STATE AND LOCAL MITIGATION PLANNING

how-to guide

building support for mitigation planning

Version 1.0 September 2002

foreword

introduction

STEP ONE assess community support

task a determine the planning area

task b determine if the community is ready to begin the planning process

task c remove roadblocks

STEP TWO build the planning team

task a create the planning team

task b obtain official recognition for the planning team

task c organize the team

STEP THREE engage the public

task a identify the public

task b organize public participation activities

task c develop a public education campaign

afterword

appendix a glossary

appendix b library

appendix c worksheet

appendix d example questionnaire

i

v

1-1

1-2

1-3

1-5

2-1

2-2

2-8

2-8

3-1

3-2

3-3

3-6

a-1

b-1

c-1

d-1

contents

1

2

3
STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

the

hazard

mitigation

planning

process

Hazard mitigation planning is the

process of determining how to reduce or eliminate the loss of life and

property damage resulting from

natural and human-caused hazards.

Four basic phases are described for

the hazard mitigation planning process as shown in this diagram.

For illustration purposes, this diagram portrays a process that appears to proceed sequentially. However, the mitigation planning process

is rarely a linear process. It is not

unusual that ideas developed while

assessing risks should need revision and additional information while

developing the mitigation plan, or

that implementing the plan may result in new goals or additional risk

assessment.

foreword

i Version 1.0 September 2002

foreword

The Federal Emergency Management Agency (FEMA) has

developed this series of mitigation planning "how-to" guides to

assist states, communities, and tribes in enhancing their hazard

mitigation planning capabilities.

These guides are designed to provide the type of information state

and local governments need to initiate and maintain a planning

process that will result in safer communities. These guides are

applicable to states and communities of various sizes and varying

ranges of financial and technical resources.

This how-to series is not intended to be the last word on any of the

subject matter covered; rather, it is meant to provide easy to understand guidance for the field practitioner. In practice, these guides

may be supplemented with more extensive technical data and the

use of experts when necessary.

mit-i-gate\ 1: to cause to

become less harsh or hostile; 2: to make less severe

or painful.

As defined by DMA 2000- hazard mitigation: any sustained action taken to

reduce or eliminate the long-term risk

to human life and property from hazards.

plan-ning\: the act or process of making or carrying out plans; specif: the

establishment of goals, policies, and

procedures for a social or economic

unit.

The Disaster Mitigation Act of 2000

In the past, federal legislation has provided funding for disaster relief, recovery, and some hazard

mitigation planning. The Disaster Mitigation Act of

2000 (DMA 2000) is the latest legislation to improve this planning process and was put into motion on October 10, 2000,

when the President signed the Act (Public Law 106-390). The

new legislation reinforces the importance of mitigation planning and emphasizes planning for disasters before they occur. As such, this Act establishes a pre-disaster hazard mitigation program and new requirements for the national

post-disaster Hazard Mitigation Grant Program (HMGP).

Section 322 of the Act specifically addresses mitigation planning at the state and local levels. It identifies new requirements that allow HMGP funds to be used for planning activities, and increases the amount of HMGP funds available to

states that have developed a comprehensive, enhanced mitigation plan prior to a disaster. States and communities must

have an approved mitigation plan in place prior to receiving

post-disaster HMGP funds. Local and tribal mitigation plans

must demonstrate that their proposed mitigation measures

are based on a sound planning process that accounts for the

risk to and the capabilities of the individual communities.

State governments have certain responsibilities for implementing Section 322, including:

 Preparing and submitting a standard or enhanced state

mitigation plan;

 Reviewing and updating the state mitigation plan every three years;

 Providing technical assistance and training to local governments to assist them in applying for HMGP grants

and in developing local mitigation plans; and

 Reviewing and approving local plans if the state is designated a managing state and has an approved enhanced plan.

DMA 2000 is intended to facilitate cooperation between state

and local authorities, prompting them to work together. It encourages and rewards local and state pre-disaster planning

and promotes sustainability as a strategy for disaster resistance. This enhanced planning network will better enable local and state governments to articulate accurate needs for

mitigation, resulting in faster allocation of funding and more

effective risk reduction projects.

To implement the new DMA 2000 requirements, FEMA prepared an Interim Final Rule, published in the Federal Register on February 26, 2002, at 44 CFR Parts 201 and 206,

which establishes planning and funding criteria for states and

local communities.
ii STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

The how-to guides cover the following topics:

Getting started with the mitigation planning process,

including important considerations for how you can

organize your efforts to develop an effective mitigation

plan (FEMA 386-1);

Identifying hazards and assessing losses to your community or state (FEMA 386-2);

Setting mitigation priorities and goals for your community or state and writing the plan (FEMA 386-3);

Implementing the mitigation plan, including project

funding and maintaining a dynamic plan that changes

to meet new developments (FEMA 386-4);

Evaluating potential mitigation measures through the

use of benefit-cost analysis and other techniques (FEMA

386-5);

Incorporating special considerations into hazard mitigation planning for historic structures and cultural resources (FEMA 386-6);

Incorporating considerations for human-caused hazards

into hazard mitigation planning (FEMA 386-7);

Using multi-jurisdictional approaches to mitigation

planning (FEMA 386-8); and

Finding and securing technical and financial resources

for mitigation planning (FEMA 386-9).

Why should you take the time to read

these guides?

It simply costs too much to address the effects of disasters only after they happen;

State and federal aid is usually insufficient to cover the

extent of physical and economic damages resulting from

disasters;

You can prevent a surprising amount of damage from

hazards if you take the time to anticipate where and how

they occur;

You can lessen the impact and speed the response and

recovery process for both natural and human-caused

hazards; and
iii Version 1.0 September 2002

foreword

The most meaningful steps in avoiding the impacts of

hazards are taken at the state and local levels by officials

and community members who have a personal stake in

the outcome and/or the ability to follow through on a

sustained program of planning and implementation.

The guides focus on showing how mitigation planning:

Can help your community become more sustainable and

disaster-resistant through selecting the most appropriate

mitigation measures, based on the knowledge you gain

in the hazard identification and loss estimation process;

Can be incorporated as an integral component of daily

government business;

Allows you to focus your efforts on the hazard areas most

important to you by incorporating the concept of determining and setting priorities for mitigation planning

efforts; and

Can save you money by providing a forum for engaging in

partnerships that could provide technical, financial,

and/or staff resources in your effort to reduce the

effects, and hence the costs, of natural and humancaused hazards.

These guides provide a range of approaches to preparing a hazard

mitigation plan. There is no one right planning process; however,

there are certain central themes to planning, such as engaging

citizens, developing goals and objectives, and monitoring progress.

Select the approach that works best in your state or community.
introduction
Version 1.0 September 2002 v

introduction

This first guide in the State and Local Mitigation Planning

How-to series discusses the activities and issues involved in

initiating a hazard mitigation planning process. The topics covered

here are presented within the context of the beginning phase of

the mitigation planning process, although many of these activities

will continue more or less behind the scenes throughout the

process. Therefore, the efforts you put into identifying and organizing your resources early on will pay dividends later as you

progress through some of the more challenging tasks of mitigation

planning. This how-to guide thus covers not only this first phase of

the planning process, but also provides snapshots of later phases.

You will then be able to begin the planning process knowing ahead

of time what types of resources you may need to call upon in the

future. Lastly, but perhaps most importantly, elected officials,

community staff, citizens, and businesses will benefit from the

knowledge, organization, positive attitude, and energy that you and

your team demonstrate.

Phases of Emergency

Management

To better structure the way in which

communities in the United States respond to disasters, the "four phases of

emergency management" were introduced in the early 1980s after the similarities between natural disaster preparedness and civil defense became

clear. This approach can be applied to

all disasters.

Mitigation is defined as any sustained

action taken to reduce or eliminate

long-term risk to life and property

from a hazard event. Mitigation, also

known as prevention, encourages

long-term reduction of hazard vulnerability. The goal of mitigation is to

save lives and reduce property damage. Mitigation can accomplish this,

and should be cost-effective and environmentally sound. This, in turn,

can reduce the enormous cost of disasters to property owners and all

levels of government. In addition,

mitigation can protect critical community facilities, reduce exposure to

liability, and minimize community disruption. Examples include land use

planning, adoption of building codes,

and elevation of homes, or acquisition and relocation of homes away

from floodplains.

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, 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.

Communities that already participate in other

FEMA programs such as the Community Rating System (CRS),

Flood Mitigation Assistance Program (FMA), and Hazard Mitigation

Grant Program (HMGP), but are interested in updating current plans

to account for additional hazards and current regulations, should skim

through this guide to verify that they have a good framework in place for their

(potentially multi-hazard) planning effort before starting the hazard identification

and risk assessment work described in the second how-to guide, Understanding

Your Risks: Identifying Hazards and Estimating Losses (FEMA 386-2). You should

also check with the State Hazard Mitigation Officer (SHMO) for any additional

planning requirements that must be met within your particular state or region.

Using a planning approach in hazard

mitigation

Hazard mitigation is any action that reduces the effects of future

disasters. It has been demonstrated time after time that hazard

mitigation is most effective when based on an inclusive, comprehensive, long-term plan that is developed before a disaster actually

occurs. However, in the past, many communities have undertaken

mitigation actions with good intentions but with little advance
vi STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

planning. In some of these cases, decisions have been made "on

the fly" in the wake of a disaster. In other cases, decisions may have

been made in advance but without careful consideration of all

options, effects, and/or contributing factors. The results have been

mixed at best, leading to less than optimal use of limited resources.

Understandably, there is often pressure to do something tangible

as quickly as possible, especially in the period immediately following a disaster. This type of response frequently occurs at the expense of working out which projects and policies would be the best

ones to pursue through some sort of planning process.

The primary purpose of hazard mitigation planning is to identify

community policies, actions, and tools for implementation over the

long term that will result in a reduction in risk and potential for

future losses community-wide. This is accomplished by using a

systematic process of learning about the hazards that can affect

your community or state, setting clear goals, identifying appropriate actions, following through with an effective mitigation strategy,

and keeping the plan current.

Effective planning forges partnerships that will bring together the

skills, expertise, and experience of a broad range of groups to

achieve a common vision for the community or state, and can also

ensure that the most appropriate and equitable mitigation projects

will be undertaken. Hazard mitigation planning is most successful

when it increases public and political support for mitigation programs, results in actions that also support other important community goals and objectives, and influences the community's or state's

decision making to include hazard reduction considerations.

Communities with up-to-date mitigation plans will be better able to

identify and articulate their needs to state and federal officials,

giving them a competitive edge when grant funding becomes

available. Planning also enables communities and states to better

identify sources of technical and financial resources outside of

traditional venues.

In general, the amount of effort that citizens put into planning

often reflects the significance of the problems to members of the

community. However, since many citizens are not even aware that

vulnerability to hazards may be an issue within their community,

hazard mitigation planning is often hindered by:

Lack of understanding of the hazards and risks and that

effective solutions to these issues are available;

In 1996, FEMA estimated

that Oregon had avoided

about $10 million a year in flood losses

because of strong land-use planning

that considers natural hazards. This was not accomplished by accident but

through the foresight of previous Oregon administrations to call for local plans

to include inventories, policies, and ordinances to guide development in hazard-prone areas for the previous 25

years. Using a comprehensive approach to planning has resulted in reduced losses from flooding, landslides,

and earthquakes.

Getting Started: Building

Support for Mitigation Planning is part of a series of guides that

will help you identify, plan, and evaluate measures that can reduce the impacts of natural hazards in your

community or state through a comprehensive and orderly process known as

Hazard Mitigation Planning.

As detailed in the Foreword, the process consists of four basic phases as

shown below. This guide, Getting

Started, addresses the first phase of the

planning process, which consists of creating a mitigation planning team that

has broad representation, and developing public support for the planning

process. The second phase, Assess

Risks, explains identifying hazards and

assessing losses. The third and fourth

phases, Develop a Mitigation Plan and

Implement the Plan and Monitor

Progress, discuss establishing goals

and priorities, selecting mitigation

projects, and writing, implementing, and

revisiting the mitigation plan, respectively.
introduction

vii Version 1.0 September 2002

What is Planning?

It is important to have a good understanding of what

is meant by "planning" in this context. As a general

practice, planning is a way that people figure out

how to accomplish a goal or solve a problem. The methods

for planning are quite varied, based on what people are trying to do. The following examples of planning in your personal life can be used to understand the different approaches

to planning, including mitigation planning.

Sometimes people plan as they go, literally making it up along

the way. For example, if you decide to take a weekend drive

in the country with your family, the "plan" simply consists of

deciding when to leave the house and the general direction

you will take to get out of town. As you travel the roadways,

your family makes decisions about where to stop, where to

turn, and when to head back home, i.e., the plan continues to

be developed as it occurs. This type of planning is fine when

the desired result is simply to have an experience without a

lot of specific expectations.

When there is a more specific goal in mind, a more thoughtful planning approach is required. For example, this time your

family needs to visit relatives in a distant city. You research

and evaluate your options for traveling, weighing the cost of

various transportation alternatives (cars, trains, airplanes, etc.)

versus the amount of time it requires for each mode of transport. You decide on a method and a time to travel that meets

your needs and budget, make the necessary travel arrangements, and undertake the journey. In so doing, the planning

process helps you realize the goal of visiting your relatives

using your resources (in this case, time and money) in the

most efficient manner. This approach only involves a few

simple steps – researching and comparing options, and implementation – and works well to attain a single distinct result.

When the ultimate goal is more complex, however, the planning process required to reach a successful result must acWhy Follow a Planning Process?

The planning process is as important as the plan itself. A thorough

planning process can help your community or state:

 Create a vision of what it wants to become in the future.

 See the big picture of how the economy, environment, and people will change.

 Select and agree on common goals.

 Involve as many people, local organizations, and businesses as possible.

 Find out how much time, money, and other resources are necessary to

create positive change.

 Regularly evaluate the success of the plan in achieving your goals, and

update the plan as needed to account for new information, changes in community goals, or new laws and regulations.

 Develop connections with organizations and institutions that will sustain

your planning outcomes.

count for more issues and takes a little more effort. Suppose

you want to plan for your eventual retirement so that you and

your spouse will have enough funds to take care of your basic needs and to enjoy yourselves. You (perhaps with the help

of a financial advisor) take stock of your resources and earning potential, your likely expenses over time, and options for

saving and investing your money to provide different levels of

return and security. As part of this process, you evaluate the

risk that is inherent in different types of investments, the number of years you will be working and saving, and a host of

other factors. During the planning process, you will probably

refine and revise your retirement goals as you find out more

about what you can realistically accomplish. Also, an important difference in this type of planning process, compared

with the previous two examples, is that you will be making

decisions about how to start your investment program, but if

you are wise, you will revisit your financial plan from time to

time to make sure it continues to fit your needs and capabilities.

In doing so, you will have embarked on a long-term planning

process that:

 Has an overarching mission (in this example, "attaining financial security") but also allows for flexibility regarding specific actions to be taken as the plan develops;

 Accounts for the interactions of a number of dynamic

factors that might influence your decision making; and

 Does not have a finite life span, i.e., ultimate success

requires periodic attention through the years to make

sure that your mission is attained.

You have also expanded your decision-making framework in

such a way that all of the other decisions in your life will now

have to consider your financial goals with respect to retirement. Your retirement goals have now become integrated into

other important decisions in your life.
viii STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

Lack of readiness to begin or to invest in the process

due to this lack of understanding; and

Difficulty obtaining resources to undertake a planning

process.

Elected officials have to balance many competing interests. Their

efforts and resources are often consumed by what are considered

more immediate concerns; e.g., finding solutions to congested

roadways, fluctuating economic conditions, overcrowding in

schools, etc. It is difficult sometimes to dedicate the limited resources of a community toward dealing with a problem such as

hazard risk reduction, especially when the problem may be difficult

to recognize on a daily basis.

When communities or states have not experienced significant

disasters within recent memory, the true magnitude of the problem

may not be recognized. Even if the basic threats are generally

known, the descriptions often used to characterize the magnitude

of events can mislead the public as to the inherent risk. For example, a "100-year flood" can sound like something you don't have

to worry about in the short term, but in reality it can strike at any

time.

If communities do not believe that they are at risk from potential

hazards, efforts to initiate citizen involvement and partnerships

may be for naught. Many residents assume that current building

codes, zoning regulations, subdivision review processes, and/or

permitting will adequately protect them, but this is not always the

case. Education is a key part of the planning process, and overcoming a lack of awareness should be an integral part of the planning

process.

A community self-assessment tool is provided in Step 1 of this

guide to determine what issues may need to be tackled before any

significant efforts in planning are initiated. This guide points you

in the direction of a number of resources that can be used to help

convince the right people that mitigation planning is worth the

effort and is a good investment for the future of your community

or state. This is particularly important early on to set the proper

context for the initiation of partnerships and citizen involvement

throughout the planning process. The results of your self-assessment can be folded into your capability assessment (Phase 3 of the

planning process) to help define the appropriate mitigation

actions your community will support. Furthermore, this guide

provides information on various ways mitigation planning may be

Guidelines for

Community-Wide

Planning

 Planning is not a product,

but rather a process. Effective planning efforts result in highquality and useful plans, but written

plans are only one element in the

process.

 Planning must be based on a realistic assessment of hazards and of the

likely consequences of disaster

events. Hazard and vulnerability assessments are integral to all community-wide planning efforts.

 Planning efforts should be based as

much as possible on a community's

disaster experience, information on

the experiences of other communities, and research-based planning

principles. Both experience and research help communities understand what to expect when disasters

occur.

 No agency or organization should

plan for disasters in isolation from

other organizations whose efforts are

required to make plans work. With

this goal in mind, a critical initial task

in all planning efforts is to identify and

engage planning partners at the very

start of the planning process.

