[Title 44 CFR M] [Code of Federal Regulations (annual edition) - October 1, 1996 Edition] [Title 44 - EMERGENCY MANAGEMENT AND ASSISTANCE] [Chapter I - FEDERAL EMERGENCY MANAGEMENT AGENCY] [Subchapter D - DISASTER ASSISTANCE] [Part 206 - FEDERAL DISASTER ASSISTANCE FOR DISASTERS DECLARED ON OR AFTER NOVEMBER 23, 1988] [Subpart M - Hazard Mitigation Planning] [From the U.S. Government Publishing Office]44 EMERGENCY MANAGEMENT AND ASSISTANCE 1 1996-10-01 1996-10-01 false Hazard Mitigation Planning M Subpart M EMERGENCY MANAGEMENT AND ASSISTANCE FEDERAL EMERGENCY MANAGEMENT AGENCY DISASTER ASSISTANCE FEDERAL DISASTER ASSISTANCE FOR DISASTERS DECLARED ON OR AFTER NOVEMBER 23, 1988 Subpart M--Hazard Mitigation Planning Source: 55 FR 35529, Aug. 30, 1990, unless otherwise noted. Sec. 206.400 General. This subpart prescribes the requirements for implementation of section 409 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (Pub. L. 93-288, as amended, hereinafter referred to as the ``Stafford Act'') and prescribes Federal, State and local hazard mitigation planning responsibilities following the declaration of a major disaster or emergency, or declaration for fire suppression assistance pursuant to section 420 of the Stafford Act. Sec. 206.401 Definitions. Federal Hazard Mitigation Officer is the FEMA employee responsible for carrying out the overall responsibilities for hazard mitigation and for this subpart, including coordinating post- [[Page 490]] disaster hazard mitigation actions with other agencies of government at all levels. Hazard Mitigation means any action taken to reduce or eliminate the long-term risk to human life and property from natural hazards. Hazard Mitigation Grant Program means the program authorized under section 404 of the Stafford Act, which may provide funding for certain mitigation measures identified through the evaluation of hazards conducted under section 409 of the Stafford Act. Hazard Mitigation Plan means the plan resulting from a systematic evaluation of the nature and extent of vulnerability to the effects of natural hazards present in society and includes the actions needed to minimize future vulnerability to hazards, as required under section 409 of the Stafford Act. Hazard Mitigation Plan Update means an update to the existing hazard mitigation plan, which may be accomplished either by updating the status of mitigation actions within the existing plan, or by expanding the existing plan to address additional hazards or mitigation issues. Hazard Mitigation Survey Team means the FEMA/State/Local survey team that is activated following disasters to identify immediate mitigation opportunities and issues to be addressed in the section 409 hazard mitigation plan. The Hazard Mitigation Survey Team may include representatives of other Federal agencies, as appropriate. Interagency Hazard Mitigation Team means the mitigation team that is activated following flood related disasters pursuant to the July 10, 1980 Office of Management and Budget directive on Nonstructural Flood Protection Measures and Flood Disaster Recovery, and the subsequent December 15, 1980 Interagency Agreement for Nonstructural Damage Reduction. Local Hazard Mitigation Officer is the representative of local government who serves on the Hazard Mitigation Survey Team or Interagency Hazard Mitigation Team and who is the primary point of contact with FEMA, other Federal agencies, and the State in the planning and implementation of post-disaster hazard mitigation activities. Measure means any mitigation measure, project, or action proposed to reduce risk of future damage, hardship, loss or suffering from disasters. Natural Disaster is any natural catastrophe, including any hurricane, tornado, storm, high water, wind driven water, tidal wave, tsunami, earthquake, volcanic eruption, landslide, mudslide, snowstorm, fire, or drought. State Hazard Mitigation Officer is the representative of State government who is the primary point of contact with FEMA, other Federal agencies, and local units of government in the planning and implementation of post-disaster mitigation programs and activities required under the Stafford Act. Sec. 206.402 Responsibilities. (a) General. This section identifies the key responsibilities of FEMA, States, and local participants in carrying out the requirements of section 409 of the Stafford Act. (b) FEMA. The key responsibilities of the FEMA Regional Director are to: (1) Oversee all FEMA-related pre- and post-disaster hazard evaluation and mitigation programs and activities; (2) Appoint a Federal Hazard Mitigation Officer for each disaster to manage hazard mitigation programs and activities; (3) Provide technical assistance to State and local governments in fulfiling mitigation responsibilities; (4) Conduct periodic review of State hazard mitigation activities and programs to ensure that States are adequately prepared to meet their responsibilities under the Stafford