation 
strategies for new principal investigators, lab management personnel, and others involved 
in research, data collection, or retrieval. As noted in Phase 1, sponsors are increasingly 
asking about appropriate protections to ensure the integrity and protection of the work 
they are supporting. Involving this unit and obtaining their formal endorsement will 
strengthen your efforts to demonstrate the importance of the initiative.

Student Affairs. The student services divisions and organizations identified in Phase 1 
should be contacted and asked to endorse the plan. Recognizing that student safety is of 
paramount concern, several of the mitigation actions detailed in the plan will probably 
have an effect on students and the way they interface with the institution. Students and 
organizations that have influence over issues such as building and residence hall security, 
the handling of hazardous materials, and the evacuation of campus before or after a 
disaster should be involved in this process.

(Side Bar:
Recent Disasters and Universities
The 1989 Loma Prieta earthquake damaged a number of buildings at Stanford University, closing 
11 of them. After spending about $300 million over 10 years on repairs and retrofits, Stanford 
has finally reopened most buildings.) 

The approval and endorsement of on-campus student governance organizations is 
particularly important. In addition to demonstrating that the vision of a disaster--resistant 
university is shared across the entire institution, student government organizations may 
have access to, or the ability to raise, funds that can be tapped to support the work 
detailed in the disaster mitigation plan. To the extent that retrofitting existing structures 
or the incorporation of disaster--resistant building technologies is required on buildings 
that are maintained or built with student fees, these organizations can provide critical 
support.

Off Campus
Off-campus stakeholders identified during Phase 1 are equally important to plan adoption 
and implementation. Regardless of whether they were involved in developing the plan, 
they should be sent a copy and asked to endorse its contents in a memorandum of 
agreement. This step reaffirms that your institution and community are inextricably 
linked when it comes to disaster mitigation. Several groups, in particular, should be 
sought out to endorse the plan.

Emergency Management/Hazard Mitigation Planning. It is particularly important to get the 
endorsement and support of your local office of emergency management and/or local 
hazard mitigation planner. In many jurisdictions, the local emergency management 
jurisdiction has never reviewed the campus emergency/disaster plan. Your committee 
already began to correct this important oversight when emergency management staff 
were invited to become an active participant in this process. The approval of and 
coordination with those responsible for emergency management and hazard mitigation 
for nearby jurisdictions is crucial, especially because funding for pre- and post-disaster 
mitigation is usually coordinated with the state through local jurisdictions. They cannot 
be expected to make informed requests to the state on your behalf if they are unaware of 
your vulnerabilities and your priority for mitigation actions. 

Public Safety/First Responders. In much the same way that the local emergency 
management agency was consulted, first responderspolice, fire/rescue, and emergency 
medical servicesshould also be asked to review and endorse the plan. Depending on 
your location, these organizations may not be directly involved in hazard mitigation, but 
they will be among the first on the scene should a disaster occur at your institution. 
Therefore, it is important for them to be informed of your plan and of any mitigation 
actions that may affect their ability to respond or that could change your institution's 
response requirements.

(Side Bar:
Recent Disasters and Universities
In July 1999, a heat wave resulted in a sustained power outage in New York City. The electricity 
went out at Columbia University and was not completely restored for 2-3 days. In the intervening 
time, researchers at Columbia's College of Physicians and Surgeons lost irreplaceable research 
materialshuman tissue, enzymes and cellsbecause there were not sufficient back-up generators 
to keep freezers or incubators running. Damages to the $200 million research program were 
calculated at many millions of dollars.)
 
Local Political Jurisdictions. It may be appropriate to ask local political jurisdictions to 
formally endorse your plan, depending on your institution's relationship with them. A 
proclamation or other device to recognize your work and show support for disaster 
resistance can often accomplish this. If your community has a local hazard mitigation 
planning initiative underway, your efforts will demonstrate to the community your 
sincere contribution to sustainability. Political jurisdictions can reciprocate by giving 
enhanced credibility to the integration of college and university planning with local 
efforts to make the community safer. University faculty, staff, and students are citizens of 
the community and disasters that affect them strain the entire community. Mitigation 
actions can reduce that burden.

Private Industry. It may be appropriate to ask some of the private industry representatives 
that were involved in the planning process to consider endorsing the final product. 
Having them formally recognize the plan has two advantages. It increases the likelihood 
that they might assist you with in-kind donations of goods necessary for some of your 
mitigation prioritiesperhaps even funding or supporting your fundraising efforts for 
others. It also demonstrates to your institution's leadership that the disaster mitigation 
effort has successfully involved many segments of the community. Some private industry 
stakeholders are more likely than others to be interested in joining forces with the 
university, but a good place to start is with those identified in Phase 1 and other 
appropriate industries with an interest in hazards or disasters.