 In addition to being multi-organizational, the planning process must

also be inclusive – that is, it should

involve governmental agencies at

various levels, as well as private sector and community-based organizations.

 Planning efforts should seek to provide a range of benefits and incentives for those involved in the process

– benefits that they will receive even

if disasters do not occur.

 While planning is a long-term process, that process should involve

tangible milestones and intermediate successes on which future efforts

can build.

Source: Project Impact Evaluation Team,

University of Delaware Disaster Research

Center, 2002.
introduction

Version 1.0 September 2002 ix

integrated into existing community or state planning processes so

that over time, hazard reduction becomes part of the fabric of

planning for community growth and change, and is not seen as an

additional or adjunct planning effort. This integration will also

enable communities to seek out resources for mitigation planning

that previously may have been overlooked as viable.

This introductory material assumes that you, the reader, have some

knowledge of hazard mitigation but do not know much about

mitigation planning. This guide also assumes you are uncertain

about how much support you may have within your community or

state to undertake such an effort. This guide provides you, and

others like yourself, background information and basic steps to

help you organize and initiate your planning effort.

How do you use this and other how-to

guides?

Developing a plan is a first step toward an end or goal. This guide

shows how to use the planning process to reach your goal(s) and to

engage key people to buy in and create momentum toward that

end.

The planning process is as individual as the jurisdiction that engages in it. Each community or state approaches growth and

change in a unique way, and your planning process should fit your

community's particular 'personality.' As a result, you should not

consider the step-by-step sequence included in this and other howto guides to be the only way to pursue mitigation planning. At the

same time, the process illustrated here is based on certain steps

common to successful planning. Getting Started provides detailed

information on the first of four phases of the hazard mitigation

planning process as described in the how-to guides.

Organize Resources. The first phase of the mitigation planning

process includes assessing your readiness to plan, establishing a

planning team, securing political support, and engaging the

community.

Assess Risks. The second phase of the mitigation planning process

involves identifying and evaluating natural hazards and preparing

damage loss estimates. Knowing where hazards can affect your built

environment and the likely outcome of damages and losses resulting from a hazard event will help you focus on your most important

assets first. This will build the scientific and technical foundations

of your mitigation strategy. This phase of the mitigation planning

If after reviewing

these materials, you feel you

have completed all the steps

in Phase 1 as a result of

other related planning processes, then go to Phase 2, Assess

Risks – Understanding Your Risks

(FEMA 386-2).
x STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

process is explained in Understanding Your Risks: Identifying Hazards

and Estimating Losses (FEMA 386-2).

Develop a Mitigation Plan. The third phase of the mitigation

planning process builds on the risk assessment by developing the

mitigation goals and objectives and ensuring that you are focusing

on the identified risks and potential losses. This phase focuses on

identifying mitigation measures to help achieve your goals and

objectives and reduce future disaster-related losses, and then

capture your efforts in a written plan document. This phase of the

mitigation planning process will be explained in Developing a

Mitigation Plan: Identifying Mitigation Measures and Implementation

Strategies (FEMA 386-3).

Implement and Monitor Progress. The fourth phase of the mitigation planning process involves adopting, implementing, monitoring, and reviewing the plan to ensure that the plan's goals and

objectives are met. Periodic review of the plan will help keep the

plan current, reflecting the changing needs of the community or

state. This phase of the mitigation planning process will be explained in Bringing the Plan to Life: Assuring the Success of the Hazard

Mitigation Plan (FEMA 386-4).

The planning process outlined in this series of how-to guides will

help you meet the basic planning requirements of FEMA's mitigation programs. You must keep in mind, however, that different

FEMA mitigation programs, such as those in Table 1, sometimes

have different planning requirements that must be met to be

eligible for participation in these programs. Therefore, when

submitting a plan, you can either tailor it according to the specific

criteria of the program, or submit a comprehensive, multi-hazard

plan that includes a "crosswalk," i.e., identify for the reviewer what

sections of the plan address the program's requirements. For

example, if you are completing a Flood Mitigation Assistance

(FMA) program or Community Rating System (CRS) plan, it may

need to be expanded to receive credit under DMA 2000, but if you

complete a DMA plan, all other program requirements are likely to

be met.

The Disaster Mitigation Act of 2000 is

also driving the strengthening of many pre-existing mitigation planning requirements for non-mitigation-related programs. For example, the Fire

Management Assistance Grant Program was authorized by Section 420 of

the Stafford Act and by DMA 2000, and

provides for the amelioration, management, and control of any fire on publicly

or privately owned forest or grassland

that threatens such destruction as

would constitute a major disaster. Assistance must be requested while the

fire is still burning and constitutes the

threat of a major disaster. Grants are

provided through the Grantee to state

and local governments and Indian tribal

governments at a 75 percent federal

cost-share provided that fire hazards

are addressed in an existing state

mitigation plan. Program regulations

for the Fire Management Assistance

Grant Program are located in 44 CFR

Part 204.

FEMA developed guidance

to meet planning criteria in DMA 2000

for communities with plans created under other FEMA programs. Some states

may have criteria that meet or exceed

the recommendations for planning

found in this document. Contact your

state emergency management office for

additional guidance regarding the

unique planning considerations within

your state.
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xi Version 1.0 September 2002

Table 1. Hazard Mitigation Planning Process Local Planning Requirements By Program

FEMA How-to

Series

Hazard Mitigation Grant

and Pre-Disaster

Mitigation Program

(DMA 2000 Plan Criteria)

Flood Mitigation

Assistance Program

Community Rating System

Floodplain Management

Planning

(10-Step Process)

Phase 1

Organize

Resources

Coordination among

agencies

Coordination with other

agencies or organizations. Coordination with other agencies

Integration with other

planning efforts Involve the public, including a

description of the planning

process. Public involvement

may include workshops, public

meetings, or public hearings.

Involve the public

Involve the public throughout the

planning process Organize to prepare

the plan State coordination of local

mitigation planning

Phase 2

Assess Risks

Identify all hazards

Flood hazard area inventory

that identifies the flood risk,

including estimates of the

number and types of structures

at risk and repetitive loss

properties.

Assess the flooding

hazard

Profile hazard events

Assess vulnerability

Problem identification, including

a description of the existing

flood hazard, the extent of flood

depth and damage potential,

and the applicant's floodplain

management goals.

Assess the problem

Estimate potential losses

Phase 3

Develop the

Mitigation Plan

Documentation of planning process

Review of possible mitigation

actions, including the

identification and evaluation of

cost-effective and technically

feasible mitigation actions.

Set goals

Capability assessment Review possible activities

Develop hazard mitigation goals

Draft an action plan Identification and analysis of

mitigation measures

Funding sources

Phase 4

Implement and

Monitor

Progress

Adoption

Documentation of the formal

plan adoption by the legal

entity submitting the plan

(e.g., Governor, mayor,

county executive).

Adopt the plan

Implementation of mitigation

measures

Implement, evaluate, and revise

the plan

Implementation through existing

programs

Monitoring, evaluation, and

updating the plan

Continued public involvement

Planning Requirements
xii STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

Types of information found in the how-to

series

The how-to series contains several types of information. Some

information is highlighted with icons. Additional information can

be found in Appendix B, Library. To illustrate how the how-to

information is used, newspaper articles of the fictional town of

Hazardville are provided.

Icons

Guidance focused solely on the role of "states" is identified as a

sidebar with this icon. Although much of the information will be

the same for local, tribal, and state governments, there are different requirements for state and local mitigation plans. Furthermore,

states have additional responsibilities to assist local entities in their

planning efforts. Guidance focusing on local governments applies

to tribes as well.

The "DMA" icon provides information relating to the mitigation

planning requirements outlined in the Disaster Mitigation Act

(DMA) of 2000.

The "Caution" icon alerts you to important information and ways

to avoid sticky situations later in the planning process.

The "Glossary" icon identifies terms and concepts for which a

detailed explanation is provided in the Glossary included in Appendix A.

The "Tips" icon identifies helpful hints and useful information

that can be used in the planning process.

Library

A mitigation planning "Library" has been included in Appendix B.

The library has a wealth of information, including Web addresses,

reference books, and other contact information to help get you

started. All of the Web sites and references listed in the how-to

guide are included in the library.

Town of Hazardville Articles

Applications of the various steps in the mitigation planning process

are illustrated through a fictional community, the Town of
introduction

xiii Version 1.0 September 2002

The Hazardville Post

Vol. CXI No. 65 Thursday, January 22, 2002

[Hazardville, EM] Mayor

McDonald returned from the annual National Conference of Mayors last week seemingly a new man.

"It all fits now, like finding a giant

missing piece of a jigsaw puzzle!"

Mayor McDonald excitedly proclaimed in a press conference yesterday. The Mayor attended several

workshops focusing on communities

that have incorporated sustainable

development concepts into their

city, county, and town planning.

"These communities are now safer

places to live, work and do business,

and I want that for Hazardville as

well," McDonald said.

A major component of this sustainable development is hazard

Hazardville, located in the State of Emergency. Hazardville, a small

community with limited resources and multiple hazards, is developing a multi-hazard mitigation plan. Newspaper accounts illustrate

the various steps in the mitigation planning process.

Worksheet

Finally, to help track your progress, a worksheet has been developed to correspond with Step 2 of this guide. This worksheet is

included at the end of Step 2 and also in Appendix C. Use this

form to record your progress as you undertake the process of

building support for mitigation planning.

Mayor Declares a New Way of Thinking

for the Town of Hazardville

mitigation, which is any action that

reduces or eliminates the loss of life

or property damage resulting from

hazards such as floods, earthquakes,

hazardous material spills, and tornadoes. Mayor McDonald said, "Although we have a Floodplain Administrator, we really haven't considered the many other types of

natural and human-caused hazards,

which is surprising when you consider that we seem to be vulnerable

to many different hazards. Our community has not been using the planning department to deal with risk

reduction, and after a closer look, I

feel our planning department

should play a larger role in supporting risk reduction programs. The

planning department maintains a

wealth of information on existing

infrastructure, buildings, and population demographics, and keeps up

with growth issues in and around

Hazardville. It also manages the local planning process, and thus understands what is important to citizens as Hazardville grows and

changes. They are in a pivotal position to help guide our mitigation

planning process."

Mayor McDonald has been very

busy meeting in closed-door sessions

with members of the Town Council

and several members of the town

government this week. He has

promised to release more information in the next few days.
step
1

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assess

community

Overview support

Much of mitigation planning involves cycles of learning about

your community and then acting on what you have discovered. The more you understand the issues, important concerns,

and capabilities in your community, the more you can develop a

planning process that reflects community values and thereby generates support for projects and outcomes.

Among the first steps in the planning process is measuring the

level and source of community support for planning, and working

on securing any needed support where gaps are identified. Step 1

provides questions to prompt you to identify and obtain appropriate sources of necessary ingredients for successful planning. Step 1

also discusses how to determine the appropriate geographic area in

which to focus the planning effort. Step 2 will assist you in seeking

answers to the questions posed in Step 1 so that you can begin to

establish the organizational framework for the planning effort.

The remainder of this section provides guidance on how to deal

with deficiencies in any of these particular areas. If your community is really ready to go, that is great! If not, as is more frequently

the case, you may need to work hard to build support. This may

take a couple of meetings or many months, depending on the

community's level of readiness. Once you have "primed the pump,"

you can begin enlisting others to form the planning team, Step 2

of Getting Started.

Mitigation planning is not a linear

process. With the exception of the risk assessment, most tasks can be completed in any order

that works for the community, particularly when you

are working on building support in your community. For example, what would happen if you completed Step 1 and determined that the appropriate level of government for your

mitigation planning efforts was the town, but later on, you

realized the town did not have sufficient resources or the

proper authority to develop and approve the mitigation plan?

You may need to revisit this step after contacting the county.

Furthermore, if the community is not ready to plan (i.e., there

is no political support for planning or the community has inadequate funding), it may be more appropriate in some cases

to begin instead with Step 3, Engage the Public to build public pressure to support mitigation planning. This will allow the

community to build the support for planning before the planning team is established. It is also possible that you will have

to complete a minimal type of risk assessment in order to

obtain support for the planning process. In that case, you would

refer to Understanding Your Risks (FEMA 386-2).
1-2 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

Defining the

Planning Area

States should help communities to determine the optimal planning areas in which they will

work. This determination may be based

on state planning goals, statewide planning initiatives already underway, and

resource availability.

Procedures and techniques

Task A. Determine the planning area.

In consultation with the state, identify the areas or jurisdictions to

be included in the mitigation planning process. Local governments

most often create a mitigation plan that covers their entire political

jurisdiction, be it a county, city, township, parish, borough, or unincorporated community that falls under a county's jurisdiction, but

the plan does not usually cross jurisdictional boundaries.

In many instances, however, planning on a broader scale can bring

additional resources, such as staff and experience, to the effort and

can help to address hazards that may originate outside of a

community's jurisdictional boundaries. It may be a practical and

cost-saving way to approach hazard reduction for a large number of

communities, particularly if hazards and vulnerabilities are similar

across a large area. An example of a multi-jurisdictional planning

area would be several towns located along the same fault zone

whose main hazard is earthquakes, or communities that lie within

the same watershed.

Smaller jurisdictions may also benefit from working together because of the additional resources and expertise that collaboration

can bring. Many counties with numerous townships and incorporated municipalities may use a county approach simply for the sake

of streamlining, since counties often provide emergency management services to their jurisdictions, whether incorporated or not.

Communities should also consider working with an existing regional planning commission or other regional planning organization.

A multi-jurisdictional approach carries with it the increased opportunity for conflict, however, so if you have the option of choosing a

jurisdiction with which to work, care should be given to selecting

jurisdictions with similar characteristics and goals.

Consider including localities that you have teamed with in the past.

Your jurisdiction already may be working together with another

nearby jurisdiction, or may work closely with a regional planning

district. If so, it may be a natural fit to become part of a larger planning area. How your planning area is defined is up to you and the

state, but the one thing that the jurisdictions must have in common is the commitment and the shared sense that something

needs to change. For more detailed guidance, see Multi-Jurisdictional Approaches to Mitigation Planning (FEMA 386-8).

Reasons for MultiJurisdictional Planning

 Creates partnerships.

 Is practical for addressing issues

best dealt with on a larger scale, such

as watersheds, which do not recognize political boundaries.

 Takes advantage of existing planning

mechanisms, such as regional planning organizations.

 Can create economies of

scale and enable pooling

of limited resources.

While DMA 2000,

along with CRS and FMA,

allow multi-jurisdictional

plans, you should still check

with the State Hazard Mitigation Officer (SHMO) to determine if

this is a viable approach.

Under DMA 2000

regulations, local governments may be defined in

many different ways. A local

government may be defined

by a political boundary such as an incorporated city, county, parish, or township, or it might not have a distinct

political boundary, for example a watershed or metropolitan region.
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Task B. Determine if the community is ready to begin the

planning process.

Below is a series of questions designed to help you assess the availability of key elements necessary for a successful planning process:

KNOWLEDGE, SUPPORT, and RESOURCES. Seeking answers to

these questions will help you determine what you should focus on

to ensure that you have the necessary ingredients in place to begin

planning:

Knowledge. Answering the following four questions can help you

begin to determine the level of understanding about hazard mitigation planning and risk reduction in your community. If you determine that your public officials are either unfamiliar with hazard

mitigation or unconvinced that investing in mitigation measures

before a disaster strikes will save more money than it would cost to

recover from the disaster, you should consider engaging in the activities related to "Knowledge" that are included later in this step

under Task C to help increase knowledge of hazard mitigation in

your community.

1. How much do elected and/or appointed officials know

and understand about hazards in their area? Do they

know what they and the community can do to reduce

their effects? Has there been recent disaster (or severe

weather) activity?

2. How much do the citizens know about hazards in the

community?

3. Do officials and citizens understand that their actions,

behavior, and decisions affect their vulnerability and

that steps can be taken to reduce risks?

Consult with the State Hazard Mitigation Officer

(SHMO)

The states play an important role in determining the appropriate planning area for local hazard mitigation planning efforts. Given the diversity of state and local planning authorities throughout the nation, the DMA and

the Interim Final Rule define "local government" broadly and provide the states

with the necessary flexibility to determine how local governments will be involved in the hazard mitigation planning process. Some states may encourage a

particular level of local government to have the lead responsibility for "local" plan

development – be it an incorporated municipality, township, county or regional

level of government. Other state mitigation planning programs may encourage a

considerable range of flexibility in how communities can work together with adjacent jurisdictions, such as the development of local hazard mitigation plans on

a watershed basis. Communities should contact the state emergency management office and, in particular, the SHMO, early on to obtain guidance for determining the appropriate planning area.

States should assist local jurisdictions in assessing support

for mitigation planning. In

addition, states should build

their own support for mitigation planning

by educating new state officials and department heads and seeking to build

collaborative relationships.
1-4 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

4. Is there a difference between the risk perceived by the

community and the actual risk (to the extent that risk

is currently known)?

Support. Answering the following questions can help you begin to

determine the level of support for hazard mitigation planning and

mitigation project implementation in your community. If you determine that your local government elected and/or appointed officials or citizens do not know how they and the private sector can

support mitigation, consider engaging in activities related to "Support" included later in this step under Task C to help identify strategies to increase the level of support for hazard mitigation. If you

are unfamiliar with other types of planning activities at work in

your community that can help support mitigation planning and

activities, review these examples as well in the "Support" section

under Task C.

5. Do elected and appointed officials understand how

local, state, and federal levels each support hazard

mitigation and emergency management?

6. Is there something (not necessarily hazard-related)

that citizens are dissatisfied with that may be located in

a hazard area (i.e., tourism, economic development,

blight, transportation issues) that could be dealt with

in context of mitigation planning? How can the mitigation plan contribute to other planning initiatives?