Act; (5) Assist the State in the identification of the appropriate mitigation actions that a State or locality must take in order to have a measurable impact on reducing or avoiding the adverse effects of a specific hazard or hazardous situation. (6) Subsequent to a declaration, follow-up with State and local governments to ensure that mitigation commitments are fulfilled, and when necessary, take action, including recovery of funds or denial of future funds, if mitigation commitments are not fulfilled. [[Page 491]] (c) States. The key responsibilities of the State are to coordinate all State and local responsibilities regarding hazard evaluation and mitigation, and to; (1) Appoint a State Hazard Mitigation Officer, who reports to the governor's authorized representative, and who serves as the point of contact for and coordinates all matters relating to section 409 hazard mitigation planning and implementation; (2) Prepare and submit, in accordance with the FEMA/State Agreement and the requirements of this subpart, a hazard mitigation plan(s) or update to existing plan(s), as required under Sec. 206.405. Such plan or update is to include an evaluation of the natural hazards in the declared area, and an identification of appropriate actions to mitigate those hazards; (3) Participate in the Hazard Mitigation Survey Team or Interagency Hazard Mitigation Team activated after the declaration; (4) Arrange for appropriate State and local participation on the Hazard Mitigation Survey Team or Interagency Hazard Mitigation Team and in the section 409 planning process; (5) Follow-up with State agencies and local governments to assure that appropriate hazard mitigation actions are taken. This involves coordination of plans and actions of local governments to assure that they are not in conflict with each other or with State plans; (6) Ensure that the activities, programs and policies of all State agencies related to hazard evaluation, vulnerability, and mitigation are coordinated and contribute to the overall lessening or avoiding of vulnerability to natural hazards. (d) Local governments. The key responsibilities of local governments are to: (1) Participate in the process of evaluating hazards and adoption of appropriate hazard mitigation measures, including land use and construction standards; (2) Appoint a Local Hazard Mitigation Officer, if appropriate; (3) Participate on Hazard Mitigation Survey Teams and Interagency Hazard Mitigation Teams, as appropriate; (4) Participate in the development and implementation of section 409 plans or plan updates, as appropriate; (5) Coordinate and monitor the implementation of local hazard mitigation measures. Sec. 206.403 Pre-declaration activities. (a) General. As part of FEMA's response to a Governor's request for a declaration, FEMA will evaluate information concerning the status of hazard mitigation efforts in the impacted State and localities. (b) Mitigation evaluation. The mitigation review of State and local government activities in the impacted area shall include: (1) The status of a statewide comprehensive hazard mitigation plans, programs, or strategies; (2) The status of hazard mitigation plans or plan updates required as a condition of any previous declaration; (3) The status of any actions which the State or localities agreed to undertake as a condition of past disaster assistance; (4) The status of any mitigation measures funded under section 404 of the Stafford Act for any previous declaration; (5) The status of any other hazard evaluation and mitigation projects funded under other FEMA or other Federal agency programs; (6) An evaluation of the impact of the hazard(s) and any corresponding mitigation issues pertinent to the area for which Federal disaster assistance is being requested; (7) Any other hazard evaluation and mitigation information available and considered relevant. (c) FEMA-State agreement. Based on the conditions warranted by the declaration, and on the findings of the mitigation evaluation, the FEMA- State Agreement shall include appropriate mitigation provisions, such as the requirement to prepare a hazard mitigation plan or update. Sec. 206.404 Mitigation survey teams. (a) Hazard mitigation surveys. Hazard mitigation surveys are performed immediately following the declaration of a disaster to identify the following: [[Page 492]] (1) Hazard evaluation and mitigation measures that must be incorporated into the recovery process; (2) Possible measures for funding under the Hazard Mitigation Grant Program, or under other disaster assistance programs; (3) Issues for inclusion in the section 409 hazard mitigation plan. (b) Hazard Mitigation Survey Teams. Hazard Mitigation Survey Teams shall be activated by the Regional Director immediately following the declaration to conduct hazard mitigation surveys. The Hazard Mitigation Survey Team shall consist of FEMA, State, and appropriate local government representatives, and