IMPLEMENTATION
Once the plan has been written and adopted, it must be implemented. A disaster--resistant 
university is continuously striving to reduce the damage caused to its institutional mission 
by the next natural or man-made disaster. Putting the plan in place requires attention to 
coordinating the effort, identifying funding streams, and monitoring progress over the 
long term.

(Side Bar:
Experience
Not every mitigation action requires significant additional resources. The University of 
California, Berkeley, as part of its disaster-resistant University program, decided that 
lab resistance to seismic activity was an important mitigation goal. Reducing the 
vulnerability of research labs to earthquakes was one of its objectives. The planned 
mitigation action relied simply on proper storage and security of chemicals, the physical 
stability of expensive equipment, and the safety of lab personnel from overhead hazards.
The mitigation strategy took advantage of graduate and undergraduate students to conduct a
survey of lab vulnerability and to subsequently implement actions that will reduce the damage 
to people, equipment, and research during the next earthquake.

At the University of North Carolina at Wilmington, knowledge from a Cooperative Extension service agent
who was a specialist in hurricaneresistant landscaping was incorporated into campus landscaping. Thus, 
without requiring any additional funds the institutions tree and shrub stock will be less likely to be 
damaged during the next hurricane.)

Coordinating the Effort
An advisory committee and coordinator were necessary to make the planning effort 
happen. Their responsibility now shifts to coordinating and overseeing the 
implementation of the plan. Implementation means achieving the identifiable, measurable 
outcomes described in the plan. This may require an adjustment to the membership of the 
committee, or a subcommittee may assume this responsibility. In either case, the 
membership of the committee must be re-assessed for appropriateness as the process 
moves to implementation.

The coordinator and committee should develop an implementation strategy. The 
implementation strategy lays out the mitigation actions and their priority, but it 
does not describe your plan for carrying out these actions. Thus, the focus now 
shifts to the steps necessary to bring about these mitigation actions. Questions the 
committee should address in preparing the strategy include:
- Which unit of the institution (e.g., physical plant, buildings and grounds, instruction, 
academic affairs, a particular college or department, etc.) will the actions affect?
- Who are the people in those units that will be responsible for implementing the 
actions?
- What resources are available to support implementation of the measures?
- Can implementation be accomplished with existing resources?
- If not, what additional resources will be required?
- What is the timetable to complete the actions?
- How will the effectiveness of the activities be measured?
- What is the timetable for periodic review of the actions' efficacy?

Funding the Projects
Many mitigation actions can be completed with existing resources. However, the 
coordinator and advisory committee should work with senior administrators to identify 
sources of funding for projects if existing resources are insufficient. Those working to 
secure funding should think creatively, regardless of the size of the project. You have 
worked hard to establish hazard mitigation as a priority on campus and have justified 
mitigation in terms of economic and life safety, but you may still have to aggressively 
pursue funds. 

Several sources of funding exist:

University or System. Identify whether university resources can be redirected from 
another area to meet your needs. Assistance from the business affairs office can help 
determine whether this is possible. If the advisory committee and coordinator have been 
effective at obtaining the support of the chancellor or president, disaster mitigation may 
be prioritized in such a way that when revisions are made to strategic plans, funds will be 
redirected to disaster mitigation. This may be politically divisive, but the conflict will be 
minimized if the entire university community has been kept apprised of your efforts and 
senior administrative officials are supportive. It is important to coordinate your efforts 
with other strategic and long-range planning efforts on campus. Institutional priorities are 
established in these plans, and you should be involved in the appropriate planning 
processes in order to secure funding. There should be some duplication of membership 
across the disaster--resistant university steering committee and other long-range planning 
initiatives on campus.

(Side Bar: Recent Disasters and Universities
In 1998, Hurricane Georges prompted the closure and evacuation of Tulane University. Ultimately, 
the hurricane did not hit New Orleans, but Tulane's risk management practices dictated early
evacuations to protect the university community's safety.)

If your institution is located within a system, public or private, you also need to consider 
resources available at these levels. Depending on the mitigation action you are pursuing, 
the system may be more or less inclined to support your efforts. For example, the retrofit 
of existing structures and the incorporation of hazard-resistant building technologies are 
more likely to get support at the system level than something that is unique to a less 
enduring aspect of the institution, such as lab retrofits. It will be easier to obtain funds for 
your effort if your system is aware of and endorses your plan. However, it is worth noting 
that disaster resistance can only be achieved with some contribution by your own 
institution. Some financial commitment must be present if you hope to successfully 
leverage the additional funding streams detailed below.