7. How likely is it that there will be an individual to serve

as a champion to provide leadership and/or support

for mitigation planning (individual, organization, or

business)?

8. What would it take to identify or recruit a planning

team leader? How will you capitalize and build on expanding enthusiasm?

9. Is there an existing FMA or CRS flood mitigation plan

or other single hazard plan?

10. Is there an existing system for planning in the community? Is there a planning department? A community

plan? Are there local staff with planning capabilities

with whom you can collaborate?

11. Is there a history of community interest and/or involvement in environmental issues? Recreational issues? Safety issues?
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12. Is there an existing land use map, GIS system, contour

map, soils map, topographic map, or other material

that can be used to better understand the hazards context of the community?

Resources. Answering the following questions can help you begin

to determine the availability of resources and capabilities for hazard mitigation planning and mitigation measures in your community. If you determine that you are unfamiliar with programs that

may be available in your community or state, or need financial resources to initiate the planning process, consider the activities related to "Resources" that are included later in this step under Task

C to help identify untapped resources to support hazard mitigation.

13. Are you aware of the range of non-FEMA or non-mitigation programs available to assist in mitigation

projects?

14. What are the major employers, industries, and organizations that help shape the culture of the community?

Are they willing to be involved?

It may be difficult to obtain these answers. If so, you may wish to go

ahead and begin to build your planning team knowing that you

can come back to this section for guidance on issues related to

knowledge, support, and resources for planning. The answers to

these questions should be compiled and incorporated into your

plan document, particularly in the capability analysis section that

you will develop during Phase 3 of the planning process. This information, coupled with hazard and vulnerability information you will

collect in Phase 2, will shape the projects and policies adopted in

your mitigation plan.

If your community can satisfactorily answer each of

the questions above and is clearly ready to begin a

mitigation plan, go to Step 2. If not, go to the

appropriate part of Task C below.

Task C. Remove roadblocks.

Mitigation planning roadblocks related to knowledge, support, and

planning resources, such as lack of interest and limited funding,

can be overcome in several ways:

Educating public officials about the benefits of reducing

potential losses through pre-disaster mitigation plan-
1-6 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

ning and about the costs of not having a mitigation plan

can help convince them of the importance of mitigation

planning. It can also give them a new understanding of

what is at stake if they do not develop a plan for reducing losses from hazards.

Identifying leaders in other communities who were successful in developing and/or implementing mitigation

plans can help bring peers together to benefit from experience.

Identifying a team leader in a position of authority, such

as a community leader, elected official, or influential

agency head, can help tremendously in convincing

elected officials and others to support the planning effort.

Capitalizing on new regulations such as those implementing the DMA, which require states and local communities to have approved plans to be eligible for

post-disaster mitigation funding, can serve as an entry

point of discussion with elected officials.

Identifying existing processes such as comprehensive

planning that can be expanded to include the development of a mitigation plan or include hazard mitigation

elements.

Identifying self-interests in mitigation for a variety of

sectors of the community or state to obtain broad support.

Identifying a variety of potential funding and technical

resources to support the planning process and being

ready to provide this information to others.

Following are steps you can take to overcome these roadblocks.

Knowledge

1. Educate public officials on hazards and risks in your

area.

a. Have statistics ready about the last disaster. Many public officials are unfamiliar with hazard mitigation planning and the mitigation planning process. Unless your

community or state has experienced a recent disaster,

local elected officials might not be very familiar with
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local hazards and the associated risks. Before you or

others meet with the officials, make sure you are well

prepared and have done your homework. Know the

details of recent hazard events, such as the number of

households that were damaged or destroyed, the number of businesses that closed, or the reduction in tourism as a result of recent disaster events. For details on

estimating losses, refer to Phase 2 of the mitigation

planning process in Understanding Your Risks (FEMA

386-2).

If it has been some time since the last disaster event,

you may find it difficult to convince officials that your

community is vulnerable to hazards. You are likely to

get a negative response if you try to scare these officials

into action. Some communities have always relied on

the promise that since disasters happen so infrequently, it is better to wait until a disaster strikes than

to try to change the way the community conducts its

daily business. If this is the case, you may wish to skip

to Step 3, Engage the Public first.

b. Discuss general options. If you discuss potential mitigation options that the community currently has under

consideration, try to be as inclusive as possible, without

going into too many details. Only mentioning preventive actions, such as restricting development in hazard

areas and enforcing stricter building codes, may give

the officials the wrong impression about the true

range and flexibility of mitigation options. Be sure to

stress to officials that the plan's mitigation goals, objectives, and strategies will be determined with the

public's input and support. For more details on developing an implementation strategy, refer to Phase 3 of

the mitigation planning process in Developing a Mitigation Plan (FEMA 386-3).

c. Remember the bottom line. Elected officials are concerned about the safety and economic well-being of

their constituents. To gain their support, therefore,

you should emphasize how mitigation planning helps

to achieve these goals. In particular, elected officials

like to hear about the economic benefits associated

with public actions, so provide as much information as

possible on the costs of a disaster and how mitigation

States can often

provide general information to local jurisdictions

about prior disasters within

their state. In addition, they

should be speaking with local elected

and appointed officials regarding new

regulatory requirements for planning

under DMA, as well as assistance the

state will provide for planning. States

should also be developing hazard reduction policies and goals that will become part of local planning

considerations.

Go to

www.hazardmaps.

gov to find multi-hazard

mapping information for

your community or state. It

is a Web-based collection of natural

hazards information and supporting

data.
1-8 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

actions can reduce those costs to individuals, businesses, communities, states, and the federal government, particularly for a disaster that recently affected

your community or a nearby community.

d. Be informative but brief. When elected officials hold

meetings, there is usually a multitude of issues before

them. These officials will appreciate and respond positively if you are organized and prepared for the meeting. Be clear and concise about your needs and

activities, keeping your speaking time to a minimum

whenever possible.

e. Provide examples and success stories from nearby

communities. Public officials like to talk to fellow officials and counterparts, and they will usually speak with

them before contacting state or federal staff. If you

offer them positive examples from nearby communities, there is a good chance your officials will be interested in pursuing similar programs, which could give

the planning process a big boost. Among the many

sources of information on mitigation successes are

FEMA's Web site (www.fema.gov) and CD-ROM, Mitigation Resources for Success (FEMA 372), and the Web site

for the Association of State Floodplain Managers

(ASFPM) at www.floods.org.

2. Tout the benefits of hazard mitigation and mitigation

planning.

Many of the benefits of hazard mitigation planning are discussed in this guide, including identifying cost-effective and

technically feasible mitigation measures that will reduce losses

from future disasters; building partnerships with sectors not previously involved; facilitating funding priorities, especially following a disaster; and creating more sustainable communities.

Improved disaster resistance can also be used to attract new

businesses and residents, which results in an improvement to

the overall economy.

a. Planning leads to judicious selection of risk reduction

actions. Hazard mitigation planning is the systematic

process of learning about the hazards that can affect

your community or state; setting clear goals; and identifying and implementing policies, programs, and actions that reduce the effects of losses from future

Six broad

categories of

mitigation

measures include:

1. Prevention. Measures

such as planning and zoning, open

space preservation, land development regulations, building codes,

storm water management, fire fuel

reduction, soil erosion, and sediment

control.

2. Property Protection. Measures

such as acquisition, relocation, storm

shutters, rebuilding, barriers,

floodproofing, insurance, and structural retrofits for high winds and

earthquake hazards.

3. Public Education and Awareness.

Measures such as outreach projects,

real estate disclosure, hazard information centers, technical assistance,

and school age and adult education

programs.

4. Natural Resource Protection. Measures such as erosion and sediment

control, stream corridor protection,

vegetative management, and wetlands preservation.

5. Emergency Services. Measures

such as hazard threat recognition,

hazard warning systems, emergency

response, protection of critical facilities, and health and safety maintenance.

6. Structural Projects. Measures such

as dams, levees, seawalls, bulkheads, revetments, high flow diversions, spillways, buttresses, debris

basins, retaining walls, channel

modifications, storm sewers, and retrofitted buildings and elevated roadways (seismic protection).

Summary of "Benefits of

Mitigation Planning"

 Leads to cost-effective

selection of risk reduction

actions

 Builds partnerships

 Contributes to sustainable communities

 Establishes funding priorities
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disasters. A hallmark of the planning approach is the

careful selection of these mitigation activities through

continued community participation and technical and

cost analyses.

b. Planning builds partnerships. Hazard mitigation planning is one of the best ways to enhance collaboration

and gain support among the parties whose interests

might be affected by hazard losses. Working side by

side, a broad range of stakeholders can forge partnerships that pool skills, expertise, and experience to

achieve a common vision for the community or state,

helping to ensure that the most appropriate and equitable mitigation projects are undertaken. The increased collaboration may also reduce duplication of

efforts that results when stakeholders work in isolation.

Hazard mitigation planning is most successful when

the public and elected officials support mitigation programs and the identified mitigation actions support

other community goals and objectives.

c. Planning contributes to sustainable communities.

There has been an increasing awareness in the last few

years of the concept of sustainability and its intrinsic

link with natural and human-caused hazard risk reduction. Sustainability is attained when decisions made by

the present generation do not reduce the options of

future generations. The present generation passes on

to the next a natural, economic, and social environment that will provide a continuing high quality of life.

States can provide

guidance and can assist local communities in the development of hazard

mitigation plans. The states

will be working with FEMA to develop

their own mitigation plans and will know

what FEMA is looking for to approve

plans under DMA 2000. In turn, states

will work with their communities to help

them produce a plan that will meet DMA

2000 criteria.

Planning Reduces Losses and Facilitates

Recovery

Most of the city of Kinston, North Carolina is located in the 50-year

floodplain and is extremely vulnerable to flooding. When Hurricane

Floyd hit in 1999, the city was still recovering from Hurricane Fran that hit three

years earlier. Fran inflicted major damage to the city and prompted Kinston to

undertake a new recovery strategy guided by two objectives: to substantially or

permanently reduce flood hazards in the county and to revitalize existing neighborhoods and business developments in a long-term effort to empower citizens

to be self-sufficient, and in the process, improve their quality of life. As such, the

city undertook an acquisition and relocation program to reduce potential flooding

losses from storms. Using federal and state funding, the city had acquired approximately 100 houses before Hurricane Floyd hit in 1999. Of these houses,

95% would have flooded and more than 75% would have been substantially

damaged. Estimates for property and displacement losses exceeded $6 million.

The city's investment in this program paid off. The city spent $2.1 million on this

program.

Planning Helps

Solve Multiple

Needs

There were only three unaffected houses available for purchase

in the $40,000 to $60,000 range in

Louisa County in rural Iowa after terrible flooding occurred in 1993. As the

county has limited affordable housing

opportunities, instead of demolishing

175 flood-damaged homes and temporarily displacing nearly 5% of the

county's population, the county

partnered with the Muscatine Center for

Social Action (MCSA) to address the

shortage of affordable housing. MCSA

has a history of taking on projects no

one else is willing or able to do and,

working with the county, assumed responsibility for relocating the structurally sound homes out of the floodplain

and initiated an outreach campaign to

find potential buyers. The partnership

provided a valuable service to the residents and community by keeping the

tax base within the county and providing affordable and safe housing for

county residents.
1-10 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

An essential characteristic of a sustainable community

is its resilience to disasters. For more information, see

Planning for a Sustainable Future: the Link Between Hazard

Mitigation and Livability (FEMA 364) and Rebuilding for

a More Sustainable Future: An Operational Framework

(FEMA 365).

Using a planning approach to reduce hazard losses

can facilitate the incorporation of sustainable concepts

in both pre- and post-disaster timeframes. The mitigation planning process can support a more robust and

sustainable planning effort by assuring that land use

planning and development regulations guide development in directions that facilitate many goals simultaneously.

Sustainable communities look for ways to combine

policies, programs, and design solutions to bring about

multiple objectives and seek to address and integrate

social and environmental concerns. The planning process can provide a framework within which state and

local governments can link sustainability and loss reduction to other goals.

For example, sustainable communities often emphasize open space planning by promoting greenways,

parks, and landscaping. Effective use of open space

can prevent development from encroaching into

floodplains, active fault zones, landslide areas, and

other disaster-prone areas.

d. Planning establishes funding priorities. Communities

and states that have up-to-date mitigation plans are

better able to identify and articulate their needs to

state and federal officials when funding becomes available, particularly following a disaster. Communities

with mitigation plans in place can often begin the recovery process more quickly when a disaster occurs.

Such communities can present projects as an integral

part of an overall, agreed-upon strategy, rather than as

projects that exist in isolation. Furthermore, by having

established priorities ahead of time, states and communities are better able to identify technical and financial

resources outside traditional venues. To encourage

planning, only those states and communities with approved plans that meet the DMA 2000 criteria will be

A sustainable community

considers the following issues when

planning for and with their citizens:

1. Environmental quality and quality of

life;

2. Disaster resistance;

3. Economic vitality and a

fair legacy for future generations; and

4. The impact of its actions and policies on adjacent jurisdictions as well

as the greater surrounding region

and beyond.

Planning

Promotes

Sustainability

One of the most widely recognized examples of the connection

between hazard mitigation and

sustainability involves the acquisition of

flood-prone properties in low-income

areas. In such areas, mitigation projects

can fail if adequate affordable housing

cannot be provided for those who are

displaced. When emergency management, planning, and affordable housing

advocates coordinate their activities, the

result is newer, better, and safer housing for the affected residents. Some

states have been successful in using

weatherization funds, provided by the

U.S. Department of Energy's Weatherization Assistance Program (WAP) for

residential structures to retrofit homes

against wind and flood damage, thereby

linking energy efficiency and disaster

prevention. The result is safer, more energy efficient homes.

An example of this collaboration is

Valmeyer, Illinois. After the Mississippi

River flood of 1993, Valmeyer used

funds from the Office of Energy Efficiency and Renewable Energy, Department of Energy, to incorporate

sustainable technologies into the design

and construction of a new town out of

the floodplain.
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eligible to receive HMGP funds for mitigation projects.

Under the new regulations, states with enhanced plans

can receive funding under HMGP equal to 20% of the

total estimated Stafford Act disaster assistance (Individual and Public Assistance), rather than the 15% traditionally allocated.

Support for planning

Elected officials tend to be more receptive to understanding the

benefits of hazard mitigation planning following a disaster. Many

officials, however, may not be aware of the vulnerabilities to hazards if disasters have rarely occurred in your area. It is the officials'

responsibility to protect the health, safety, and welfare of their constituents, and, in fact, most building, zoning, and subdivision codes

and ordinances begin with such a preamble. Therefore, it is important for you to be able to explain to state and local government

decision makers, private sector entities, citizens, universities, and

nonprofit organizations why they should support mitigation planning programs. Equally important to discuss are the benefits they

would derive from such support, and the roles they can play to ensure the success of the planning process.

To be successful, mitigation planning, just like all community planning, requires collaboration between, and support from, federal,

state, local, and regional governments; citizens; the private sector;

universities; and non-profit organizations. Many of these entities

have specific statutory authorities; some have funding resources

available, and some can provide technical assistance to support

mitigation efforts. Most importantly, they all contribute toward ensuring that the planning process results in practicable actions tailored to local needs and circumstances.

1. Support from local government.

Local governments are responsible for enacting and/or enforcing zoning ordinances, land use plans, building codes, and

other measures to protect life and property. They are responsible for informing citizens of the risks hazards pose to people,

property, and the environment, and the measures they can take

to reduce losses from such risks.

Communities are the first to feel the effects of disasters; therefore, local governments should do everything possible to protect

their citizens from hazard risks and ensure that their community complies with federal and other regulations designed to

Planning

Facilitates

Funding

In Texas, the Harris County

Flood Control District (HCFCD), a division of the Harris County Public Infrastructure Department, implements a

progressive and efficient Acquisition/

Buyout Program during and between

flooding events. Funding for the HCFCD

comes primarily from a dedicated property tax, specifically an "ad valorem" tax.

The HCFCD uses other federal agencies as partners to augment funding,

i.e., FEMA, US Army Corps of Engineers, and Department of Housing and

Urban Development. The HCFCD allocates county and flood control funds for

the purchase of homes in the county's

floodplain. It sets priorities and provides

a ranking for properties throughout the

county that are vulnerable to flooding.

HCFCD maintains an extensive database of every property that has flooded,

including details on property location,

floodplain location, dates of events and

inspections, damage amounts, permit

information, substantial damage information, and whether it was referred to

a buyout program. For example, after

Tropical Storm Allison hit, FEMA, the

HCFCD, and the State of Texas created

a "fast track" buyout process which allowed over 200 houses to be bought in

the first ten months after the flooding.

This ongoing planning allowed the

HCFCD to quickly leverage federal

funding in the immediate aftermath of

Tropical Storm Allison.
1-12 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

reduce disaster costs. Local governments are responsible for addressing hazard threats within the community and for following

a sound planning process for identifying and selecting the best

solution for the community. They are responsible for ensuring

that each citizen has an opportunity to provide input into the

development of local mitigation projects and activities, in the

same tradition as comprehensive planning for communities.

2. Support from state government.

State governments play a significant role in supporting mitigation planning. States administer programs that provide assistance for mitigation initiatives and act as the liaison between

federal and local governments for all phases of emergency management. In many states, the Emergency Management Office is

assigned these responsibilities. The SHMO serves as the point of

contact and coordinates all matters relating to hazard mitigation

planning and implementation. Planning departments, environmental agencies, and natural resource agencies may share or

assist in these responsibilities.