representatives of any other Federal agencies that may be appropriate. In the case of flood declarations, the Interagency Hazard Mitigation Team will serve the purpose of the Hazard Mitigation Survey Team. (c) Survey team reports. Within 15 days following a declaration Hazard Mitigation Survey Team report shall be prepared and distributed in accordance with FEMA policies and procedures. The Regional Director has the authority to extend this due date when necessary. Sec. 206.405 Hazard mitigation plan. (a) General. In order to fulfill the requirement to evaluate natural hazards within the designated area and to take appropriate action to mitigate such hazards the State shall prepare and implement a hazard mitigation plan or plan update. At a minimum the plan shall contain the following: (1) An evaluation of the natural hazards in the designated area; (2) A description and analysis of the State and local hazard management policies, programs, and capabilities to mitigate the hazards in the area; (3) Hazard mitigation goals and objectives and proposed strategies, programs, and actions to reduce or avoid long term vulnerability to hazards, (4) A method of implementing, monitoring, evaluating, and updating the mitigation plan. Such evaluation is to occur at least on an annual basis to ensure that implementation occurs as planned, and to ensure that the plan remains current. (b) Plan approach. Hazard mitigation plans should be oriented toward helping States and localities to develop hazard management capabilities and programs as part of normal governmental functions. All States are encouraged to develop a basic mitigation plan prior to the occurrence of a disaster, so that the basic plan can simply be expanded or updated to address specific issues arising from the disaster. At the time of a declaration, the Regional Director, in consultation with the State, shall determine whether a new mitigation plan is required as a result of the declaration, or whether an existing plan can simply be updated or expanded. (c) Plan content and format. The specific content and format of a hazard mitigation plan or plan update shall be determined through guidance and technical assistance that the Regional Director provides to the State during the section 409 planning process. At a minimum, the plan or update must address the items listed in paragraph (a) of this section. (d) Plan submission. All States shall submit a hazard mitigation plan or plan update on behalf of the State and any appropriate local governments included in the designated area. The plan or update is due to FEMA within 180 days of the date of the declaration. The Regional Director may grant extensions to this date not to exceed 365 days from the date of the declaration when adequate justification is received in writing from the State. Extensions beyond that date must be forwarded with justification to the Associate Director for approval. (e) Plan approval. Upon receipt of a hazard mitigation plan or plan update, the Regional Director shall acknowledge receipt in writing to the Governor or appropriate agency. Written comments shall state whether the plan is approved, shall detail any shortcomings that may exist, and shall include a suggested method and timeline for correction if necessary. (Approved by the Office of Management and Budget under OMB control number 3067-0212) [[Page 493]] Sec. 206.406 Hazard mitigation planning process. (a) General. A sound planning process is essential to the development and implementation of an effective hazard mitigation plan. A critical element of successful mitigation planning is the involvement of key State agencies, local units of government, and other public or private sector bodies or agencies that influence hazard management or development policies within a State or local unit of government. This section identifies principal components of the mitigation planning process. (b) FEMA technical assistance. States may request the Regional Director to provide technical assistance and guidance throughout the planning process to ensure that the plan or update adequately addresses mitigation concerns related to the disaster. Technical assistance may include but is not limited to: (1) Identification of mitigation issues through the Interagency Hazard Mitigation Team or Hazard Mitigation Survey Team report; (2) Initial meeting with the State to identify key staff, timeline, and scope of work for development of the hazard mitigation plan or update; (3) Review of timelines, outlines, drafts, and other appropriate material during development of the hazard mitigation plan or update. (4) Provision of Federal technical assistance information and identification of technical experts, if needed. (c) State involvement. Though the primary responsibility for development of a hazard mitigation plan is assigned to one State agency, any State agency that influence development within hazardous areas through ongoing programs and