(Side Bar: 
Resources
Additional information about potential funding sources for natural hazards mitigation can be found in
the FEMA how-to guide: Developing the Mitigation Plan (FEMA 386-3). For potential sources of funding for
man-made hazards mitigation, consult the FEMA how-to guide: Integrating Human-Caused Hazards
Into Mitigation Planning (FEMA 386-7).)

Local Government. Local governments are an important place to begin your search for 
funding, because even if they do not become a source of funding, their support may be 
required to secure funding from other levels of government or private sources. 
Additionally, funding for mitigation actions may be available at the local level, 
because although local governments are often required to "do more with less," sometimes 
surplus funds do become available. You are more likely to be made aware of possible 
funding and to secure it when it becomes available if you have worked closely with local 
emergency management personnel on the development of your plan and securing their 
formal endorsement. When coordinating your mitigation priorities with those of your 
local jurisdiction, emphasize the fact that major mitigation actions contribute not only to 
the disaster resistance of your institution but also to the overall well-being of the 
community. 

State Government. State government can be an important source of mitigation funding. 
For public institutions, state appropriations are an important part of new construction and 
renovation; while this will be less important for private institutions, working with your 
state hazard mitigation officials ensures that you are informed of funding available for 
mitigation. In addition, state officials are responsible for implementing the pre-disaster 
mitigation funding elements of the DMA 2000. States are the conduit through which most 
FEMA funds flow, including mitigation program funding, and they set the priorities for 
allocating those funds.

(Side Bar:
Experience 
Government affairs officials at your institution represent an important conduit in your 
efforts to stay apprised of Federal legislation and rule changes that could affect your
efforts. They should be informed regularly of your mitigation priorities and invited to 
explore strategies for possible support.) 

Federal Government. A close relationship with mitigation officials in your FEMA 
Regional Office will keep you informed of the availability of and steps to apply for 
Federal hazard mitigation funding. You should also involve your campus' government 
affairs unit so that your institution can fully take advantage of mitigation funding 
opportunities created by Federal legislation and rule changes. A list of FEMA Regional 
Offices appears in Appendix C.

Private Organizations. Your search for mitigation funding should include a survey of 
local, regional, and national organizations in the private sector that may provide support 
for your mitigation priorities. The private sector stakeholders involved in your planning 
process may support or be aware of others that would support some of your disaster 
mitigation priorities. To the extent that mitigation on your campus minimizes your 
interruption from a disaster, and thus the impact of a disaster on the community at large, 
private organizations may be willing to provide some funding to implement portions of 
your plan.

Private foundations of all sizes represent a potential source of mitigation funding. Your 
office of sponsored programs or research administration can assist you in searching for 
foundation opportunities that might support mitigation. Foundations with a direct 
connection to the university or college are especially important. Many institutions have 
"friends of the university/college" foundations that provide support for all types of 
activities on campus. These foundations are excellent resources in your efforts to identify 
funding sources for disaster mitigation.

MONITORING AND EVALUATION
Being disaster-resistant does not end with the completion of the plan and formal 
adoption. Indeed, the final step in implementing the plan is to establish a process for 
regularly monitoring and evaluating your progress. 
Plan Review and Modification

At least once annually, but perhaps even more frequently, the entire hazard mitigation 
plan should undergo a thorough review. Mitigation actions may have been completed, or 
the vulnerability of your institution to a particular hazard may have changed. Changes in 
organizational structure may necessitate different implementation strategies. A disaster 
that presents new challenges to your institution and community may have occurred. 
Furthermore, new stakeholders may have been identified. Regular updates to the plan will 
ensure that it is timely and that the data are current. Doing an abbreviated version of the 
risk assessment and updating the plan and implementation strategies accordingly may be 
sufficient for a comprehensive review of the plan.

The plan may require a new round of endorsements if it has changed substantially. A 
simple notice to the stakeholders of the whereabouts of the new plan and changes from 
the previous document may suffice if the changes are minimal. However, even if there 
have only been minor changes, senior administrators should be made aware of the review 
and apprised of the changes. Plan review and modification is also an opportunity to 
publicize the successes of mitigation actions taken and to reaffirm the continuing 
commitment to disaster mitigation.