The states ensure that local governments uphold federal regulations intended to reduce losses due to hazards. To do this effectively, the state should provide technical and/or financial

resources to their local governments to achieve common mitigation goals. States continuously evaluate their own facilities and

resource capabilities and produce and maintain statewide mitigation plans based on their own priorities, and on local needs

and priorities. The state should educate and inform local governments, businesses, and citizens about the hazards and risks

within the state, and should assist them in developing plans to

reduce the risk. The state's role in coordinating hazard mitigation planning has become even more important with the passage of DMA 2000.

3. Support from the federal government.

The Federal Emergency Management Agency (FEMA) is the

lead federal agency responsible for providing technical and financial assistance to state and local governments for disaster

mitigation planning and the implementation of mitigation

projects. FEMA also promotes mitigation activities and programs

among federal, state, and local governments, as well as businesses, academic institutions, and non-profit organizations.

FEMA has been given the authority to implement the Disaster

Mitigation Act of 2000 (DMA 2000); however, other federal

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, encourage participation, and reach consensus on promoting hazard mitigation.

Regulatory Power. Local jurisdictions

have the authority to regulate land use

development and construction through

zoning, subdivision regulations, design

standards, and floodplain regulations

(note: many states have adopted statewide model building codes wherein the

local governments are not allowed to

modify or change the code).

Spending Authority. The way 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, which is generally

a 5-year plan for funding improvements

to public facilities.

Taxing Power. If the private sector

seeks development in hazard areas,

special taxing districts can be created

to balance more equitable and appropriate public investments. Preferential

assessments can also be used as incentives to retain agricultural and openspace uses in high hazard areas.

Acquisition. Local governments can

acquire lands in high hazard areas

through conservation easements, purchase of development rights, or outright

purchase.
assess community support 1

Version 1.0 September 2002 1-13

agencies implement programs that may also provide support for

mitigation goals, such as the Department of Housing and Urban

Development's Community Development Block Grant program.

Examples of federal assistance available for mitigation are included on the FEMA CD, Mitigation Resources for Success (FEMA

372), available through FEMA's publication warehouse.

4. Support from the private sector.

Businesses and private organizations have much to gain by reducing their risks to hazards, in terms of their own well-being, as

well as contributing to reducing risks in the community as a

whole. Historically, more than 25% of businesses never reopen

after a disaster. Even if a business is not physically damaged during a disaster, it cannot operate if its employees cannot get to

work, if water and electricity are unavailable, or if customers fear

safety hazards.

5. Citizen support.

Citizens are ultimately responsible for their own safety and for

protecting their assets from damage by preparing for potential

disasters that could occur within their community. It is important that they find out about local hazards and identify measures

they can take to reduce their impact on their homes and families. For example, the purchase of insurance that will cover their

risk from these hazards is one specific approach. The larger issue of economic viability of the community is also very important to citizens, so it is crucial to convey to citizens how

involvement in a mitigation planning process helps protect economic assets from disaster losses.

6. Support from academic institutions.

Academic institutions often have their own emergency response

or operations plans to ensure the safety of their faculty, staff,

and students. Often, however these institutions are unfamiliar

with the hazards that could threaten their facilities and have not

identified measures that can be taken to reduce their impact.

Just as with private sector entities, schools stand to sustain losses

in disasters and can gain much by supporting and participating

in planning. In addition, they can often provide valuable resources to the community, such as technical expertise, facilities

in which to host meetings, post-disaster services and facilities,

and student resources to assist in data gathering.

The ability of businesses to recover after a flood, fire, earthquake,

or other disaster could be

the difference between

community survival and failure. When

a major company that employs a large

percentage of a community's population remains closed following a disaster, employees may leave town or seek

jobs elsewhere.

What happened in Elkins, West Virginia

is just one example. The Kingsford

Manufacturing Company's charcoal

production plant employs more than

100 residents in this small town. "The

Kingsford plant is an essential member

of its local community, contributing over

$8.5 million to the economy in direct

impact including payroll, taxes, and purchases of supplies, utilities, and raw

materials from local lumber mills. Additionally, the Kingsford plant's total economic impact on this community is

estimated annually at $23 million." (Protecting Business Operations, FEMA

331.)

In November 1985, the plant sustained

$11 million in damage and 2 months of

downtime when it received more than

7 feet of floodwaters. After it was shut

down twice in 1996 due to flooding, resulting in another $4 million in damages,

the plant developed a mitigation strategy to reduce its risk from future flood

losses. The alternative of moving the

plant to another community out of the

floodplain could have spelled economic

doom for Elkins.
1-14 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

Under DMA 2000,

states have an opportunity

to create enhanced state

mitigation plans that will

demonstrate their mitigation

capabilities and can obtain up to an additional 5% in HMGP funding. States

should also ensure that communities

know that post-disaster funding, such

as the HMGP, will only be awarded to

communities with approved local mitigation plans (refer to Interim Final Rule

at 44 CFR Parts 201 and 206 published

in the Federal Register on February 26,

2002).

States that have an approved mitigation plan in place can still use up to 7%

of the HMGP funds for mitigation planning after a major disaster declaration.

The Pre-Disaster Mitigation Program

(PDM), authorized by DMA 2000, can

provide pre-disaster funding to states,

communities, and tribes for cost-effective hazard mitigation activities that are

identified in a mitigation plan, and for

planning itself.

7. Support from a champion.

Having a prominent and well-respected community business

leader, elected official, or agency head advocate for the initiation of the planning process will help you enlist the support of

other officials and community leaders. This also increases the

"human" aspect of loss reduction by associating it with a recognizable personality.

8. Capitalize on new regulations.

DMA 2000 and its implementing regulations provide significant

opportunities for states and local governments to strengthen

mitigation efforts through planning. Interim Final Regulations

implementing DMA 2000 were published February 26, 2002.

These regulations provide guidelines for the planning process

and the content of plans. According to these regulations, states

and communities must have approved plans in place to receive

HMGP funds. States must have approved plans in place to receive any non-emergency Stafford Act funds.

States and communities with existing mitigation plans are urged to revise them to comply with the new DMA 2000 regulations. In addition,

tying mitigation planning into other ongoing planning initiatives can significantly streamline your planning efforts and build

coalitions across units of local government, the private sector,

and your community. Integrating mitigation planning with

other efforts provides the opportunity to draw from other plans,

which enables hazard reduction goals, objectives, and actions to

align with other community goals, values, and policies.

9. Create support by expanding current planning initiatives to include mitigation concepts, policies, and

activities.

Some opportunities to increase support for mitigation activities

may include those shown below. Note that many of these opportunities are best used after mitigation actions are identified in

Phase 3 of the planning process. However, knowing early on

that you can use these tools to further support planning can

help lend momentum to early planning efforts. In addition,

these tools are efficient as implementing mechanisms for mitigation actions identified in Phase 3 of the planning process.

By examining various community plan documents, you may discover public dissatisfaction or concern with issues or physical

features that have implications for hazard reduction. For exIdentify an upcoming opportunity for

your community or state to

initiate planning for hazards.

Recently experienced disasters may provide increased awareness and concern for developing a

mitigation plan. This interest can act as

a catalyst for structuring a successful

mitigation planning effort. Such catalysts do not necessarily have to reside

in the community itself. They can involve

a high profile disaster elsewhere, a recent hazards analysis study, a book or

popular movie about a disaster, or other

activities that focus attention on hazards

and risks.
assess community support 1

Version 1.0 September 2002 1-15

ample, citizens may be concerned about a blighted downtown

business district that also happens to lie in the floodplain. By

tapping into the existing momentum for this issue, you can

channel some of the same support into reducing losses in that

area.

a. Comprehensive and other community-oriented planning activities. Not all communities have comprehensive plans or are required to develop them under

state-enabling legislation, but all communities need to

plan for their future. Integrating mitigation concepts

and policies into existing plans provides expanded

means for implementing initiatives via well-established

mechanisms. As comprehensive plans are reviewed and

updated, and after mitigation strategies are developed,

mitigation policies and activities should be incorporated into elements of the plan such as economic development, transportation, recreation, historic

preservation, and housing. A natural hazards element

may also be desired. Planning for future land uses by

considering hazard constraints and opportunities, addressing environmental concerns, and incorporating

hazard reduction into capital improvements and infrastructure elements are all potential mitigation opportunities.

Some other special purpose community plans that can

be used to help support mitigation planning include:

Stormwater management plans: these plans describe

actions to maintain system capacity to handle

stormwater, which also provides flood mitigation

benefits;

Open space and recreation plans: these plans target

locations for open space and recreation areas where

property acquisition or buyout programs in hazard

areas can complement the planned improvements;

Redevelopment and housing plans: these plans

identify areas where construction is occurring or will

occur. Opportunities exist to incorporate mitigation

techniques into retrofit activities and new construction, and to influence the location of redevelopment away from hazard areas; and

Transportation plans: these plans identify and

prioritize road improvement projects where mitigaDisasters can affect

your community's housing,

economy, transportation,

cultural resources, and

natural resources, which are

all usually covered in a comprehensive

plan. A comprehensive plan reflects

what the community would like to see

happen in the future. The plan is carried out through other local measures

such as capital improvements, zoning,

and subdivision ordinances. The comprehensive plan can incorporate mitigation strategies identified in the

community's mitigation plan to discourage new development in hazard-prone

areas and encourage practices that are

consistent with the mitigation goals.

Some mitigation activities, such as the

acquisition of land in high hazard areas, can tie in with pre-existing community goals, such as preserving open

space, improving environmental quality and natural features, and enhancing

recreational opportunities.

More information

and resources regarding comprehensive plans, including

developing hazard elements, can be

found on the American Planning

Association's Web site at

www.planning.org. You may also contact your local planner, regional planning agency, or state planning agency

for more information.
1-16 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

tion of transportation and utility systems can be

incorporated.

b. Capital improvement plans. State and local governments and private organizations of any size have capital improvement plans for building new facilities and

replacing inadequate facilities. These plans could incorporate mitigation principles into planned projects

such as locating new public buildings out of high hazard areas or sizing adequate culverts to accommodate

floodwaters. These plans could also include provisions

for upgrading replacement facilities using the latest

mitigation techniques; ensuring that new facilities are

built to the most current codes, standards, and specifications; and avoiding the extension of public facilities

in hazard areas.

c. Floodplain remapping or updating. FEMA is currently

in the process of updating Flood Insurance Rate Maps

(FIRMs) for approximately 3,300 communities. Over

the next five to seven years, more than 2,700 new digital maps of flood-prone communities that have never

been mapped before will also be included in this program. The new and updated information that will be

delineated on the maps is an important impetus to

either revise your existing mitigation and floodplain

management plans, or to create a new mitigation plan

to address flood hazards. Check with your local floodplain administrator or your state National Flood Insurance Program (NFIP) coordinator to discuss the public

participation requirements of revising your FIRMs and

how the flood hazard will affect risk in your jurisdiction.

It is always important to revisit the mitigation plan every time a flood map is revised, particularly if floodplains encompass developed areas. For more

information on FEMA's flood hazard mapping, or to

find out if your community is scheduled to be

remapped, go to http://www.fema.gov/mit/tsd/

st_main.htm, or talk to your state NFIP coordinator.

d. Existing mitigation plans and other emergency management plans. Communities and states should review existing mitigation plans and update them to meet DMA

2000 requirements. However, planning does not end
assess community support 1

Version 1.0 September 2002 1-17

with this update. It is important to understand that

vulnerability to hazards does change over time. Drainage patterns, shoreline erosion, water levels, population demographics, and development patterns within

hazard areas are not constants. New research and an

improved understanding of hazards and the development of new mitigation approaches will also require

you to update your mitigation plan. Finally, plans often

have to be updated within an established timeframe in

order to be compliant with federal and state regulations. This update provides an excellent opportunity to

begin incorporating multi-hazard mitigation principles

into these plans. Bringing the Plan to Life (FEMA 386-4)

will address the plan maintenance and update processes.

Emergency operations plans identify preparedness and

response procedures into which mitigation considerations could be incorporated to facilitate post-disaster

reconstruction and recovery. To keep plans up-to-date,

states and local governments must conduct real-life

exercises based on actual risk scenarios. Issues that

emerge from post-disaster scenarios often draw attention to pre-disaster mitigation activities that can be

undertaken now to prevent future disaster losses.

FEMA can make available post-disaster mitigation and

recovery exercises for flood, earthquake, and hurricane disaster scenarios. Exercises designed to assist

communities in pre-disaster mitigation planning are

also being developed. Check with your FEMA regional

office.

e. Post-disaster recovery planning. Trying to organize and

prioritize projects in a post-disaster situation without a

previously adopted mitigation plan can be a disaster in

its own right. Officials face extraordinary pressure to

immediately rebuild affected areas back to pre-disaster

conditions, eliminating the possibility of reducing

losses from future events. A mitigation plan that addresses post-disaster issues before the event could help

to take some of the pressure off elected officials, and

would provide a publicly supported reason for a more

sustainable redevelopment effort. See Planning for PostAfter the initial approval, state mitigation

plans must be reviewed,

updated, and submitted for

re-approval by FEMA every

three years. Local mitigation plans must

be reviewed, updated, and re-submitted to FEMA every five years.

Do not assume that

hazard elements in local,

state, or other federal plans

required by state law automatically meet DMA 2000

requirements. You should review any existing hazard elements against the Interim Final Rule published in the Federal

Register February 26, 2002 (44 CFR

Parts 201 and 206) to determine compliance. Your SHMO can also help you.
1-18 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

Disaster Recovery and Reconstruction for guidance, available from the FEMA publications warehouse.

10. Support from other programs.

a. The National Flood Insurance Program (NFIP) offers

federally-backed flood insurance to help reduce disaster losses from flooding. It provides flood insurance to

property owners for structures that otherwise would be

uninsurable because of their susceptibility to flooding,

in exchange for communities adopting and implementing floodplain management regulations to minimize future flood losses to new construction.

b. The Community Rating System (CRS) is a program

under NFIP that recognizes and encourages community floodplain management activities that exceed the

minimum NFIP standards. The CRS recognizes community efforts beyond the NFIP minimum standards

by reducing flood insurance premiums from 5% to

45% for the community's property owners, depending

on the amount of public information and floodplain

management activities that the community undertakes.

Communities receive credit under CRS for developing

a flood mitigation plan.

c. The Flood Mitigation Assistance Program (FMA) is a

program under the NFIP that provides funding for

states and communities for the preparation of mitigation plans and for flood mitigation projects. Plans required under FMA can serve as the basis of DMA 2000

plans, and can be expanded using the criteria in the

Interim Final Rule implementing DMA 2000.

d. Pre-Disaster Mitigation Program (PDM), authorized

under DMA 2000, provides for pre-disaster funding of

mitigation planning and projects on a competitive basis. An approved mitigation plan is required to receive

funding. Check with your FEMA regional office for

latest information on availability of funds.

See Table 1 (page xi) for planning requirements for the HMGP,

PDM, FMA, and CRS programs.
assess community support 1

Version 1.0 September 2002 1-19

Planning resources

There are three primary types of resources that will facilitate your

planning efforts: technical, financial, and human.

1. Technical resources for mitigation planning include

professional advice on matters related to economics,

science, engineering, mapping, and planning, as well

as procedural information. In mitigation planning,

expertise on this wide array of topics is often needed

in order to have enough information to make determinations as to project type and priority. Not all of this

expertise is needed in the beginning stage of planning. However, you should note when you feel you will

need to obtain such assistance and where you might

obtain such assistance. Technical resources also include data necessary to complete risk assessments or

make project decisions.

2. Financial resources are critical for implementing most

projects, as well as for securing the technical resources

discussed above. In addition to the "traditional" FEMA

funding programs, you should seek out community,

state, and other federal agency funding sources from

programs with missions related to the type of mitigation activity being pursued. For example, funding for

mitigation of transportation facilities should also be

sought from transportation programs. Financial resources for planning will be summarized in this section.

3. Human resources. In addition to private citizens, employers, industries, and organizations can provide the

staff and expertise necessary to conduct a meaningful

planning process.

1. Technical resources.

These include existing planning, engineering, and scientific

resources on staff, GIS, local universities and colleges, and regional planning associations. States often have staff devoted to

technical matters within the state, such as the State Geologist

and State Climatologist. Program staff such as the State Hurricane Program Manager and State Earthquake Program Manager

can also provide technical assistance.

FEMA's Mitigation

Resources for Success CD (FEMA

372) features a variety of

technical, case study, and

federal program information that will

help build support and provide resources for undertaking hazard mitigation activities and programs. You will find

useful information, publications, technical fact sheets, photographs, case studies, and federal and state mitigation program information and contacts. The vast

array of documents and photographs

are available for exporting to other documents, Web sites, and publications, and

for use in educational and training presentations. To obtain a copy, call the

FEMA publications warehouse at

1-800-480-2520.
1-20 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

Local and state higher education institutions can often be excellent sources of student and faculty expertise and data. In addition, the National Earthquake Hazards Reduction Program

(NEHRP) provides technical materials to the 45 states and territories that have earthquake program managers. Some technical

assistance is provided through the National Earthquake Technical Assistance Program (NETAP) sponsored by FEMA.

2. Financial resources.

Pre-Disaster Programs

The Pre-Disaster Mitigation Program (PDM), authorized by DMA 2000, can provide funding to states,

communities, and tribes for cost-effective hazard

mitigation planning activities that complement a

comprehensive mitigation program and reduce injuries, loss of life, and damage and destruction of

property before a disaster strikes. Check with your

FEMA regional office on the status of funding.

The Flood Mitigation Assistance Program (FMA)

provides funding to assist states and communities in

implementing measures to reduce or eliminate the

long-term risk of flood damage to buildings, manufactured homes, and other insurable structures. The

three types of grants available through FMA are

planning, project, and technical assistance grants.