activities should be involved in the development and implementation of hazard mitigation plans. This includes, but is not limited to, agencies involved with emergency management, natural resources, environmental regulations, planning and zoning, community development, building regulations, infrastructure regulation or construction, public information, and insurance. It is the responsibility of the State agency assigned lead responsibility for hazard mitigation to ensure that all other appropriate State agencies have the opportunity to participate in development and implementation of hazard mitigation planning. (d) Local involvement. Local participation in hazard mitigation planning is essential because regulation and control of development within hazardous areas normally occurs at the local level. It is the responsibility of the State to ensure that appropriate local participation is obtained during development and implementation of hazard mitigation planning. (e) Private sector involvement. When appropriate, a State or local government may choose to involve the private sector in the planning process. Support from the private sector is often essential to successful implementation of mitigation strategies at the local level. Involvement of the private sector in the early stages of the planning process may facilitate understanding and support for mitigation. (f) Development of hazard mitigation goals and objectives. The participants in the planning process shall develop the basic mitigation goals and objectives from which the proposed hazard mitigation strategies, programs, and actions required under Sec. 206.405(3) shall be drawn. (g) Identification of projects to be funded under the Hazard Mitigation Grant Program. The Hazard Mitigation Grant Program, authorized under section 404 of the Stafford Act, provides up to 50 percent Federal funding for cost-effective mitigation measures that are consistent with the evaluation of hazards under section 409. Throughout the process of preparing a hazard mitigation plan or plan update, the State and local governments will be evaluating natural hazards and identifying potential mitigation measures which may be eligible for funding under the Hazard Mitigation Grant Program. 44 CFR part 206, subpart N sets forth the regulations for funding these mitigation measures. (h) Coordination with other hazard evaluation and mitigation planning efforts. During the process of developing a mitigation plan to satisfy requirements under this subpart, the State will ensure that the planning effort is coordinated with any other hazard evaluation and mitigation planning [[Page 494]] program within the State or local unit of government, including but not limited to the Disaster Preparedness Improvement Grant Program, the Hurricane Program, the Earthquake Hazard Reduction Program, the Dam Safety Program, the National Flood Insurance Program, and other similar programs of FEMA and other Federal agencies. (i) Evaluation and monitoring. The State is responsible for monitoring and evaluating implementation of the hazard mitigation plan and for submitting annual progress reports to FEMA. The progress report will briefly indicate the status of implementation of the mitigation actions contained within the plan, and will include documentation relating to measures which have been implemented, where appropriate. The Regional Director may require the State to provide additional progress reports or more specific information on particularly critical mitigation actions, if necessary. Sec. 206.407 Minimum standards. (a) General. As a condition of any disaster loan or grant made under the Stafford Act, section 409 requires that the recipient shall agree that any repair or construction shall be in accordance with applicable standards of safety, decency, and sanitation, and in conformity with applicable codes, specifications, and standards. The hazard mitigation planning process required under section 409 can assist with the identification of inadequate standards as described below. (b) Local standards. The cost of bringing a facility up to minimum standards is an eligible cost under subpart H of this part when such standards apply to the types of work being performed. These standards, including standards for hazard mitigation, can either be in place at the time of the disaster or can be adopted prior to approval of the project. Where current mitigation standards are inadequate, new standards may be identified in the following ways: (1) Through the Interagency Hazard Mitigation Team or Hazard Mitigation Survey Team; (2) Through the hazard mitigation planning process; (3) By the State or local governments; (4) Through the public assistance program; and, (5) Through identification of mitigation measures under the Hazard Mitigation Grant Program. (c) Compliance. The State shall ensure that the sub-grantee meets compliance with minimum standards as that term is used in section 409.