Maintaining the Momentum
Key to implementing the plan is maintaining momentum. One of the greatest long-term 
challenges to disaster resistance is waning interest in hazard mitigation. Disasters fade 
into the past, and committed university and community leaders or supporters can change 
their priorities, their minds, or their jobs. Other, weightier problems may arise, and 
attention to them will take human and financial resources away from disaster resistance. 
It is imperative that you establish and cultivate relationships with campus leadership and 
acquire permanent authority to manage disaster resistance efforts.

(Side Bar:
Experience
Capitalize on what disaster researchers often call the teachable moment or window of 
opportunity that emerges in the post-disaster environment. Your efforts to publicize your 
plan and mitigate future damage must be sensitive to the recovery effort, but it does not have to 
be postponed until recovery is complete. In fact, the recovery phase is often when it is easiest 
to retrofit the built environment and affect attitudes about disaster mitigation. Publicizing 
your plan and efforts at disaster resistance is both appropriate and necessary if implementation 
of your goals and priorities is to be achieved.)  

One of the most effective ways to maintain momentum is to publicize successes. You 
may wish to designate a person or group to develop a publicity plan for your efforts; this 
campaign should include ways to keep the university's disaster resistance efforts visible 
to the campus community and the nearby jurisdictions. 

A reality of university life is that problems change, people change in response to 
associated pressures, organization charts change, and people take other positions and 
move away. These all operate to diminish your efforts. However, if the development of 
your mitigation plan has been collaborative and the process has engaged diverse 
stakeholders, your chances of success are good. The larger the planning group and the 
more inclusive the process, the more likely your hazard mitigation program is to retain its 
momentum and continue to reduce losses of life, property, and function from disasters 
long into the future.

CONCLUSION
The first plan that your college or university adopts establishes a baseline from which to 
measure progress.  As you implement and evaluate actions, your knowledge of hazards 
and how to best reduce your vulnerabilities increases tremendously.  In order to 
effectively monitor your progress, it is important to take advantage of the worksheets 
provided here and in the mitigation planning how-to series.  

Over time, new partners will become involved in the planning process, providing 
additional reservoirs of experience and support.  Since the political and social arenas, as 
well as the natural environment, are continually changing, you must periodically revisit 
and update your plan.  As your plan evolves over time, you should see a corresponding 
improvement in your campus's resilience to the damaging effects of disasters.

APPENDIX A:
Worksheet #1:	Build the Planning Team

Worksheet #2:	Hazard Identification and Risk Assessment

Worksheet #3:	Identify the Hazards

Worksheet #4:	Profile Hazard Events

Worksheet #5:	Inventory Assets

Worksheet #6:	Assess Priority Assets

Worksheet #7:	Estimate Losses

Worksheet #8:	Identify Mitigation Actions

"WORKSEET 1 Build the Planning Team"

In establishing a planning team, you want to ensure that you have a broad range of backgrounds, 
responsibilities, and experiences represented. Below are some suggestions for institution 
organizations and departments to include in a planning team. 
Use the checklist as a starting point for forming your team. Check the boxes beside any 
individuals or organizations that you have both on and off campus that you believe should be 
included on your planning team so you can follow up with them.

College/University Administration:
o Chancellor/President
o Vice Chancellor (VC)/Vice President (VP) Planning and Facilities
o VC/VP Budget and Finance
o VC/VP Business
o Planning Entities
o Safety Units (Police, Fire, Environmental Health and Safety, Risk Management)
o Telecommunications/Electronic Communications
o Human Resources
o Development Office
o_________________________________________________________________
o_________________________________________________________________
o_________________________________________________________________

Academic Departments:
o Academic Senate Representatives
o Architecture/Planning
o Engineering/GIS
o Earth Sciences/Geology/Geography/Hydrology (depending on the major hazards)
o Sociology
o Public Administration

Student Representatives:
o Student Council Representatives
o Student Life/Residence Life
o Students from relevant academic departments (vis--vis potential thesis topics)

Community/Off-Campus Representatives:
o Local Emergency Manager
o Emergency Services (Fire/Police)
o Local Emergency Planning Committee Representative
o Local Community Planner
o Local Economic Development Officer

State Representatives:
o State Hazard Mitigation Officer
o State University Liaison
o State Emergency Manager

Local Utilities
o Electric Utility
o Gas Utility
o Water Authority/Sewage Authority
o Telephone Companies/Telecommunications
o Internet/Fiber Optic System
o Transit Authority

"WORKSEET 2 Hazard Identification and Risk Assessment"
Vulnerability Questionnaire

1. What are the hazards in your locale?

2. Do you know the frequency and magnitude of possible future hazard events?
			

3. Has the university/college ever been affected by any hazard events? If so, how?
		

4. Are some parts of the campus particularly vulnerable to damages, or is the entire area vulnerable?
		

5. Are some buildings particularly vulnerable to damages? If so, how?
		

6. What are the uses and occupancies of the vulnerable buildings?
		

7. What will the expected damages dothreaten life safety? Ruin buildings? Destroy equipment and 
computers? Disrupt work?
		