Only communities that participate in the National

Flood Insurance Program (NFIP) can apply for

project and technical assistance grants. Planning

grants are to be used by states and communities to

prepare flood mitigation plans, with a focus on repetitive loss properties. Currently, funding for FMA

is provided through the NFIP and is funded at $20

million annually.

Post-Disaster Programs

The Stafford Act (Public Law 100-107, as amended)

authorizes funding for all federal disaster-related

assistance in place today.

The Hazard Mitigation Grant Program (HMGP),

authorized by Section 404 of the Stafford Act, provides grants to state, local, and tribal governments

(up to 15% of the FEMA disaster funds they reHow the Disaster

Mitigation Act of

2000 (DMA 2000)

Relates to the

Stafford Act

The Stafford Act authorizes federal assistance after the President determines

that a disaster has overwhelmed state

and local resources. FEMA and other

agencies administer most Stafford Act

assistance, which includes such things

as:

 Provision of temporary housing assistance, including vouchers, minor

repairs to homes, and the use of

mobile homes;

 Repair, reconstruction or replacement of public facilities;

 Aid for individuals and families

through grants for personal, uninsured emergency needs;

 Clearance of debris;

 Access to counseling and legal services; and

 Funding for mitigation grants.

Although the Stafford Act does provide

some funding for mitigation initiatives,

mainly through its Hazard Mitigation

Grant Program (HMGP), it is geared towards helping communities and victims

respond and recover after a disaster

has occurred.

The Disaster Mitigation Act of 2000

(DMA 2000) amends the existing

Stafford Act. These amendments authorize the President to provide grants to

state and local governments for pre-disaster mitigation activities, delineate

criteria to be used in awarding such

grants, and define mitigation planning

requirements that state and local governments must meet before receiving

additional funding. If state and local

governments meet these criteria and

get their plan approved by FEMA, they

are eligible to receive increased funding under HMGP, which is implemented

under Section 404 of the Stafford Act.

DMA 2000 shifts federal emergency

management policy away from a reactive "response and recovery" emphasis. Emphasis is now placed on identifying hazards before they occur,

preventing future losses, and minimizing the impact of disasters.
assess community support 1

Version 1.0 September 2002 1-21

ceive) to implement long-term hazard mitigation

measures after a major disaster declaration.

The Assistance to Individuals and Households Grant

Program is authorized by Section 411 of the

Stafford Act and authorizes grants to be used for

mitigation measures to cover serious unmet, disaster-related real property losses.

The Public Assistance Program (PA) is authorized

under Section 406 of the Stafford Act. This program

provides funding, following a disaster declaration,

for the repair, restoration, or replacement of damaged facilities belonging to governments and to private nonprofit entities, and for other associated

expenses, including emergency protective measures

and debris removal. The program also funds mitigation measures related to the repair of damaged public facilities.

Start identifying funding resources to support the

planning process. Many grants can help pay for creating the

plan, while others can help pay for the activities themselves. There

are many federal agencies that offer grants and technical assistance

for general planning that may be used towards mitigation planning.

Some states and local governments hire or task an individual to track down

different grants that may be available. A few states have automated computer

systems to help local governments locate funding for mitigation projects. Planning initiatives almost always gain more support from local officials if there is a

potential for grant money from an outside source that can help pay for costeffective actions that result from the plan. Numerous resources are available to

local governments to help fund mitigation efforts. The need for outside funding

sources reinforces the need to look at multi-objective planning. Some funding

sources are not specifically designated for hazard mitigation planning, but can

be used for that if it accomplishes the specified goal in tandem with hazard

mitigation. An example of approaching mitigation planning in a multi-objective

context is a community that wants to bury its power lines to reduce wind-related

damages. This community might be able to tap into blight-reduction grants from

the Department of Housing and Urban Development (as power lines are usually

seen as unsightly and can detract from the community's character). Refer to the

Mitigation Resources for Success CD (FEMA 372) for other federal programs.
1-22 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

Check with your

State Hazard Mitigation Officer (SHMO)

for technical assistance and

sources of funding for planning. In addition, consult with the SHMO

for planning guidance and to get the

most up-to-date requirements.

The state should assist

local jurisdictions in identifying funding for mitigation

planning or to fund mitigation

measures.

3. Human resources.

These include the community's citizens, businesses, and

association leaders who want to be involved in the planning process.

In addition to the staff it brings, private sector participation can also lead to financial and in-kind resources.

Citizens with expertise in areas such as survey techniques,

fundraising, public relations, and other technical subjects

can be valuable to the planning team. For additional

guidance on planning resources, see Securing Resources for

Mitigation Planning (FEMA 386-9).
assess community support 1

Version 1.0 September 2002 1-23

The Hazardville Post

Vol. CXI No. 100 Thursday, February 25, 2002

Mayor Challenges Town to Reduce Disaster Costs

[Hazardville, EM] In an attempt

to follow through on his commitment to make Hazardville a safer

place to live, work, and do business,

Mayor McDonald has appointed Joe

Norris, the Planning Department

Director, to head a hazard mitigation steering committee. To assist

him with these efforts, the City

Council has appointed to the committee David Waters, Hazardville's

Floodplain Manager, Wendy Soot,

Hazardville's Fire Marshall, Mary

Tremble, Director of Hazardville's

Emergency Management Agency,

and Rita Booke, head of the local

Citizens for Action group.

Mr. Waters, Hazardville's Floodplain Manager, is excited about the

opportunity to work with Mr.

Norris to integrate all of the Town's

plans together. "It certainly is long

overdue that Hazardville begins to

take a comprehensive approach to

deal with our hazards. We are a

small town that seems to be repeatedly plagued by problems brought

on by floods and landslides. In addition, I understand there is a substantial risk for a major earthquake

in the region," said Mr. Waters.

Mr. Waters finds that by getting

many of the local business members

together, he is able enlist their help

and build partnerships that will

help Hazardville become a safer

place to live and work. He has asked

Jim Snow, owner of Snow's Snowplows and a local business leader,

to research efforts to gain outside

support in the form of grants and

local monetary resources. Jim explains, "Grants will help cover the

activities necessary to implement

the plan. Getting this committee together to develop a plan will help

save more of our tax dollars in the

long run. It will help our town become more efficient at dealing with

risks, and will save things from being destroyed."

Disasters can affect our

community’s economy, housing,

transportation, cultural resources,

and natural resources. These elements are all part of the bigger picture. Ms. Tremble, Director of

Hazardville's Emergency Management Agency, sees that as a member of the hazard mitigation planning team, she can help update the

existing emergency management

plan by reviewing and focusing on

the recent disasters and the

community's vulnerabilities to hazards, and by ensuring that the plan

is compliant with federal and state

regulations and plans.

Mayor McDonald commented in

the interview, "We need to think on

a more regional scale. When a disaster occurs, there are no boundary lines stating how far a flood can

reach or how much damage an

earthquake can cause for a community or communities. Some flooding

problems are multi-jurisdictional,

and therefore, I have asked the

Hazardville planning team to consider working closely on this mitigation planning effort with our

neighbors to the north, Soppytown,

to deal with the flooding and watershed issues in a coordinated

manner." At the time of press, no

response was forthcoming from

Soppytown's Mayor Smith. If you

are interested in becoming involved

in the plan, please call the Planning

Department at 888-777-6666.
step
2

Version 1.0 September 2002 2-1

build the

planning

Overview team

Once you have the support for initiating the mitigation

planning process, it is time to identify a group of dedicated

and interested individuals to be on your planning team. These

individuals will be the "workhorses" who will see the planning

process through. Selecting members who are a good fit will become

critical to the eventual success of your community's mitigation

planning process. Creating a planning team can be one of the most

challenging aspects of the process. Involving a variety of people

from different segments of the community will allow all sides of the

issues to be examined and will help ensure broad-based support for

the plan. Many communities already have a Local Emergency

Planning Committee (LEPC) in place to deal with hazardous

material (HAZMAT) spill contingencies and to improve the safety

of all agencies involved with HAZMAT. Some LEPCs deal with

natural hazards as well, and they would be a good base from which

to build your planning team.

If your community has developed a comprehensive plan, you may

want to identify those who participated in the process and add

them to your mitigation planning team. Alternatively, you could

determine that the mitigation planning process could be integrated into the existing comprehensive plan.

In CRS, reference is

made (and points are

given) for involving community staff, the public, and

stakeholders in the flood

mitigation planning process as the planning "committee." To obtain maximum

points under CRS, you may wish to organize your planning committee or

team (as referenced here) according to

the CRS approach. Additionally, points

are awarded if a planner prepares the

plan. Regardless of the approach used,

make sure that you take into account

the unique strengths and weaknesses

of those available in your community to

help create, implement, and maintain

the plan.
2-2 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

The planning team should consist of community leaders, representatives of local government agencies, business owners and operators, interested citizens, and anyone else who has an interest in

reducing hazards in your community. While it can be a challenge

to bring together all of the experiences, personalities, resources,

and policies in your community, it is nonetheless a critical part of

the planning process. It is especially good to include past activists

or "squeaky wheels" because this will bring them into the process

and hopefully educate them, as well as other committee members,

on why certain projects are or are not feasible, including projects

which are of particular concern to them. Ensuring that your team

has an equitable and diverse representation will enhance your

planning efforts and help build support for mitigation.

Procedures & Techniques

Task A. Create the planning team.

The planning team should be built on existing organizations or

boards whenever possible. Larger communities may want to consider building on capabilities that already exist within their agencies and departments. For example, as mentioned previously,

Consider Establishing a Steering Committee

Some communities or states may find the need to first organize a

core group of individuals into a steering committee. This group will

provide leadership and support in the early stages of creating a mitigation plan, oversee the planning process, and be the point of contact for the

various interest groups in the community or state. This steering committee may

later be absorbed into the larger planning team.

Depending on the size of your community, you may have a wealth of potential

candidates from which to choose. Consider selecting candidates who have the

trust and respect of others and can represent different interests within the community. Ideally, you would like to have representation from each major interest

group in the community on the committee.

When selecting potential steering committee members, look for people who:

 Possess the ability to command the respect of citizens, businesspersons,

and government elected officials.

 Are visionary and open to new ideas.

 Have the desire, time, and commitment to address the issues.

 Have the ability to communicate planning and hazard concepts to colleagues, citizens, and others.

 Have opposed mitigation planning, or planning in general, in the past (theory

of inviting your "enemies").

 Understand local politics and issues.

 Have planning experience or hazard knowledge.

The American Planning Association (APA) is a professional

association to which many planners

belong. Planners can be certified

through the American Institute of Certified Planners, a subsection of APA, by

passing a comprehensive exam. These

individuals must meet certain criteria for

planning experience and

demonstrate their knowledge of a wide variety of

planning subjects and professional ethics.
Version 1.0 September 2002 2-3

build the planning team 2

LEPCs can provide a good base from which to create a planning

team.

The planning team can welcome anyone who is available to participate regularly in the meetings. Smaller subgroups may have to be

established later in the process if there are numerous issues the

team wants to explore, if hazard-specific groups are desired, or if

the number of stakeholders is too large for effective discussion of

issues.

1. Select a chair of the committee. An experienced chair will

understand how to navigate issues related to team momentum, conflict, team composition, and schedules for completing tasks.

2. Determine your stakeholders. Stakeholders are individuals

or groups that will be affected in any way by a mitigation action or policy and include businesses, private organizations,

and citizens. There is no "best" way to identify stakeholders;

indeed, the stakeholders you involve may change several

times during the mitigation process as the needs or focus of

the team or processes change. Brainstorming with the planning team is a good way to bring to light candidates that you

may have missed earlier. Discuss the following questions with

Help! Do You Need a Consultant?

Decide if you need or want a consultant to assist

you in the planning process. Although leading the

mitigation planning process does not require formal training in planning, engineering, or science, sometimes

it is necessary to hire someone to assist you in all or portions

of the planning process. You may need assistance if:

 Your community does not have enough staff to devote

someone to lead the process as part of their job duties;

 You wish to have targeted assistance in identifying hazards, risks, and vulnerabilities, and in performing loss

estimates;

 You feel you need an outside facilitator to manage public

meetings or to assist in goal setting or prioritizing; or

 No one in the community feels comfortable leading the

planning process, or has the time to devote to it.

Hourly rates for planning consultants vary depending on their

experience. In addition to private consultants, consider contracting with your regional planning agency, if one exists. Issues such as finding a consultant you are comfortable with,

determining the scope of work, guidelines for how much of a

role the consultant will have during the process, and how they

will interact with the lay planners are all important to consider

before hiring a consultant.

Many communities hire outside consultants to assist them in

the coordination, facilitation, and implementation of the mitigation planning process. If your community decides to hire a

consultant to assist with your mitigation plan, consider looking for a planner that:

 Understands that each community has unique demographic, geographic, and political considerations that

need to be taken into account when creating a fully

integrated mitigation plan.

 Understands all pertinent regulations and considerations as they apply to the mitigation plan (e.g., requirements of DMA 2000, state and local ordinances,

and NFIP requirements).

 Recognizes that community input and public participation are keys to any successful mitigation plan.

 Is familiar with emergency management and multi-hazard mitigation concepts.

 Will provide you with the names and phone numbers

of past clients.

For more information on hiring and working with a planning

consultant, go to the American Planning Association Web site

at www.planning.org, or see the additional Web sites and references that are listed in the Library in Appendix B.

Planning Team

members should think

about organizations and

people they know who might

be interested in helping with

the mitigation plan. They should be

asked to provide contact information at

the first meeting so that the planning

team can consider additional candidates to invite.
2-4 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

your team members and see what kind of candidates you

identify:

Who are the representatives of those most likely to

be affected?

Who might be responsible for what is intended?

Who is likely to mobilize in support of the mitigation planning process? Against it?

Who can make the planning process more effective

through their participation or less effective by their

nonparticipation or outright opposition?

Who are the "voiceless" for whom special efforts may

have to be made?

Who can contribute financial or technical resources?

3. Include stakeholder representation from the following

groups. Even if these groups decline to participate early on,

keep them in mind for later participation and advice when

you are further along in the planning process. Also, copy

them on meeting notices and meeting minutes. The level of

participation from each of the groups that follows can range

from advisory to active participant.

Neighborhood groups and other non-profit organizations and associations. These entities often act as

advocates for citizens and can be essential in garnering support and local buy-in from citizens. These

groups include neighborhood associations, housing

organizations, watershed associations and other environmental groups, historical preservation groups,

parent-teacher organizations, church organizations,

and the local Red Cross.

State, regional, and local government representatives. State, regional, and local agencies can provide

local expertise and guidance on statutes and programs that can provide grants. In addition, local

agency representatives from departments such as

public works, recreation, fire, or public safety can

provide the team with valuable technical expertise.

Representatives from neighboring communities

should also be included. Key state representatives

include the State Hazard Mitigation Officer, NaSpecialized

Planning Team

Members

You have an opportunity to

include planning team members who

have specialized areas of expertise. For

example, if your mitigation plan will include sensitive areas, lands with endangered species, or historic structures,

you will want to include people representing these issues on your planning

team. In addition, if you are including

technological hazards in your mitigation

plan, such as hazardous materials or

terrorism, invite members with the background and expertise to identify appropriate mitigation measures to reduce

the risks from these hazards.

As referenced in the Introduction, additional how-to guides will be prepared

as special issues arise. These guides

may suggest appropriate people or departments to include on your planning

team to address these issues. Check

the FEMA Web site or contact your

State Hazard Mitigation Officer for new

guides.
build the planning team 2

Version 1.0 September 2002 2-5

tional Flood Insurance Program coordinator, State

Coastal Zone Manager, State Geologist, State Climatologist, and other state agencies associated with the

federal agencies mentioned below.

Businesses and development organizations. Local

businesses are vital to the economic health of the

community. Involving local businesses and the local

units of national or regional chains will help ensure

that the local economy becomes more disaster resistant, and it will yield a larger resource base for

project implementation.

Elected officials. Elected officials can help validate

the hazard mitigation program and process by providing visibility and political influence. These officials often can expedite legislative and budget

considerations, proclamations and resolutions, and

directives to local personnel and agencies.

Federal agency representatives. Federal agencies can

provide technical expertise, knowledge about government processes, guidance on federal programs

and grants, and awareness about current trends in

the area. These federal agencies can include the

regional FEMA office, the district Army Corps of

Engineers office, Economic Development Administration, Environmental Protection Agency, U.S. Fish

and Wildlife Service, U.S. Geological Survey, National Weather Service, U.S. Department of Agriculture, and the Natural Resources Conservation

Service (NRCS) planners. In coastal areas, the National Oceanic and Atmospheric Administration

(NOAA) may be able to provide technical assistance

on coastal issues.

Academic institutions. Academic institutions can

provide valuable resources to both state and local

government mitigation planning. State universities

are often engaged in research that addresses state,

regional, or local issues, and they can provide the

latest data related to your community or state.

If possible, a community or state planner should be identified to be

the expert, guide, and facilitator of the planning process. Local,

regional, or state government agencies such as the planning,

housing, environmental, or transportation departments can also be

Many graduate students

may be interested in undertaking a community or statewide social, environmental, planning, hazard

mapping, or geological information initiative as their thesis or class project. A

class instructor may also be willing to

coordinate a class project that could

assist a community or state in their hazard identification and risk analysis or

planning needs. Collaborating with local universities and colleges could provide low to no-cost planning assistance

and would provide students with handson experience. When considering this

kind of assistance, be prepared to address the following issues:

 Can the project be completed within one or two

semesters? If not, can the

project be broken down

into smaller tasks?

 Will there be a sufficient amount

of guidance and internal organization to enable the instructors

and students to perform the

projects successfully?

 Understand that the students will

need guidance in understanding

and adhering to any regulations.
2-6 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

valuable resources when looking for professional planners. Regional economic development and planning districts may be

particularly active in your state and could facilitate the planning

process. These planners work daily with planning processes, planning resources, and plan development. Therefore, they are familiar

with the legislative and political framework in which the mitigation

plan must operate. It is also beneficial to have a plan leader with

experience chairing other committees, ideally other planning

committees. This helps greatly in all steps of the planning process.

Communities and states should also consider looking for candidates with spirit, enthusiasm, and the time to dedicate to the

initiative. Look towards the leaders and advocates who are already

involved with activities to improve the quality of life in the community.

Task B. Obtain official recognition for the planning team.

Your individual community must decide whether this planning

team will serve only as an advisory committee or if it will be a

decision-making body. Either way, your planning efforts will be

more successful if your team is designated with the official authority to develop a mitigation plan. Your planning team should consider obtaining official recognition in the form of a council resolution, a proclamation, a Memorandum of Agreement (MOA), or a

Memorandum of Understanding (MOU). This recognition can go

a long way toward demonstrating community or state support for

mitigation action, and it greatly increases the plan's chances of

being formally adopted.

Task C. Organize the team.

1. Have an informal kick-off. Once potential candidates have

been identified, it is important to convene the group to enlist their participation and educate them about hazard mitigation planning. This meeting should generate a sense of

teamwork among individuals who may not be used to working together, or who come from different backgrounds or

have different values and interests. The first meeting should

focus on creating a mood for learning rather than jumping

directly into problem solving. Participants will probably

come to this first meeting with preconceived notions of what

they already know about hazards and what they think can be

done about them.

States may decide

to identify specific state

or regional planning resources to support local

plan development. The state

can help local communities to identify

planning team members and should

participate in some way on the planning

team.
build the planning team 2

Version 1.0 September 2002 2-7

Memorandum of Understanding

The following provides an example Memorandum of Understanding (MOU) for a typical planning effort where the community government is being represented by the Planning Department, which serves as the lead staff resource for the

community. Reading and signing a similar MOU should be

one of the first tasks of the planning team.

I. Purpose

As part of the Community Mitigation Planning Program, a

Memorandum of Understanding (MOU) must be executed

between the [insert community name] and the authorized

citizen representative of the [insert planning team name]

planning area. The plan created as a result of this MOU will

be presented to the Planning Commission and City Council

for adoption.

When adopted, plans provide guidance to city boards, commissions, and departments. Adopted plans serve as a guide

and do not include a specific financial commitment by the

city. All adopted plans should address land use, community

facilities, and transportation networks. Priority projects are considered for recommendation as a part of the Annual Improvement Project Report. This report is forwarded to the City Council.

The intent of this MOU is to ensure that the mitigation plan is

developed in an open manner involving neighborhood stakeholders, and that it is consistent with city policies and is an

accurate reflection of the community's values. Its purpose is

to form a working relationship between the citizens of [insert

community name] and the [insert community name] Planning Department.

This MOU sets out the responsibilities of all parties. The MOU

identifies the work to be performed by the planning team and

Planning Department. Planning tasks, schedules, and finished

products are identified in the Work Program.

II. Responsibilities

A general list of responsibilities follows:

COMMUNITY PLANNING TEAM RESPONSIBILITIES

1. Ensure that the planning team includes representatives

from the neighborhood stakeholders groups, including

all residents, neighborhood associations, community

groups, property owners, institutions, businesses,

schools, etc. The Planning Director should approve the

final composition of the planning team.

2. Develop the Work Program with the Planning Department.

3. Organize regular meetings of the planning team in coordination with the Planning Department.

4. Assist the Planning Department with organizing public

meetings to develop the plan.

5. Identify the community resources available to support

the planning effort, including people to serve as meeting facilitators and committee chairs.

6. Assist with recruiting participants for planning meetings,

including the development of a mailing list, distribution

of flyers, and placement of meeting announcements in

neighborhood newsletters.

7. Gain the support of neighborhood stakeholders for the

recommendations found within the plan.

8. Submit the proposed plan to the city for interdepartmental review.

9. Work with the Planning Department to incorporate interdepartmental comments into the proposed plan.

10. Submit the proposed plan to the Planning Commission

and City Council for consideration.

11. After adoption, develop a Coordinating Committee to

monitor and work toward plan implementation.

12. After adoption, publicize the plan to neighborhood interests and ensure new community members are aware

of the plan and its contents.

PLANNING DEPARTMENT STAFF RESPONSIBILITIES

1. Assign a planning staff member to provide technical

assistance and necessary data to the planning effort.

2. Coordinate and facilitate community meetings with the

assistance of the planning team.

3. Provide any necessary materials, handouts, etc., necessary for public planning meetings.

4. Work with the planning team to collect and analyze data

and develop goals and implementation strategies.

5. Provide assistance with the creation of the plan, including review, editing, and formatting.

6. Coordinate with other city departments, public agencies, and other stakeholders during plan development.

7. Coordinate the city interdepartmental review.

8. Prepare for plan consideration by the Planning Commission and City Council.

Director of Planning Planning Team Chair

Name: Signed after selection Name: Signed after selection

Signature: Signature:

Date: Date:
2-8 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

The first gathering should be relaxed, friendly, and brief.

The meeting should focus on an introduction of the team

members, what the meeting is for, and what the team wants

to accomplish. This first meeting should include a discussion

of roles and responsibilities, decision-making processes, conflict resolution strategies, administrative procedures, financial management, and communication strategies. Consider

showing a video about planning (floodplain planning, for

example) as this could help orient the participants and provide background information on why planning is important.

These issues are essential to sustaining the planning process

over the long run. When possible, a representative from the

state should provide an overview of mitigation planning and

DMA 2000 or other applicable requirements. Over the

course of the next few meetings, it would be helpful for the

team to create a chart of the planning process that includes

a timeline. The chart should describe who is responsible for

what and when, what each member's roles are, and how each

party's contribution is related to the overall process. The

chart should not remain static; it should be continually updated and revised as the planning process progresses.

2. Prepare for the first formal meeting. Before the first formal

meeting is convened, the team leader should determine the

local procedural requirements for these meetings. These

laws usually concern whether the team can have closed meetings, whether the records and minutes must be available to

the public, and whether there must be public notices of the

meetings. The team leader or chair of the planning team

should also help develop issues and points of discussion for

the first meeting from the information it has collected. An

agenda should be developed and sent to the members before the first meeting. Someone should be designated for

each of the three roles that are vital to conducting meetings:

the chair, a facilitator, and someone to record all of the information. These roles should have been appointed prior to

the first formal meeting.

A designated team member or two should also begin to

gather data and information about things like the

resources the community has available, the date of the

most recent disaster, damage estimates from the most

recent disaster, etc.

During subsequent

meetings, you may want

to spice up the meeting by

watching a short video or

conducting a "what if" exercise to find out what locations or assets

may be vulnerable to hazards. Information on conducting tabletop mitigation

exercises or a list of videos can be found

on the FEMA Web site or the FEMA

publications warehouse at 1-800-480-

2520.

A few simple guide

rules should be posted

somewhere in the room,

and should include each of

the following guidelines:

 Everyone participates fully

 All input is honored

 Keep your personal agendas

outside of the team

 One colleague speaks at a time

 Be honest and speak what's on

your mind

 No one is ridiculed or made to

feel unimportant

 Look for connections

 Trust the process

 Have some fun
build the planning team 2

Version 1.0 September 2002 2-9

3. Develop a mission statement. The planning team is now

ready to develop a mission statement that will describe the

overall purpose of developing the mitigation plan. Often the

term "mission" is used interchangeably with "vision." However, the mission statement is about the plan's purpose while

the vision statement is about where your community wants

to be in the future as an outcome of your mission. You may

choose to develop both. Developing a mission statement is

the first step toward developing goals to guide you in accomplishing your mission. Subsequently, you will develop objectives and activities to support these goals. Goals and

objectives will be discussed in more detail in Developing a

Mitigation Plan (FEMA 386-3).

Developing a mission statement will help team members to

understand what outcomes they want to achieve. This step

will help build a common understanding of the purpose of

the plan. The central theme for your mission statement

should acknowledge in some way that a specific problem exists and that there are ways to solve it. The mission statement

should answer the following questions:

Why is the plan being developed?

What does the plan do?

For whom or where?

How does the plan do this?

4. Establish responsibilities. Each planning team member

should have a clear understanding of what is expected of

them as a member of the team, what they can expect from

the team and the planning process, and how much time they

will need to dedicate to the initiative. Team members should

have answers to each of the following questions:

What do you see as your role and responsibility in

this initiative?

To be successful, what do you need from the rest of

the team?

To be successful, what do you need to give to the

team in return?

How do you see the plan contributing to the betterment of the community?

Mission and Vision

Statements

Mission statements describe the overall duty and

purpose of the planning process. Vision

statements describe the ultimate outcome that you strive for through your

mission.

North Carolina Natural Hazards

Mitigation Plan (August 2001)

 Mission statement – To make

North Carolinians, communities,

state agencies, local governments, and businesses less vulnerable to the effects of natural

hazards through the effective

administration of hazard mitigation grant programs, hazard risk

assessments, wise floodplain

management, and a coordinated

approach to mitigation policy

through state, regional, and local planning activities.

 Vision statement – Institutionalize a statewide hazard mitigation

ethic through leadership, professionalism, and excellence, leading the way to a safe, sustainable

North Carolina.
2-10 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

What specific things will this committee do to ensure such an outcome?

5. Assign key roles and provide job descriptions to team members. Assignments should be broad to accommodate future

growth of the team. A focus that is too narrow in scope

could require reorganization after the size of the team increases. Also, community professional staff or a consultant

could perform some of these functions as well. Types of roles

include:

Developing public information

Public outreach to special interest groups

Technical assistance from agencies or departments

that are involved

Meeting location planner

Meeting documentation – One person should keep

a record of all meeting minutes, voting and attendance records, resolutions of the team, open public

meetings, and research work summaries. The designated member may also be in charge of posting notices for meetings and press releases. Keeping good

records will provide documentation to support the

team's decisions and provide evidence that the decisions were well considered. Your team might want to

tape the meetings for easier and more complete

record keeping. Minutes should be provided to each

member of the partnership, including members

who are not present at the meetings. Communication networks that provide access to the information, such as email or a Web page, can be

established.

6. Establish a regular meeting schedule. During initial meetings, the team should decide upon a meeting schedule that

is frequent enough to hold the team's interest, but flexible

enough so that team members do not burn out early in the

process. Scheduling outside field trips and visits to nearby

towns and communities are good ways to give team members

first-hand knowledge of problems in the area, and they can

also help break the monotony of meetings. Have one team

member create a calendar of meeting dates, times, and locations and send a copy to all team members.

Documentation of

the planning process, including public involvement, is required to

meet DMA 2000 (see

44CFR §201.4(c)(1) and §201.6(c)(1)).

The plan must include a description of

the planning process used to develop

the plan, including how it was prepared,

who was involved in the process, and

how other agencies participated. A description of the planning process should

include how the planning team or committee was formed, how input was

sought from individuals or other agencies who did not participate on a regular basis, what the goals and objectives

of the planning process were, and how

the plan was prepared. The description

can be in the plan itself or contained in

the cover memo or an appendix.
build the planning team 2

Version 1.0 September 2002 2-11

Initially, the team will require frequent meetings to organize

the process and to further define the mission and responsibilities of the team. Later, the structure of the workgroups,

projects, grant applications, and disaster events will determine the frequency of the meetings. One of the goals of any

mitigation planning team should be to increase coordination among its members so that it almost becomes second

nature whether the meeting structure is formal or relaxed.

7. Set goals for each meeting. To ensure focus, the meeting

facilitator should set goals for each meeting and share these

goals with the group. When setting meeting goals, be sure

that the following questions are addressed:

How will I measure the success of this meeting—

what specific things need to be seen or heard?

Are we making progress?

What will participants take away from the meeting?

What will be its value?

If this meeting were a press event, what headline

would I want to come out of this meeting?

8. Set future meeting agendas; keep it action-oriented. Urge

members to submit future agenda requests that outline what

the individual would like the planning team to do, why he or

she would like the planning team to do it, and what benefit

it will bring to the planning team and project as a whole.

This prevents unnecessary agenda items that can be handled

on an individual or subgroup basis and reveals topics that

need to be further developed before they are submitted to

the entire planning team.

When developing the agenda for team meetings, use actionoriented words that not only state what you are going to talk

about, but connote activity and outcomes. This will help

keep your meeting focused and cut down on time. Examples

of a few action-oriented words are: recruit, evaluate, decide,

assess, monitor, appoint, select, determine, recommend, publicize,

follow-up, write, send, design, and publish.

9. Set timelines for projects to be completed. Timelines are

critical to the success of a hazard mitigation team. They keep

the team focused on its mission and serve as a method to

measure progress.
2-12 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

10. Consider forming subcommittees or workgroups. One option for organizing members of the planning team is to create workgroups or subcommittees. Workgroups or

subcommittees that meet independently of the full planning

team focus on one central issue and usually provide the leadership, research, and plan-writing responsibilities for that

issue. Many planning teams choose to use the workgroup/

subcommittee option for several different reasons. Some

planning teams use workgroups or subcommittees to concentrate participants with similar interests or expertise into

one group. Others use them to foster more organized and

productive meetings than an assemblage of the entire team

would provide. Other planning teams choose workgroups or

subcommittees simply to help prevent "burnout" caused by

participating in too many meetings.

Actual terminology

can vary from planning

team to planning team.

Whether your team has

workgroups, subcommittees, or task forces, the function of these

groups is the same.

Example planning

team committees or

workgroups include:

 Risk Assessment

 Infrastructure

 Critical Facilities

 Land Use Planning and Zoning

 Businesses
build the planning team 2

Version 1.0 September 2002 2-13

Look out for

Common Planning

Pitfalls

Sometimes planning teams

experience difficulty working together as

a unified group. These problems can result from a lack of commitment to the

cause, unclear missions or goals, personality conflicts, personal agendas, or

ill-defined roles for the team members.

Most of these problems will work themselves out over time, but on rare occasions, this difficulty could threaten the

very existence of the group, or the ability to achieve the team goals. This may

happen explosively through conflict or

quietly through indifference. If this occurs within your team, consider trying

different strategies to get the team back

on track.

1. Recognize the constraints and

limitations of a public-private relationship. The concept of public-private partnerships is still a relatively

new concept for planning. The diversity of these stakeholders will add

complexity to the relationships and

could cause increased tensions

among team members. The team

must be alert to possible tensions of

any kind and should be prepared to

take immediate action to address the

issue before it becomes a major impediment to the team's efforts. Problems will arise when team members

perceive an inequality of power, have

a lack of trust of other team members, are unclear about their roles,

or do not feel that their expectations

for the planning process are being

met in any way.

When dealing with government

agencies there are laws, regulations,

and procedures that their representatives are expected to follow. The private sector may also have constraints and limitations on how they

can operate in a partnership relationship from issues such as serving as

boards of directors, company policies, grant restrictions, and legal

regulations. Small businesses may

be limited in the amount of resources

they can contribute and the amount

of time they can devote to the partnership. Recognizing and understanding the constraints and limitations of both sides through

discussions and strategies to address the issues will enable the team

to function more effectively.

2. Check level of understanding.

Some information that will be discussed during the team meetings will

be somewhat technical, but critical

to the success of the mitigation planning process. Ask questions of the

participants to make sure they understand everything that is discussed

and why it is important before misunderstandings become a barrier to

further progress.

3. Go back to the drawing board. The

planning team or chair of the planning team may need to determine

whether the proper team members

have been invited to participate, to

define more clearly the purpose and

direction of the hazard mitigation

team and its roles.

4. Check on the speed of the planning process. Too much time between meetings or steps in the planning process may cause the team to

lose interest. The team may want to

consider assigning homework for

each member before the meetings

so that more work can be completed

in less time, and by tightening up

deadlines to finish the planning process more quickly.

5. Conduct icebreaker exercises at

the beginning and middle of each

meeting. Icebreakers such as mental or physical games or exercises

can enhance creative thinking and

help create a relaxed, more informal

atmosphere.

6. Appoint or hire a trained facilitator to run meetings. Facilitators are

skilled professionals who help meetings run more smoothly and efficiently, and help keep the focus of

meetings on track.
2-14 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

The Hazardville Post

Vol. CXI No. 65 Thursday, March 13, 2002

[Hazardville, EM] The Hazardville

Mitigation Committee is seeking

new members.

Mr. Joe Norris, Planning Department Director and Chair of the

newly formed Town of Hazardville

Organization for Risk Reduction

(THORR), stated; "In forming this

committee we are looking for people

who want to plan for the future and

support the idea of planning before

a disaster strikes, which is the only

way to truly make our community

safer, healthier, and more economically resilient."

Mr. Norris was tasked with organizing a committee to create a hazard mitigation plan. The committee

should include stakeholders or

people directly affected by disasters.

Although there is no "best way" to

single these people out, Mr. Norris

Planning Committee Looks for Members

said he is looking for people willing

to support the mitigation planning

process as well as those with access

to financial and/or technical resources. He is enlisting the help of

neighborhood associations, housing

organizations, local environmental

groups, historical preservation

groups, and the local American Red

Cross in order to generate a successful and well-integrated mitigation

plan.

Mr. Norris said when interviewed,

"Team members should have a clear

understanding of what is expected

of them and how much of his or her

time will be needed or dedicated to

the initiative. I want potential team

members to walk away from any

given meeting or forum feeling that

they have helped Hazardville on the

road to establishing a successful

mitigation plan that will reduce

losses from future disasters."

"We need to develop a mission

statement and a vision that will

unite the committee, and ultimately

the community. We need to build a

relationship that is based on an understanding and commitment to

achieve a positive outcome for current and future generations who

live and work in Hazardville."