8. Are your utilities vulnerable to damages? How?
		

9. What systems depend on either building functionality or utility functionality?
		

10. What could it cost to repair damages?
		

11. How long could it take?
		

12. How will teaching be affected?
		

13. How will research be affected?
		

14. How will students be affected on campus? 
		

15. How will students be affected off campus?
		

16. Will employees who live in the area be able to get to work?
		

17. Will employees' homes be affected by the hazard event(s)?
		

18. Could the university be closed down for a significant period of time because of possible 
disaster losses?
													
		
Worksheet 3	Identify the Hazards 
(Not Available in TXT format - please view HTML Version) 								

Worksheet 4	Profile Hazard Events
(Not Available in TXT format - please view HTML Version)

Worksheet 5	Inventory Assets
(Not Available in TXT format - please view HTML Version)

Worksheet 6	Assess Priority Assets
(Not Available in TXT format - please view HTML Version)

Worksheet 7	Estimate Losses
(Not Available in TXT format - please view HTML Version)

Worksheet 8	Identify Mitigation Actions
(Not Available in TXT format - please view HTML Version)

APPENDIX B (LIBRARY):
Publications:
Federal Emergency Management Agency (FEMA), Mitigation Resources for Success, FEMA
372.

FEMA, Getting Started, Building Support for Mitigation Planning, FEMA 386-1, FEMA 386-
1CD.

FEMA, Understanding Your Risks, Identifying Hazards and Estimating Losses, FEMA 386-2,
FEMA 386-2CD.

FEMA, Developing the Mitigation Plan, Identifying Mitigation Actions and Implementation
Strategies, FEMA 386-3, FEMA 386-3CD.

FEMA, Bringing the Plan to Life, Assuring the Success of the Hazard Mitigation Plan, FEMA
386-4, FEMA 386-4CD.

National Oceanic and Atmospheric Administration, Community Vulnerability Assessment Tool,
www.csc.noaa.gov/products.

University of California, Berkeley, Economic Benefits of a Disaster-resistant University:
Earthquake Loss Estimation for UC Berkeley, www-iurd.ced.berkeley.edu/pub/WP-2000-02.pdf.

University of California, Berkeley, Seismic Protection of Laboratory Contents, wwwiurd.
ced.berkeley.edu/pub/WP-2003-02.pdf.

Note: To order FEMA publications, please call the FEMA Publications
Warehouse: 1-800-480-2520

Web Sites:
Federal Emergency Management Agency (FEMA): www.fema.gov

FEMA Mitigation Planning: www.fema.gov/fima/planning.shtm

Multi-Hazard Mapping Initiative: www.hazardmaps.gov

American Association of Community Colleges: www.aacc.nche.edu

Campus Safety, Health, and Environmental Management Association: www.cshema.org

Institute for Business and Home Safety: www.ibhs.org

National Association of College and University Business Officers: www.nacubo.org

National Emergency Management Association: www.nema.org

National Voluntary Organizations Active in Disaster: www.nvoad.org

Society for College and University Planning: www.scup.org

State Hazard Mitigation Officers Network: www.hazmit.net

University Risk Management & Insurance Association: www.urmia.org

APPENDIX C:

(IMAGE: Map of the United States broken up by FEMA Regions.)

I. 442 J.W. Mc Cormack POCH
Boston, Massachusetts 02109
(617)223-9540

II. 26 Federal Plaza
New York, New York 10278
(212) 680-3600

III. 615 Chestnut Street
Philadelphia, Pennsylvania 19106
(215) 931-5608

IV. 3003 Chamblee-Tucker Rd.
Atlanta, Georgia 30341
(770) 220-5200

V. 536 South Clark St.
Chicago, IL 60605
(312) 408-5500

VI. Federal Regional Center
800 N. Loop 288
Denton, Texas 76209
(940) 898-5399

VII. 2323 Grand Boulevard
Suite 900
Kansas City, MO 64108
(816) 283-7061

VIII. Building 710, Box 25267
Denver, CO 80225-0267
(303) 235-4800
(303) 235-4976 FAX

IX. 1111 Broadway, Suite 1200
Oakland, CA 94607
(510) 627-7100

X. 130 228th Street, SW
Bothell, WA 98021
(425) 487-4600