A proposed work plan and schedule, which will be reviewed and

agreed upon by the planning committee, is included at the end of this

article. This should give residents

an idea of the planning process and

the actions that the committee will

be responsible for. If you are interested in participating, please call Joe

Norris at (888) 222-1111.
build the planning team 2

Version 1.0 September 2002 2-15

Draft Work Plan

Hazard Identification, Analysis and Risk Assessment (June '02 – October '02)

 Project Initiation Meeting

 Public Meeting #1

 Hazard Identification

 Hazard Events Profile

 Community Asset Inventory

 Risk Assessment/Loss Estimation

 Progress and Coordination Meetings

Capability Assessment (June '02 – October '02)

 Plans, Policies, and Programs Examination

 Assessment of Previous Mitigation Activities

 Identification of Resources

 Public Meeting #2

 Progress and Coordination Meetings

Assessment of Alternative Hazard Mitigation Measures and Needs (November '02 – January '03)

 Develop Goals and Objectives

 Research of Mitigation Alternatives

 Progress and Coordination Meeting

 Evaluate the Mitigation Measures

 Mitigation Recommendations

 Public Meeting #3

Development of Implementation Strategy (February '03 – May '03)

 Progress and Coordination Meetings

 Mitigation Action Plan

 Public Meeting #4

 Public Hearing: present the draft Hazard Mitigation Plan

 Final Presentation: elected and appointed officials or other designated forum

Production of Final Plan (March '03 – May '03)

 Draft Plan

 Final Plan

 Adoption of plan by Planning Committee and City Council

Ongoing Activities (ongoing from June '03)

 Plan Evaluation

 Plan Updates

 Incorporate changes into plan
2-16 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

Work Schedule

Task

2002 2003

6/30 7/31 8/31 9/30 10/31 11/30 12/31 1/31 2/28 3/31 4/30 5/31

Hazard

Identification &

Vulnerability

Assessment

Capability

Assessment

Alternative

Mitigation

Measures

Implementation

Strategy

Planning Team

Meetings

#1 #2 #3 #4 #5 #6

Public Meetings #1 #2 #3 #4

Draft Mitigation

Plan

Public Hearing 

Adoption of

Plan by Planning

Committee and

City Council


Version 1.0 September 2002 2-17

In establishing a planning team, you want to ensure that you have a broad range of backgrounds and experiences

represented. Below are some suggestions for agencies to include in a planning team. There are many organizations, both

governmental and community-based, that should be included when creating a local team. In addition, state

organizations can be included on local teams, when appropriate, to serve as a source of information and to provide

guidance and coordination.

Use the checklist as a starting point for forming your team. Check the boxes beside any individuals or organizations that

you have in your community/state that you believe should be included on your planning team so you can follow up with

them.

Task A. Create the planning team – Suggestions for team members. Date:____________

Local/Tribal

Administrator/Manager’s Office

Budget/Finance Office

Building Code Enforcement Office

City/County Attorney’s Office

Economic Development Office

Emergency Preparedness Office

Fire and Rescue Department

Hospital Management

Local Emergency Planning Committee

Planning and Zoning Office

Police/Sheriff’s Department

Public Works Department

Sanitation Department

School Board

Transportation Department

Tribal Leaders

Special Districts and Authorities

Airport and Seaport Authorities

Business Improvement District(s)

Fire Control District

Flood Control District

Redevelopment Agencies

Regional/Metropolitan Planning Organization(s)

School District(s)

Transit/Transportation Agencies

Others

Architectural/Engineering/Planning Firms

Citizen Corps

Colleges/Universities

Land Developers

Major Employers/Businesses

Professional Associations

Retired Professionals

State

Adjutant General’s Office (National Guard)

Board of Education

Building Code Office

Climatologist

Earthquake Program Manager

Economic Development Office

Emergency Management Office/State Hazard Mitigation Officer

Environmental Protection Office

Fire Marshal’s Office

Geologist

Homeland Security Coordinator’s Office

Housing Office

Hurricane Program Manager

Insurance Commissioner’s Office

National Flood Insurance Program Coordinator

Natural Resources Office

Planning Agencies

Police

Public Health Office

Public Information Office

Tourism Department

Non-Governmental Organizations (NGOs)

American Red Cross

Chamber of Commerce

Community/Faith-Based Organizations

Environmental Organizations

Homeowners Associations

Neighborhood Organizations

Private Development Agencies

Utility Companies

Other Appropriate NGOs

Worksheet #1 Build the Planning Team step 
step
Version 1.0 September 2002 3-1

3

engage

the public

Overview

Although the planning team represents a cross-section of the

community, it is important to include broad public participation in the planning process as well. Involving stakeholders who are

not part of the core team in all stages of the process will introduce

the planning team to different points of view about the needs of

the community. It will also provide opportunities to educate the

public about hazard mitigation, the planning process, any findings,

and could be used to generate support for the mitigation plan.

The stakeholders to involve include those individuals who do not

regularly participate in the planning process, but may be affected

or have an interest in the plan and its implications. Such stakeholders include public officials, agency heads, neighborhood and other

civic organizations, business associations, institutions, and individual citizens.

Involving these stakeholders in a public participation process will

aid in developing support for the plan and its implementation.

Getting these stakeholders' support, however, may be a challenge.

Two obstacles are commonly encountered. First, most people may

not be aware of risks in their community; secondly, they may not

know what mitigation is or how it can compliment an array of

existing goals. Therefore, it is important to find ways to engage

these stakeholders and educate them about the planning process

and the benefits of mitigation to them personally and at the community level.

This step will show you how to identify the stakeholders, organize

your public participation activities, and incorporate public feedback into your decision-making process.
3-2 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

Procedures & Techniques

Task A. Identify the public.

Identifying the people to involve will be similar to what you did in

Step 2, Task A, when you created the planning team. In this step,

however, you will be looking more toward educating and informing

the public about what is happening and how proposed measures

may affect them, providing opportunities for them to voice their

concerns, and integrating their feedback as you make decisions.

As a start, you may have developed a list of stakeholders when you

identified members for the planning team. Revisit this list to see

who declined to join the planning team and put them on your

contact list. Also, as you learned more about your community, you

may have encountered other stakeholders you may not have originally considered. Revisit the questions in Step 2, Task A.2 to help

you identify these people. You may also have lists of participants

from previous planning efforts. Review these lists and select those

who should be contacted.

Public Participation Methods

Groups make decisions in many ways. In a partnership, the level of

enthusiasm or involvement of individual members is tied directly to

the feeling of ownership in the project. Using a consensus-based approach to decision making helps promote an attitude of respect for

other opinions while ensuring a process that allows everyone to participate and

be heard. This differs from the majority-rule concept, in which members of the

group may leave the decision-making process feeling unhappy with the outcome.

Majority rule is a legitimate way to make decisions when the situation does not

warrant the time consuming process of consensus. The group should be able to

decide whether the seriousness and significance of the situation requires consensus or majority rule.

Consensus is a way of working together as a group to reach a decision or solution. The consensus-based approach is an important part of working and acting

as a team because it forces the individual members to move beyond their own

self-interests and take into consideration the positions of other stakeholders. It is

an informal discussion involving talking issues through, understanding what other

people are saying and feeling, and then trying to work out decisions acceptable

to everyone. All of the members should be a part of the decision and should feel

the decision that was reached was the best possible one for the team. The decision may not be their personal preference, but it is one they should be able to

support.

For additional information, including techniques you can use to reach consensus, see Getting to Yes: Negotiating Agreement Without Giving In, and Breaking

the Impasse: Consensus Approaches to Resolving Public Disputes (see Appendix B).

An effective way to identify

leaders in the community (this would

include people who may not

necessarily be heads of organizations or elected officials, but who command the

respect of community members, e.g., a lawyer, neighborhood activist, or philanthropist) is to

ask team members and those who attend public participation activities to

name individuals they think should be

contacted. You will notice that the same

names keep coming up. You may want

to personally invite these people or follow-up a mailing to them with a phone

call to ensure that they are aware of the

next planning team meeting.
engage the public 3

Version 1.0 September 2002 3-3

Task B. Organize public participation activities.

1. Schedule public participation activities.

During your organization of the team (Step 2), you set up

a regular meeting schedule (Task C) and a timeline for

completing certain phases of your plan. Revisit this schedule and identify points where it is important to inform the

public of what is happening and to seek their input to

assist you in making a decision. For example, you may want

to hold a public meeting at the beginning of the planning

process to let stakeholders know the purpose of your

planning effort and how you are approaching it. You may

have one or more people join the team after such a meeting. Once they understand what is involved, they may

decide it is worth their time. Another good time to invite

public involvement is after you have completed your risk

assessment and damage loss estimation [see Understanding

Your Risks (FEMA 386-2)]. This will give the public a

chance to learn specific information about the

community's vulnerabilities, which can be a revelation as

to why mitigation planning is important. You may also

want to get feedback and input on setting goals, and

identifying and selecting mitigation alternatives. Stakeholders should review and agree with your selection and

evaluation criteria. Once you have a draft plan that the

public can review, invite them to provide comments before

the plan is presented formally for adoption [see Bringing

the Plan to Life (FEMA 386-4)]. Note that Hazardville held

four public meetings during the one-year planning process.

Determine the appropriate public participation method for

different types of stakeholders.

Not everyone likes to participate or voice opinions in a

large meeting setting. Others may prefer to learn about

community initiatives during their regularly scheduled

association meetings. It is important to assess how best to

reach your stakeholders. Ask others on the team what they

have done in the past to inform or get input from stakeholders. The public participation methods that will work

for your community or state depends on the size of your

community, the extent of citizen involvement, governmental policies, and the capabilities of the officials to support

the planning initiative. Review how you have handled this
3-4 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

in the past and what produced good results. You may have

found that elected officials prefer a one-on-one briefing.

Businesses, non-profits, and institutions may have welcomed you at their business association meetings or

invited you to speak at their regularly scheduled breakfasts. The team can also ask to be added to the agendas of

scheduled community group meetings, including neighborhood associations, community service groups (Lions,

Jaycees, etc), business alliances, and the local Chamber of

Commerce, to explain and talk about the planning process. Take advantage of the meeting infrastructure already

in place.

Some other participation methods you may want to consider for your community or state include: hosting a public

workshop, establishing a hotline, conducting interviews,

and distributing a questionnaire. Workshops can be held

during different milestones in the planning process for

large or small groups of community or state representatives, business representatives, and citizens. These meetings can bring problems and issues to the table and provide new ideas for solutions.

Holding regular community meetings can create a public

forum in which questions can be asked, issues can be

raised, answers can be given, and concerns can be addressed. These public meetings will also help you sell

mitigation beyond the planning team to the community at

large. As part of this, you need to agree on the public

participation rules. You may decide to use the same ones

that apply to the planning team or modify this list. Also,

agree on how you will handle conflict beforehand.

A hotline can be established so that anyone with a concern,

question, or comment can reach a person who will be able

to speak knowledgeably about the planning process. This

number should be well publicized in newsletters, news

releases, meeting announcements, etc. The key to an

effective hotline is ensuring that callers feel that the

person at the other end of the hotline is interested in what

they have to say, and not whether or not they have all the

answers. A cost-effective alternative to a telephone hotline

would be to post an e-mail address or use an interactive

Web site.
engage the public 3

Version 1.0 September 2002 3-5

Interviews allow you to gather information from key

people, including community representatives or leaders,

heads of civic groups, and people who will be most affected by the plan and might be more comfortable talking

one-on-one. Obviously, you cannot interview everyone, but

by interviewing key community members, you can gather

specific qualitative information that you probably cannot

obtain in any other way.

Questionnaires can also be used to gather valuable information that people might not feel comfortable disclosing

face-to-face. The questionnaire can be as simple or detailed as you want and is a good way to collect a lot of

information on citizens’ knowledge of hazards as well as

what mitigation activities they'd like to see implemented.

An excellent example is the questionnaire used by the

Partners for Disaster Resistance: Oregon Showcase State

Program, which is included as Appendix D.

Once you determine how to best approach public stakeholders, assign responsibilities for:

 Organizing mailings;

 Logistical coordination;

 Meeting facilitation;

 Establishing a hotline;

 Contacting interviewees; and

 Developing presentation materials.

Again, select the method, or methods, most appropriate

for your community and assign responsibilities accordingly.

Analyze, evaluate, and incorporate comments.

As a team, decide how to analyze, evaluate, respond, and

incorporate comments into your decision-making process.

Stakeholders should know that you will listen to their

opinions and suggestions, and that you will decide how to

best incorporate these into the plan. They should be

warned, however, that while suggestions are welcome, they

will not always be acted upon. However, stakeholders

deserve an explanation of your decision. Someone should

be assigned the responsibility for organizing the feedback

you receive, including summarizing meeting points,
3-6 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

identifying and tracking key issues, and responding to

feedback.

Keeping track of and analyzing public comments can get

complicated if you have a large amount of information

coming in. Develop a process for organizing and storing

the comments you receive. This can be based on such

things as the topic addressed in the comment, the geographic area of the person making the comment, or

whether it is a positive or negative comment. It doesn't

matter how the feedback is organized, as long as you

ensure that the comments are incorporated into the

various stages of the planning process. The Library in

Appendix B contains references that include more specific

information on how to analyze and evaluate public feedback.

2. Document results.

Documenting results is a crucial part of analyzing, evaluating, and incorporating public feedback. As mentioned

previously, all public comments, regardless of the source of

the comment, should be recorded and organized. After

each public participation activity, results should be documented so that they can be referred to later. Decision

makers will use the public comments to ensure that all

issues are addressed during the formation of the mitigation plan. The documentation of the feedback serves as a

permanent record that shows you included public input

during the planning process. A specific person or persons

from the planning team should be designated the central

contact for public feedback. This person will be responsible for maintaining and organizing the comments.

Task C. Develop a public education campaign.

You will need a specific way to present information to each type of

stakeholder. When meeting with elected and public officials, for

example, you may want to present a brief PowerPoint presentation

that can be expanded for use in a larger public meeting setting.

You may leave brochures with them that can also be distributed at

fairs or libraries. Look at the activities and map out what information would be useful to leave with stakeholders and what information you need to prepare for presentation purposes. The following

are information materials you can prepare as part of your education campaign, as well as venues for distributing them.

Obtain Letters of

Support or

Endorsement

During public outreach activities, you may come to

realize that certain groups or

organizations strongly support your mitigation plan and planning process. Try

to get these organizations to provide

you with letters of support or endorsement. To ease this process, provide

them with a template letter that they can

tailor and send back to you. These letters will let you know who is interested

and can possibly help you, and will also

be of assistance during the formal plan

adoption process. They may also help

in continuing to attract new participants.
engage the public 3

Version 1.0 September 2002 3-7

1. News media.

One of the easiest and most effective ways to inform and

involve the public is through the media. Print, radio, and

television media have the ability to affect and shape our

opinions and behavior, and influence our preferences and

choices. Your team might want to include a special insert

in the local paper, broadcast public meetings on the local

access channel or through public service announcements,

or even produce a video highlighting recent disasters and

damages in your community or state.

You can contact local reporters and give them a press kit,

which is a folder summarizing the key information that

includes your goals and actions, to pique their interest and

provide them with accurate information. You can also do a

news release, which you write and provide to local news

media. If your story generates enough interest, a feature

story may be done. This is a full news story written by a

reporter. A news conference is another way to get information out, but to generate enough interest and ensure that

the media will show up, these are usually only done for

major announcements by well known people.

You can also contact local publications and newsletters and

ask them to include information about the plan and the

planning process. Examples of local organizations that

might have publications include: watershed organizations,

historic societies, volunteer organizations, technical

associations, garden clubs, and churches.

2. Brochures, fliers, and newsletters.

Brochures, fliers, and newsletters are relatively inexpensive

to produce and can be useful in reaching audiences that

might not otherwise have the opportunity to learn more

about hazards that affect your community. Someone on

the planning team can create the brochure or newsletter,

or perhaps you can find a volunteer willing to produce it.

Make sure these publications are reviewed and approved

by key members of the planning team before they are

distributed. The brochures should be clear and easy to

read and understand. The brochures, fliers, and newsletters should include information about the planning

committee and what the mitigation plan is expected to

accomplish in your community or state. Make sure that the

While the media is

a good source for getting information to the public, you do have to be careful. Sometimes the media

can distort the information you give

them or give it a different spin. The media likes attention-grabbing headlines

so they may try to make your plan controversial in some way. You should work

on establishing an honest, working relationship with a local reporter so that

each of you has someone to turn to

when you need to gather or provide information to the community.
3-8 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

documents include a designated department or contact

name and phone number in case anyone wants to learn

more about the initiative. These documents can be distributed through utility bills, grocery or department stores,

government buildings, and libraries throughout the

community or state.

3. Outreach activities at festivals, fairs, and bazaars.

Public events provide unique opportunities for planning

team members to interact with the public in a relaxed and

informal atmosphere. The planning team may want to ask

the event coordinators if they would consider donating a

booth or a table to display hazard and mitigation-related

brochures, fliers, and newsletters. During the event, team

members can talk to citizens about their experience with

hazards and try to get feedback on any mitigation activities

the team is considering. This also provides people with an

opportunity to ask questions face to face. Someone on the

planning team should be in charge of keeping track of the

dates of local fairs, festivals, etc. and should be responsible

for contacting the organizers of the events.

4. Get your planning team connected to the Internet.

As more communities learn about the Internet and obtain

the resources to set up Web sites, more people come to

expect information at their fingertips. Almost all state,

regional, and local governmental entities now have Web

sites. Linking to a Web page on these sites can be an

excellent way to publicize and highlight your planning

efforts. The Web page can be as simple as a description of

the planning initiative with upcoming meeting dates,

times, and minutes from the last meeting, or it can be

highly developed with links to mitigation and hazard

resources and sites. The Web site could also be used to

post questionnaires for citizens to determine their perceptions of hazards and risks in the community or state, as

well as provide an additional outlet to generate feedback

on issues.

FEMA's Mitigation

Resources for

Success CD

(FEMA 372)is full of materials and practical ideas for

building community awareness. The

success stories from other communities or states may ignite a wealth of new

ideas in your planning team. The Mitigation Library contains brochures, fact

sheets, and step-by-step instructions on

disaster preparedness, mitigation, response, and recovery. To order, call the

FEMA publications warehouse at

1-800-480-2520.

When creating a

mitigation plan in response to the Cerro Grande

Fire, the town of Los

Alamos, NM created a Web

page to announce public meetings, gain

public input into the process and development of the plan, and to inform the

public about the potential mitigation

measures and the progress of the mitigation plan.
Version 1.0 September 2002 3-9

engage the public 3

The Hazardville Post

Vol. CXI No. 65 Thursday, May 3, 2002

[Hazardville, EM] The Town of

Hazardville Organization for Risk

Reduction (THORR) is organizing

a facilitated workshop to educate

the community on the mitigation

planning process and to outline opportunities for public input in the

planning process. This meeting will

also serve as a forum for the public

to voice their opinions and concerns

about the mitigation plan. Ms. Rita

Booke, head of the local Citizen's for

Action group, has agreed to record

all public comments and will post

them and their responses on the

THORR Web page. Ms. Booke

stated, "Public input into this process is so important, I really hope

people come to the meeting and

voice their opinions and ask questions. Without public comments

this process will not be nearly as effective; in fact, we're counting on

THORR to Hold Public Workshop

public input to help us shape the

plan."

Mr. Joe Norris, Planning Department Director and Chair of

THORR, said he would be available

to answer questions on the day of

the workshop. "I have details about

the last flood and how it affected the

community as a whole," said Mr.

Norris. "These details are not easily forgotten since I, as well as many

others, lost crops and ended up doing major repairs on our homes after the flooding of May 2000."

Mary Tremble, Director of

Hazardville's Emergency Management Agency, will discuss the disasters that have occurred in the past

in and around Hazardville, and

state representatives from the Office of Emergency Preparedness

(OEP), Office of the Environment,

and Office of Planning will be on

hand to demonstrate their support for the planning process.

Hazardville received a $20,000

grant from the State Emergency

Management Agency's Pre-Disaster

Mitigation Grant Program to

complement local funding to develop Hazardville's All-Hazard Risk

Reduction Plan.

Starting May 5, 2002, local radio

station WHAM will begin announcing the date, time, and location of

the workshop to ensure that as

many people as possible are aware

of what is happening and, therefore,

better informed. Jim Snow, owner

of Snow's Snowplows and the business leader of THORR, and Mr.

Norris will also distribute posters

and fliers announcing the workshop.
afterword
Version 1.0 September 2002 afterword

afterword

You have organized your resources, established your planning

team, and engaged the public. The work you have done in this

first phase will continue to pay dividends throughout the planning

process. You are now ready to move to the next phase of the hazard

mitigation planning process, Assess Risks.

The next how-to guide in this series, Understanding Your Risks

(FEMA 386-2), will walk you through a four-step process of identifying your hazards and estimating the potential losses from future

hazard events. The loss estimation is important to help you identify

the hazards or assets you should address first in your mitigation

plan.

As detailed in the Foreword,

the Hazard Mitigation Planning process

consists of four basic phases.

The next how-to in the series, Understanding Your Risks, will provide the factual basis for your plan.
appendices
Version 1.0 September 2002 a-1

appendix a

glossary

Acquisition

Asset

Building

Coastal Zone

Community Rating System (CRS)

Contour

Debris

Disaster Mitigation Act of 2000

(DMA 2000)

Earthquake

Erosion

Extent

Fault

Local governments can acquire lands in high hazard areas through conservation easements, purchase of development rights, or outright purchase of

property.

Any manmade or natural feature that has value, including, but not limited

to people; buildings; infrastructure like bridges, roads, and sewer and water

systems; lifelines like electricity and communication resources; or environmental, cultural, or recreational features like parks, dunes, wetlands, or

landmarks.

A structure that is walled and roofed, principally above ground and permanently affixed to a site. The term includes a manufactured home on a

permanent foundation on which the wheels and axles carry no weight.

The area along the shore where the ocean meets the land as the surface of

the land rises above the ocean. This land/water interface includes barrier

islands, estuaries, beaches, coastal wetlands, and land areas having direct

drainage to the ocean.

CRS is a program that provides incentives for National Flood Insurance

Program communities to complete activities that reduce flood hazard risk.

When the community completes specified activities, the insurance premiums of the policyholders in those communities are reduced.

A line of equal ground elevation on a topographic (contour) map.

The scattered remains of assets broken or destroyed in a hazard event.

Debris caused by a wind or water hazard event can cause additional damage

to other assets.

DMA 2000 (Public Law 106-390) is the latest legislation to improve the

planning process. It was signed into law on October 10, 2000. This new

legislation reinforces the importance of mitigation planning and emphasizes planning for disasters before they occur.

A sudden motion or trembling that is caused by a release of strain accumulated within or along the edge of earth's tectonic plates.

Wearing away of the land surface by detachment and movement of soil and

rock fragments, during a flood or storm or over a period of years, through

the action of wind, water, or other geologic processes.

The size of an area affected by a hazard or hazard event.

A fracture in the continuity of a rock formation caused by a shifting or

dislodging of the earth's crust, in which adjacent surfaces are differentially

displaced parallel to the plane of fracture.
a-2 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

Independent agency created in 1979 to provide a single point of accountability for all federal activities related to disaster mitigation and emergency

preparedness, response, and recovery.

Height of the flood water surface above the ground surface.

The area shown to be inundated by a flood of a given magnitude on a map.

Map of a community, prepared by FEMA, shows both the special flood

hazard areas and the risk premium zones applicable to the community

under the National Flood Insurance Program.

A geographical area shown on a FIRM that reflects the severity or type of

flooding in the area.

Any land area, including watercourse, susceptible to partial or complete

inundation by water from any source.

A source of potential danger or adverse condition.

A specific occurrence of a particular type of hazard.

The process of identifying hazards that threaten an area.

Sustained actions taken to reduce or eliminate long-term risk from hazards

and their effects.

A GIS-based, nationally standardized, loss estimation tool developed by

FEMA.

An intense tropical cyclone, formed in the atmosphere over warm ocean

areas, in which wind speeds reach 74 miles per hour or more and blow in a

large spiral around a relatively calm center or "eye." Hurricanes develop

over the north Atlantic Ocean, northeast Pacific Ocean, or the south Pacific

Ocean east of 1600E longitude. Hurricane circulation is counter-clockwise

in the Northern Hemisphere and clockwise in the Southern Hemisphere.

Refers to the public services of a community that have a direct impact on

the quality of life. Infrastructure includes communication technology such

as phone lines or Internet access, vital services such as public water supplies

and sewer treatment facilities, and includes an area's transportation system

such as airports, heliports, highways, bridges, tunnels, roadbeds, overpasses,

railways, bridges, rail yards, depots; and waterways, canals, locks, seaports,

ferries, harbors, drydocks, piers, and regional dams.

Downward movement of a slope and materials under the force of gravity.

LEPCs consist of community representatives and are appointed by the State

Emergency Response Commissions (SERCs), as required by Superfund

Amendments and Reauthorization Act (SARA), Title III. They develop an

emergency plan to prepare for and respond to chemical emergencies. They

are also responsible for coordinating with local facilities to find out what

they are doing to reduce hazards, prepare for accidents, and reduce

hazardous inventories and releases. The LEPC serves as a focal point in the

Federal Emergency Management

Agency (FEMA)

Flood Depth

Flood Hazard Area

Flood Insurance Rate Map (FIRM)

Flood Zone

Floodplain

Hazard

Hazard Event

Hazard Identification

Hazard Mitigation

HAZUS (Hazards U.S.)

Hurricane

Infrastructure

Landslide

Local Emergency Planning

Committee (LEPC)
appendix a – glossary

Version 1.0 September 2002 a-3

Magnitude

Mitigate

Mitigation Plan

National Flood Insurance Program

(NFIP)

National Weather Service (NWS)

Planning

Preparedness

Probability

Recovery

Regulatory Power

Response

Risk

Scale

Stafford Act

community for information and discussions about hazardous substances,

emergency planning, and health and environmental risks.

A measure of the strength of a hazard event. The magnitude (also referred

to as severity) of a given hazard event is usually determined using technical

measures specific to the hazar

To cause something to become less harsh or hostile, to make less severe or

painful.

Systematically evaluating community policies, actions, and tools, and setting

goals for implementation over the long term that will result in a reduction

in risk and minimize future losses community-wide.

Federal program created by Congress in 1968 that makes flood insurance

available in communities that enact minimum floodplain management

regulations as indicated in 44 CFR §60.3.

Prepares and issues flood, severe weather, and coastal storm warnings and

can provide technical assistance to federal and state entities in preparing

weather and flood warning plans.

The act or process of making or carrying out plans; the establishment of

goals, policies, and procedures for a social or economic unit.

Actions that strengthen the capability of government, citizens, and communities to respond to disasters.

A statistical measure of the likelihood that a hazard event will occur.

The actions taken by an individual or community after a catastrophic event

to restore order and lifelines in a community.

Local jurisdictions have the authority to regulate certain activities in their

jurisdiction. With respect to mitigation planning, the focus is on such things

as regulating land use development and construction through zoning,

subdivision regulations, design standards, and floodplain regulations.

The actions taken during an event to address immediate life and safety

needs and to minimize further damage to properties.

The estimated impact that a hazard would have on people, services, facilities, and structures in a community; the likelihood of a hazard event

resulting in an adverse condition that causes injury or damage. Risk is often

expressed in relative terms such as a high, moderate, or low likelihood of

sustaining damage above a particular threshold due to a specific type of

hazard event. It also can be expressed in terms of potential monetary losses

associated with the intensity of the hazard.

A proportion used in determining a dimensional relationship; the ratio of

the distance between two points on a map and the actual distance between

the two points on the earth's surface.

The Robert T. Stafford Disaster Relief and Emergency Assistance Act, PL

100-107 was signed into law November 23, 1988 and amended the Disaster
a-4 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

Relief Act of 1974, PL 93-288. The Stafford Act is the statutory authority for

most federal disaster response activities, especially as they pertain to FEMA

and its programs.

Individual or group that will be affected in any way by an action or policy.

They include businesses, private organizations, and citizens.

The representative of state government who is the primary point of contact

with FEMA, other state and federal agencies, and local units of government

in the planning and implementation of pre- and post-disaster mitigation

activities.

Damage of any origin sustained by a structure in a Special Flood Hazard

Area whereby the cost of restoring the structure to its before-damaged

condition would equal or exceed 50 percent of the market value of the

structure before the damage.

Torsionally rigid, thin segments of the earth's lithosphere that may be

assumed to move horizontally and adjoin other plates. It is the friction

between plate boundaries that cause seismic activity.

Characterizes maps that show manmade features and indicate the physical

shape of the land using contour lines.

A violently rotating column of air extending from a thunderstorm to the

ground.

A generic term for a cyclonic, low-pressure system over tropical or subtropical waters.

A tropical cyclone with maximum sustained winds greater than 39 mph and

less than 74 mph.

Great sea wave produced by submarine earth movement or volcanic eruption.

Describes how exposed or susceptible to damage an asset is. Vulnerability

depends on an asset's construction, contents, and the economic value of its

functions. Like indirect damages, the vulnerability of one element of the

community is often related to the vulnerability of another. For example,

since many businesses depend on uninterrupted electrical power, if an

electric substation is flooded it will affect not only the substation itself, but a

number of businesses as well. Often, indirect effects can be much more

widespread and damaging than direct ones.

The extent of injury and damage that may result from a hazard event of a

given intensity in a given area. The vulnerability assessment should address

impacts of hazard events on the existing and future built environment.

An uncontrolled fire spreading through vegetative fuels, exposing and

possibly consuming structures.

Stakeholder

State Hazard Mitigation Officer

(SHMO)

Substantial Damage

Tectonic Plate

Topographic

Tornado

Tropical Cyclone

Tropical Storm

Tsunami

Vulnerability

Vulnerability Assessment

Wildfire
Version 1.0 September 2002 b-1

appendix b

library

American Planning Association:

Association of State Floodplain Managers:

Developing the Implementation Strategy:

Federal Emergency Management Agency:

Mitigation Planning

Community Rating System:

Flood Hazard Mapping:

Flood Mitigation Assistance Program:

Hazard Mitigation Grant Program:

Individual Assistance Programs:

Interim Final Rule:

Multi-Hazard Mapping:

National Flood Insurance Program:

Public Assistance Program:

Oregon Natural Hazards Workgroup:

Working with Consultants:

Web Sites

http://www.planning.org

http://www.floods.org

http://www.pro.gov.uk/recordsmanagement/eros/

framework.pdf

http://www.allhandsconsulting.com/ERI_books.htm

http://www.esri.com/news/arcuser/0100/firetools.html

http://www.pmel.noaa.gov/~bernard/hazard3.pdf

http://www.uli.org/Pub/Pages/d_search/allbooks.cfm

http://www.fema.gov/fima/planning.shtm

http://www.fema.gov/nfip/crs.htm

http://www.fema.gov/mit/tsd/st_main.htm

http://www.fema.gov/fima/planfma.shtm

http://www.fema.gov/fima/hmgp

http://www.fema.gov/rrr/inassist.shtm

http://www.access.gpo.gov/su_docs/fedreg/a020226c.html

http://www.hazardmaps.gov

http://www.fema.gov/nfip

http://www.fema.gov/rrr/pa

http://www.uoregon.edu/~onhw/index2.htm

http://ntweb03.asiandevbank.org/oes0019p.nsf/pages/209ATP

http://www.mapnp.org/library/staffing/outsrcng/consult/

consult.htm

http://abcnews.go.com/sections/business/WorkingWounded/

workingwounded001020.html
b-2 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started

Publications

Creighton, James L., 1992

FEMA

Fisher, Roger and William Ury, 1981

Schwab, Jim et al., 1998

Susskind, Lawrence and Jeffry Cruikshank,

1987

The Program for Community Problem Solving. Involving

Citizens in Community Decision Making: A Guidebook.

Publications Warehouse 1-800-480-2520.

Mitigation Resources for Success CD (FEMA 372).

Planning for a Sustainable Future: the Link Between Hazard

Mitigation and Livability (FEMA 364).

Protecting Business Operations (FEMA 331).

Rebuilding for a More Sustainable Future: An Operational

Framework (FEMA 365).

Getting to Yes: Negotiating Agreement without Giving In.

Penguin Books: New York.

Planning for Post-Disaster Recovery and Reconstruction.

American Planning Association: Chicago.

Breaking the Impasse: Consensual Approaches to Resolving

Public Disputes. Basic Books: New York.
Version 1.0 September 2002 c-1

appendix c

worksheet

Worksheet #1 Build the Planning Team

In establishing a planning team, you want to ensure that you have a broad range of backgrounds and experiences

represented. Below are some suggestions for agencies to include in a planning team. There are many organizations, both

governmental and community-based, that should be included when creating a local team. In addition, state

organizations can be included on local teams, when appropriate, to serve as a source of information and to provide

guidance and coordination.

Use the checklist as a starting point for forming your team. Check the boxes beside any individuals or organizations that

you have in your community/state that you believe should be included on your planning team so you can follow up with

them.

Task A. Create the planning team – Suggestions for team members. Date:____________

Local/Tribal

Administrator/Manager’s Office

Budget/Finance Office

Building Code Enforcement Office

City/County Attorney’s Office

Economic Development Office

Emergency Preparedness Office

Fire and Rescue Department

Hospital Management

Local Emergency Planning Committee

Planning and Zoning Office

Police/Sheriff’s Department

Public Works Department

Sanitation Department

School Board

Transportation Department

Tribal Leaders

Special Districts and Authorities

Airport and Seaport Authorities

Business Improvement District(s)

Fire Control District

Flood Control District

Redevelopment Agencies

Regional/Metropolitan Planning Organization(s)

School District(s)

Transit/Transportation Agencies

Others

Architectural/Engineering/Planning Firms

Citizen Corps

Colleges/Universities

Land Developers

Major Employers/Businesses

Professional Associations

Retired Professionals

State

Adjutant General’s Office (National Guard)

Board of Education

Building Code Office

Climatologist

Earthquake Program Manager

Economic Development Office

Emergency Management Office/State Hazard Mitigation Officer

Environmental Protection Office

Fire Marshal’s Office

Geologist

Homeland Security Coordinator’s Office

Housing Office

Hurricane Program Manager

Insurance Commissioner’s Office

National Flood Insurance Program Coordinator

Natural Resources Office

Planning Agencies

Police

Public Health Office

Public Information Office

Tourism Department

Non-Governmental Organizations (NGOs)

American Red Cross

Chamber of Commerce

Community/Faith-Based Organizations

Environmental Organizations

Homeowners Associations

Neighborhood Organizations

Private Development Agencies

Utility Companies

Other Appropriate NGOs

Worksheet #1 Build the Planning Team step 

Version 1.0 September 2002 d-1

appendix d

example

questionnaire
d-2 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started
appendix d – example questionnaire

Version 1.0 September 2002 d-3
d-4 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started
appendix d – example questionnaire

Version 1.0 September 2002 d-5
d-6 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started
appendix d – example questionnaire

Version 1.0 September 2002 d-7
d-8 STATE AND LOCAL MITIGATION PLANNING how-to guide: Getting Started
appendix d – example questionnaire

Version 1.0 September 2002 d-9